(1) Designate an individual to serve as the Command Performance Management Administrator (CPMA).

Transcription

1 Section 4 Interim Performance Management System Guidance Responsible Office N1 Phone: DSN COM (901) FAX (901) References (a) DON Interim Performance Management System Covering Positions Transitioning to the General Schedule (from the National Security Personnel System (NSPS) Guidance, Version 2.0 (b) BUPERSINST (c) COMNAVREGMWINST (d) SECNAV M Purpose. This section provides policy and guidance for the Department of the Navy (DON) Interim Performance Management System (IPMS) as outlined in references (a) and (b) Background. The National Defense Authorization Act for Fiscal Year 2010 (NDAA 2010) repealed the National Security Personnel System (NSPS). Until a new Department of Defense (DoD) performance management system is implemented, Navy Recruiting Command (NAVCRUITCOM) must evaluate non-bargaining unit employees using the DON IPMS Policy. Reference (a) established IPMS to link employee, team and supervisory performance to organizational mission, goals and objectives. It is a two-tiered system with acceptable and unacceptable ratings of record. Managers and supervisors assign reward scores to acceptable employee performance, making clear distinctions between different levels of performance and contribution to mission. As a result, employees are encouraged to take responsibility for their performance, continuously improve, and support organizational initiatives Scope. This policy applies to all federal non-bargaining unit civilian employees assigned to NAVCRUITCOM Headquarters, Navy Recruiting Regions (NAVCRUITREGs), and Navy Recruiting Districts (NAVCRUITDISTs), and all military personnel who supervise non-bargaining unit civilian employees. 4-1

2 404. Responsibilities 404a. NAVCRUITCOM s Director, Manpower and Human Resources Department (N1) is responsible for developing IPMS policy and guidance, and oversight of NAVCRUITCOM s civilian performance management programs. 404b. Director, Civilian Human Resources Liaison Division (N1) will: (1) Designate an individual to serve as the Command Performance Management Administrator (CPMA). (2) Ensure IPMS program objectives are accomplished and comply with applicable policies. (3) Communicate updates to the NAVCRUITCOM workforce and respond to requests for information from customers. (4) Respond to requests from the DON or Bureau of Naval Personnel s Total Force Human Resource Office (BUPERS-05). (5) Ensure staff offices and subordinate commands comply with required actions within specified timeframes. 404c. Director, Comptroller Department (N8) will: (1) Fund NAVCRUITCOM s IPMS performance awards budget to recognize and reward employees annual performance at the minimum aggregate level established annually by DON of total adjusted salaries of covered employees as of the first day (1 October) of the appraisal period. (2) Budget up to 0.2% of total adjusted salaries for Quality Step Increases (QSIs) unless a lesser amount is dictated by the DON. 404d. NAVCRUITCOM Department Heads, NAVCRUITREG Commanders and NAVCRUITDIST Commanding Officers will: (1) Ensure supervisors and employees in their organization complete performance plans, progress reviews, close-out appraisals (when applicable), and annual appraisals within established timeframes. (2) Establish a Performance Awards Review Board (PARB) or Performance Reward Score Consistency Review Panel (PRSCRP) 4-2

3 (as appropriate) within their respective organization to determine appropriate performance awards and recognition for their employees. (3) Designate an individual to serve as their organization s Performance Management Liaison (PML). (4) Respond to the CPMA s requests for information. (5) Complete performance management actions within required timeframes. 404e. PARBs and PRSCRPs will: (1) Be chaired by the respective Department Head or Special Assistant, NAVCRUITREG Commander, NAVCRUITDIST Commanding Officer or Officer-in-Charge, and comprised of senior leadership representing major organizational functions. Chairmanship can be delegated to the Deputy or Executive Officer. (2) Review performance reward scores and award recommendations for consistency and appropriateness, and ensure approved awards remain within budgetary constraints and comply with merit system principles. (3) Follow established business rules and consult with human resource, equal employment opportunity, and financial management advisors when needed. (4) Execute awards distribution in accordance with the established framework. (5) There will be one HQ PARB and 26 NAVCRUITDIST PARBS. NAVCRUITREG West and East, NAVCRUITCOM ORIENT UNIT, and all departments within HQ will have PRSCRPs. The results of these PRSCRPs will inform the HQ PARB. 404f. Command Performance Management Administrator (CPMA) (N1) will: (1) Coordinate performance appraisal submissions and advise BUPERS of any issues related to established timeframes. (2) Collect and submit completed appraisals, ratings of record and performance award information to the Human Resources 4-3

