1 U.S. DEPARTMENT OF LABOR Office of The Assistant Secretary for Administration and Management Human Resources Center The Department of Labor’s Performance Appraisal Program

2 U.S. DEPARTMENT OF LABOR Office of The Assistant Secretary for Administration and Management Human Resources Center Learning Objectives  Purpose of Performance Management  Supervisor/Manager Responsibilities  Employee Role  Performance Appraisal Process  Employee Performance Plans  Mid-Year Progress Reviews  Annual Rating of Record  Performance Awards and Recognition

3 U.S. DEPARTMENT OF LABOR Office of The Assistant Secretary for Administration and Management Human Resources Center What is Performance Management? The systematic process by which an agency involves its employees, as individuals and members of a group, in improving organizational effectiveness in the accomplishment of agency mission and goals.

4 U.S. DEPARTMENT OF LABOR Office of The Assistant Secretary for Administration and Management Human Resources Center Purpose of Performance Management  Set, communicate, and clarify expectations and organizational goals  Identify accountability for accomplishing organizational goals  Assess and improve individual, team, and organizational performance  Determine and address developmental needs  Use appropriate measures of performance as basis for recognizing and rewarding accomplishments  Use results of performance appraisal to support appropriate personnel actions

5 U.S. DEPARTMENT OF LABOR Office of The Assistant Secretary for Administration and Management Human Resources Center Key Characteristics of DOL’s Performance Management System  Performance Rating Cycle: October 1 – September 30  Progress Review: At least one during appraisal cycle  Performance Element Rating Levels:  Exceed  Meet  Need to Improve  Fail  Summary Performance Ratings:  Exemplary  Highly Effective  Effective  Minimally Satisfactory  Unsatisfactory

6 U.S. DEPARTMENT OF LABOR Office of The Assistant Secretary for Administration and Management Human Resources Center Manager/Supervisor Responsibilities  Set goals and measures  Establish and communicate elements and standards  Measure performance  Provide ongoing feedback and conduct progress review  Support employee development and address poor performance  Evaluate employee and conduct performance appraisal  Recognize and reward performance and acknowledge contributions to achieving agency mission and goals

7 U.S. DEPARTMENT OF LABOR Office of The Assistant Secretary for Administration and Management Human Resources Center Employee Role Perform to Expectations Employees May:  Solicit feedback and advise manager/supervisor of performance obstacles  Discuss career goals and developmental needs with manager/supervisor

8 U.S. DEPARTMENT OF LABOR Office of The Assistant Secretary for Administration and Management Human Resources Center The Performance Appraisal Process Performance Plan Mid-term Progress Review Appraisal Meeting Annual Performance Appraisal Appraisal Results

9 U.S. DEPARTMENT OF LABOR Office of The Assistant Secretary for Administration and Management Human Resources Center Employee Performance Plan  Supervisor and employee discuss at the beginning the appraisal cycle  Performance plan consists of critical elements and standards  At least one element aligned to agency/organizational strategic goals  All performance standards are written at the “meets” level  Performance standards include measures of performance (e.g., quality, quantity, timeliness, cost-effectiveness)

10 U.S. DEPARTMENT OF LABOR Office of The Assistant Secretary for Administration and Management Human Resources Center Performance Elements and Standards  Performance Elements - Describe what the employee needs to accomplish  Performance Standards - Describe how well the employee needs to perform to be successful

11 U.S. DEPARTMENT OF LABOR Office of The Assistant Secretary for Administration and Management Human Resources Center Mid-Year Progress Review  Conducted approximately “mid-way” during the appraisal period  Supervisor discusses employee’s performance on each element and standard in the performance plan  Review and clarify performance standards  Provide assistance to performance that is “missing the mark”  Formal ratings are NOT given during the progress review

12 U.S. DEPARTMENT OF LABOR Office of The Assistant Secretary for Administration and Management Human Resources Center Improving Employee Performance Managers/supervisors will:  Alert and provide assistance to employees when they are not meeting the performance standard in one or more critical elements  Place an employee on a Performance Improvement Plan (PIP) whenever an employee fails to meet the standard in one or more critical elements

13 U.S. DEPARTMENT OF LABOR Office of The Assistant Secretary for Administration and Management Human Resources Center Annual Appraisal Discussion Supervisor:  Presents “tentative” annual rating of record  Explains basis for each element rating  Begins planning for next appraisal period by discussing:  Methods to improve performance  Ways to support employee  New performance goals, if appropriate

14 U.S. DEPARTMENT OF LABOR Office of The Assistant Secretary for Administration and Management Human Resources Center Performance Element Ratings ExceedWhen the employee exceeds the described level of performance in the performance standard for the element MeetWhen the employee meets the described level of performance in the standard for the element Need to ImproveWhen the employee needs to improve in order to meet the described level of performance in the standard for the element, but performance is above fail FailWhen the employee fails to meet the described level of performance in the standard for the element

15 U.S. DEPARTMENT OF LABOR Office of The Assistant Secretary for Administration and Management Human Resources Center Summary Rating Guidelines Exemplary Exceed standards for all elements Highly Effective Exceed standards for 50% or more elements but not all; meet standards for all other elements Effective Meet standards for all elements and may exceed standards for less than 50% of elements Minimally Satisfactory Need to improve performance for one or more elements Unsatisfactory Fail to meet standards on one or more elements

16 U.S. DEPARTMENT OF LABOR Office of The Assistant Secretary for Administration and Management Human Resources Center Annual Rating of Record  Supervisor provides tentative rating to reviewing official for final approval and employee signature.  Employees have up to five days* to provide comments in writing to recommended rating.  If comments are provided: – Supervisor will review documentation and may or may not change rating – Supervisor will submit full documentation to reviewing official – Reviewing official will review and approve the annual rating of record *Employees covered under the NCFLL bargaining agreement have up to ten working days to review, sign or prepare comments to the rater or reviewing official, as appropriate, on their rating.

17 U.S. DEPARTMENT OF LABOR Office of The Assistant Secretary for Administration and Management Human Resources Center Performance Awards  Employee is eligible for a performance award if in a:  Covered position on the last day of the current performance appraisal period, AND  Received at least an “effective” rating of record.  Performance awards may not be grieved.