1998 Performance Appraisals and 1999 Performance Plans Date: Mon, 21 Sep 1998 15:10:48 -0400 To: "USGS Employees" From: "Vicki K. Gray" Subject: 1998 Performance Appraisals and 1999 Performance Plans In Reply Refer To: Mail Step 601 SUPERVISORS PLEASE SHARE THIS MESSAGE WITH EMPLOYEES THAT DO NOT HAVE ACCESS TO E-MAIL. MEMORANDUM To: All Employees From: Robert Hosenfeld Personnel Officer Subject: 1998 Performance Appraisals and 1999 Performance Plans The purpose of this memorandum is to serve as a reminder that it is now time to prepare 1998 performance appraisals and 1999 performance plans for most U.S. Geological Survey (USGS) employees. 1998 Appraisal Deadlines For all employees, except those in the Senior Executive Service (SES) and bargaining unit employees of the National Mapping Division's Mapping Application Center (MAC), the 1998 appraisal period ends on September 30, 1998. These appraisals are to be prepared and submitted to the servicing personnel office by December 1, 1998. (The performance appraisal period for the bargaining unit members of MAC has been extended until September 30, 1999, to accommodate their transition to a 2-level performance appraisal system.) Eligibility for Rating To be eligible for a summary rating, an employee must have worked under a performance plan for at least 90 days. If the employee has not, the rating period must be extended beyond September 30, 1998, to allow for the opportunity to work under the plan for the full 90 days. The rating official will then rate the employee's performance at the end of the extension. Summary Rating The summary rating is prepared on the Employee Performance Plan and Results Report (Form DI-2002, revised Dec. 1997). To prepare the summary rating, the rating official considers the employee's performance during the entire 1998 appraisal period. The rating official either determines that the employee has "achieved" or "not achieved" each individual critical result, then annotates the corresponding portion of the "Results" section in Part I on the front of the Form DI-2002. If the employee has not had an opportunity to perform a critical result, the rating official records "not rated" in the "Results" section, and that critical result is not used in determining the employee's summary rating. Under the two-level system, an employee must achieve all critical results in order to be assigned a "results achieved" summary rating. The summary rating of "results achieved" is entered in Part III on page 2 of Form DI-2002. For employees assigned a summary rating of "results achieved," the rating official is encouraged to attach narrative comments documenting the employee's significant accomplishments. If the employee has failed to achieve one or more critical results, the rating official must assign the employee a "results not achieved" summary rating in Part III on page 2 of Form DI-2002. For employees assigned a summary rating of "results not achieved," the rating official must prepare a written narrative that describes the specific areas in which the employee has failed to achieve critical results. Rating officials are strongly encouraged to consult with their servicing employee relations specialist before they assign a summary rating of "results not achieved" to discuss the appropriate remedial action that must be taken. After preparing the summary rating, the rating official signs and dates the rating in Part IV on page 2 of Form DI-2002. The signature of the reviewing official is only required if, and when, a rating of "results not achieved" is assigned to an employee. Annual Performance Review Discussion The rating official must conduct a performance review discussion with each employee. This review provides an opportunity for the rating official to discuss the employee's performance during the year, to begin discussion of plans for the coming year, and to discuss the employee's training and developmental needs. At the end of the performance review, the employee signs and dates the rating in Part IV on page 2 of Form DI-2002. (If, for any reason, the employee declines to sign the rating, the rating official notes on the form that the rating has been discussed with the employee.) The rating official keeps a copy of the completed rating, gives a copy to the employee, and sends the original to the servicing personnel office. Quality Step Increases A Quality Step Increase (QSI) may be considered as recognition for any employee who has demonstrated an exceptionally high level of quality performance throughout the year. Specific eligibility criteria and processing information can be found on the Human Resources web site at: http://www.usgs.gov:8888/ops/hro/perf/awards/toc.html. Reconsideration of Rating An employee who is dissatisfied with a summary rating of "results not achieved" may discuss the matter informally with the rating and reviewing officials, make written comments on a separate sheet and attach them to the rating form, and/or request reconsideration of the rating by an official at the next level above the reviewing official who was not directly involved in the rating. The employee's reconsideration request must be in writing, state the basis for the request, and be submitted to the servicing personnel office within 15 calendar days following the employee's receipt of the rating. Employees in exclusive bargaining units may have reconsideration rights through negotiated grievance procedures, and applicable bargaining agreements should be checked in such cases for possible coverage. 