4 Office (HRO), Millington Field Office, and or Human Resource Service Center (HRSC) within established timeframes. (3) Prepare and provide records for review and use during PARB and PRSCRP meetings. (4) Track awards distribution to ensure compliance with DON and BUPERS guidance. (5) Conduct an assessment of awards (including QSIs) for internal equity, consistency, and brief to leadership. (6) Track and report progress of performance plans and appraisals to command leadership and or BUPERS. 404g. Department, NAVCRUITREG and NAVCRUITDIST Performance Management Liaisons (PMLs) will: (1) Perform the duties listed in paragraph 404f for their respective organization and forward responses, reports and documents to the CPMA (N1). (2) Administer PARB or PRSCRP meetings. (3) Provide status reports of performance plans and appraisals for all employees to the CPMA after the start of the appraisal period, mid-year progress reviews, and completion of annual appraisals. 404h. Human Resource Office (HRO) will: (1) Advise managers on performance related issues. (2) Maintain hard copy records of annual performance appraisals and or coordinate submission to the HRSC. 404i. Rating Officials (ROs), which are first-level supervisors will: (1) Develop and receive approval, from the senior rating official, of a written performance plan for each employee based on work assignments and responsibilities. (2) Have each employee acknowledge their approved performance plan within the first 30 days of a new appraisal period or placement into a position. Additionally, ensure each employee receives a copy of their acknowledged plan. 4-4

5 (3) Provide meaningful, constructive, continuous feedback to employees throughout the year, and at least one documented progress review midway through the appraisal period. (4) Contact N1 or the HRO for guidance anytime during the appraisal period if an employee s performance is determined to be unacceptable. An unacceptable rating of record cannot be assigned unless performance improvement requirements outlined in reference (a) or those prescribed by N1 or HRO have been met. (5) Prepare an annual assessment and recommend performance ratings for each employee. (6) Recommend annual performance awards for employees while considering other recognition received by employees during the appraisal period. (7) Remain accessible to the PARB or PRSCRP during the dates and times scheduled to provide additional information if needed. 404j. Senior Rating Officials (SRO), which are second-level supervisors will: (1) Review and approve written performance plans or direct ROs to modify performance plans when justified. (2) Serve as the RO for subordinate employees in the event the RO is absent or unqualified to serve. (3) Approve each employee s final rating of record and provide written justification for any changes to the RO s recommendations. (4) Review and endorse annual reward scores and award recommendations for each employee or justify modifications in writing. 404k. Employees will: (1) Work with ROs to develop their critical elements and performance plans. (2) Identify, track and document their performance, and engage in open and ongoing dialogue with their RO throughout the year. 4-5

6 (3) Submit written self assessments for progress reviews, close-outs and annual appraisals. (4) Address performance-related grievances in accordance with procedures outlined in reference (c). 404l. The NAVCRUITCOM Chief of Staff will serve as the RO for all civilian department directors except the Director, Comptroller Department. 404m. The NAVCRUITCOM Executive Director/Deputy will serve as the RO for the Director, Comptroller Department and SRO for all other civilian department directors. 404n. COMNAVCRUITCOM will serve as the SRO for the Director, Comptroller Department and RO/SRO for the Executive Director Performance Management. The IPMS appraisal period begins 1 October and ends 30 September each year. Four phases of events complete the annual performance management process: Plan; Monitor and Develop; Rate; and Reward. The following guidance specifies how NAVCRUITCOM will conduct performance management activities. Notional due dates are paired with each activity in Figure 4-1. Actual due dates will be published each year. 405a. Phase 1 Plan (1) ROs must first determine each employee s career stage (entry, journey, expert, or supervisory) to ensure the employee is evaluated using the correct performance standards. Career stage descriptions are outlined in reference (a). Additionally, descriptions of acceptable and unacceptable levels of performance exist for each career stage and must be copied and pasted verbatim from reference (a) into the Critical Element Performance Standards block of the employee s appraisal form. (2) Performance plans must have a minimum of three and maximum of five critical elements. Critical elements must be specific, measurable, aligned, realistic, relevant, and timed (SMART). (3) Performance plans for supervisors must contain the standard NAVCRUITCOM Supervisor Critical Element shown in Figure 4-2. Per reference (a), the supervisory performance standard is 4-6

7 only used for the supervisor critical element. All other critical elements are rated using the appropriate entry, journey, or expert performance standards. (4) Performance plans for NAVCRUITDIST Systems Administrators (SYSADs) must contain the NAVCRUITCOM standard SYSAD critical element shown in Figure 4-3. Appropriate Information Technology Department personnel will provide input on individual performance to the respective RO through the NAVCRUITDIST CO or XO. (5) Performance plans for NAVCRUITDIST Financial Management Analysts (FMAs) must contain the NAVCRUITCOM standard FMA critical element shown in Figure 4-4. Appropriate Comptroller Department personnel will provide input on individual performance to the respective RO through the NAVCRUITDIST CO, XO or department head. (6) Performance plans for NAVCRUITDIST Officer Processors and Lead Officer Processors must contain the NAVCRUITCOM standard Officer Processor critical elements shown in Figures 4-5 and 4-6, respectively. NAVCRUITDISTs may add additional critical elements (no more that a total five). Appropriate Operations Department personnel will provide input on individual performance to the respective RO through the NAVCRUITDIST CO or XO. (7) Performance plans for some positions must include at least one critical element that addresses specific legal requirements. Refer to reference (a), Appendix E for more information. (8) Each critical element must be named and the name must reflect the expected final product, outcome, or responsibility (i.e., Training, Officer Kits, Web Content Management, etc.). (9) Critical elements must include at least two valid metrics the employee, RO, SRO and PARB or PRSCRP can use to measure and evaluate the employee s performance. Each metric should include a reasonable range to describe acceptable performance (i.e., final report expected 3-5 business days after receipt). Ranges should reflect whatever time, quality, or quantity measurement is considered the norm, in line with written policy and is acceptable to the customer. If the employee s accomplishments fall within or above all stated metric ranges, the employee could reasonably expect to receive 4-7

8 an acceptable rating on the element. If the employee s accomplishments fall and remain below stated metric ranges after the RO employs documented corrective measures, the employee could reasonably expect to receive an unacceptable rating on the element. (10) The RO, SRO and employee must sign and date the Performance Plan Documentation section of the appraisal form. After SRO approval the RO must clearly communicate the approved critical elements and performance expectations to the employee, and document the conversation. This must occur within the first 30 days of a new appraisal period or placement into a position. The employee s signature is to acknowledge receipt of the approved plan; it does not indicate agreement or disagreement. 405b. Phase 2 Monitor and Develop. Successful ROs engage in monitoring and development activities throughout the appraisal period. (1) Monitor. ROs must regularly track and measure employee performance and provide meaningful, constructive and timely feedback. (2) Develop. ROs must provide training and development opportunities to encourage good performance and strengthen jobrelated skills and competencies. Effective development opportunities include, but are not limited to, on-the-job, online and formal classroom training, mentoring, or giving employees special assignments. (3) Progress Reviews (a) One written mid-year progress review is required; however, ROs are encouraged to conduct additional progress reviews throughout the appraisal period. (b) The purpose of a progress review is to discuss with the employee how they are progressing toward meeting their critical elements. A progress review should be informative and developmental in nature, focus on future performance expectations, and outline any needed training or assistance. (c) The employee and RO must provide written assessments that address all metrics within each critical element. 4-8