1999 Performance Plans Performance plans, which contain the employee's critical results and performance indicators for the coming appraisal period, are developed jointly by the rating official and the employee and are documented in Part I on the front page of Form DI-2002. New plans must be developed for all employees except SES employees and bargaining unit employees of the MAC. As a reminder, this form was revised in December 1997. Earlier versions of the form are unacceptable and should not be used. The revised form is available on the Human Resources web site at http://www.usgs.gov:8888/ops/hro/perf/ Critical results are mission-based outcomes or end products that an employee is expected to achieve during the appraisal period and are not a listing of the employee's duties. Every employee must have at least one, but no more than five, critical results. Critical results should be written as specifically as possible to let the employee know the results that are expected and to enable the rating official to determine whether the employee has achieved the results. Mandatory Non-Discrimination and Workforce Diversity Critical Result for Managers and Supervisors: Rating officials are reminded that USGS developed and mandates the following critical result be included in performance plans for all managers and supervisors: Non-Discrimination and Workforce Diversity Demonstrates commitment to non-discrimination in the workplace by promoting a zero-tolerance environment where employees are free from discrimination, harassment, hostile work environment, reprisal, and are not denied opportunities for advancement or training because of non-merit factors, such as race, religion, national origin, sex, color, age, or disability. Demonstrates commitment to DOI/USGS diversity goals by improving gender, ethnic, racial, and disability composition of the organization's workforce. Demonstrates commitment to* focused recruitment efforts, as well as training and development programs, in the Bureau's under-represented job categories. *Please note that this wording has been changed slightly. Mandatory Year 2000 (Y2K) Critical Result. Rating officials are reminded that all employees having responsibility for and involvement in the Y2K implementation must have a critical result which addresses this issue. A listing of the appropriate critical results is provided below: Associate Director/Year 2000 Executive: Provides leadership, policy guidance, and resources to ensure bureau systems are Y2K compliant by March 1999. Monitors progress and reports status of the Y2K effort to the Department. Division Chiefs: Provides leadership, policy guidance, and resources to ensure bureau systems are Y2K compliant by March 1999. Monitors progress and reports status of the Y2K effort to the Bureau. IRM Coordinator: Provides management, direction, and support to the Chair of the Millennium Task Force Team and team members on all Bureau Y2K issues. Liaison to the Department, Associate Director, Division /Office Chiefs and the Chair of the Millennium Task Force Team on Y2K issues. Reports status of Y2K progress to the Associate Director and the Division/Office Chiefs as required. Division/Office Information Officers [Information Council members]: Works with the Division's Y2K representative to the Millennium Task Force Team to disseminate information to all personnel in the division regarding Y2K issues and responsibilities and ensures all Division systems are Y2K compliant. Reports status of Y2K progress to the Division/Office Chief as required. Senior Bureau Y2K Coordinator: Acts as a focal point within the Bureau for all Y2K activities. Monitors progress of the Bureau's Y2K effort. Provides coordination to the members of the Millennium Task Force Team to ensure that all computing systems and devices, scientific instruments, and other technologies that process calendar dates are Y2K compliant. Reports progress to the IRM Coordinator and the Y2K Executive, develops periodic progress reports and transmits information to the Department through the Y2K Exec. Y2K Representative on Millennium Task Force Team: Provides a focal point with the Division/Office personnel to identify all computing systems and devices, scientific instruments, and other technologies that process calendar dates in the division and to ensure Y2K compliancy and to certify that systems are Y2K ready. Reports status of Y2K progress to the Senior Bureau Coordinator and the Division Information Officer. System Owner/Program Manager [these are functional OPS Office Chiefs and Science Center or Lab Chiefs]: Ensures that computing systems and devices, scientific instruments, and other technologies that process calendar dates for which they are responsible are Y2K compliant. Collaborates with Y2K representative of the Millennium Task Force to test and certify that they are Y2K compliant. Technical Managers [e.g., OIS Branch Chiefs and division IT/IS counterparts]: Critical date functions, interfaces, operating and communication environment, and internal and external data of systems are tested and Y2K compliant. Independent verification and validation have occurred in accordance with Y2K schedules established by the Y2K Executive. Mission critical and mission essential systems will not disrupt business operations. Performance indicators are generic performance standards that describe the qualities that are important to successful performance in each critical result. Performance indicators, which are preprinted on pages 1 and 2 of Form DI-2002, address three aspects of performance -- quality, teamwork, and customer service. At the beginning of the rating period, the rating official and employee circle on the form the performance indicators that apply to each critical result. If necessary, additional performance indicators specific to the employee's position may be identified in the blocks titled "Other" within each section of indicators. Once performance plans are developed, the rating official and employee sign and date the appropriate blocks in Part IV on page 2 of Form DI-2002. (If, for any reason, the employee declines to sign the performance plan, the rating official must note on the form that the plan has been discussed with the employee.) The rating official keeps the original of the performance plan and gives a copy to the employee. No signature by a reviewing official is required. Additional Information This memorandum and additional information may be obtained from the Human Resources web site at http://www.usgs.gov:8888/ops/hro/perf/perfmgmt/memo.html or the servicing personnel office.