9 (d) ROs and employees should discuss and determine the need to adjust the employee s performance plan. Critical elements can be modified, added to, or deleted as needed except within the last 90 days (July September) of the appraisal period. Acceptable reasons to adjust performance expectations include changes to organizational mission and goals or other changes beyond the employee s control. Any performance plan adjustments must be approved by the SRO and promptly and clearly communicated to the employee by the RO. (e) Progress reviews do not require assignment of ratings. However, any time during the appraisal period an employee s performance is determined to be unacceptable in one or more critical elements the RO must take corrective action. The employee must be notified in writing and given a reasonable opportunity to demonstrate acceptable performance. (f) The RO and employee must sign and date the Progress Review Documentation section of the appraisal form. The employee s signature is to acknowledge the progress review was completed; it does not indicate agreement or disagreement. 405c. Phase 3 Rate (1) Close-Out Assessment. A close-out assessment must be conducted when: (a) An employee completes a detail or temporary promotion of 120 days or longer under established critical elements. This requirement also applies to employees on loan from another activity or agency for 120 days or longer. (b) An employee changes positions, is promoted or moves to a new agency or activity after being under established critical elements for a minimum of 90 days. (c) A RO leaves a position after supervising an employee under established critical elements for a minimum of 90 days. In this situation, the employee will continue under the same performance plan unless changed by the new RO. (d) Close-out ratings will convert to the employee s rating of record if there is insufficient time (fewer than 90 days) to establish a performance plan and rate the employee in the newly assigned position before the end of the appraisal period. The same applies if the incoming RO reports to the command within the last 90 days of the appraisal period. 4-9

10 (2) Annual Appraisal. An annual appraisal is conducted for each employee after the appraisal period ends (normally 30 September). (a) To receive a rating of record an employee must have a minimum of 90 days under an approved performance plan in the same position. With approval from the SRO, an RO may extend an employee s appraisal period beyond 30 September to ensure the minimum 90-day requirement is met as long as the extension doesn t interfere with the ability to manage any part of the rating and rewarding process for the organization. If an extension will interfere, it should not be given and the performance should be added to the beginning of the subsequent appraisal period. If the employee has a valid close-out rating it will become the rating of record. (b) Each employee is required to provide their RO a self-assessment of their accomplishments for each critical element. Accomplishments should be written as outcomes instead of a list of work activities. Self-assessments should begin by stating whether the employee met, exceeded or did not meet the performance expectations described in the critical element. (c) The RO must consider the employee s selfassessment when writing their assessment of the employee s performance, and recommend individual critical element ratings of acceptable or unacceptable by comparing the employee s accomplishments to DON s published critical element performance standards in reference (a). (d) Once all individual critical element ratings are assigned, the RO recommends a rating of record of acceptable or unacceptable. An acceptable rating of record results when all critical elements are rated acceptable. An unacceptable rating of record results when one or more critical elements are rated unacceptable. The SRO s signature in the Annual Assessment Documentation section approves the official rating of record. (e) The SRO has explicit authority to endorse or modify the RO s written assessment and recommended ratings based on facts but must discuss any changes with the RO and justify them in writing in Part J of the performance appraisal form. (f) After the RO and SRO sign and date the Annual Appraisal Documentation section of the appraisal form the RO must discuss the approved assessment and rating of record with 4-10

11 the employee. The employee will sign and date the form to acknowledge the annual appraisal was completed; the employee s signature does not indicate agreement or disagreement. The annual appraisal discussion must occur no later than 14 December. 405d. Phase 4 Reward (1) The intent of a performance award is to motivate an employee by recognizing and rewarding significant individual, team or organizational achievements and contributions. When granted, most performance awards are paid as one-time cash awards equal to a percentage of basic salary based on the employee s average critical element reward score. A QSI may be granted in lieu of a cash award for some employees on a case-bycase basis. Employees below step 10 of their GS grade who receive at least a 2.50 average reward score are eligible for QSI consideration. Cash and QSI awards are neither mandatory or guaranteed. QSIs are subject to final review and approval by COMNAVCRUITCOM. (2) To begin the reward recommendation process for an employee who receives an acceptable rating of record the RO and SRO must complete and sign page 1 of Figure 4-6. The RO will assess the employee s accomplishments against DON s published performance awards standards in reference (a) and recommend a reward score of 1, 2, or 3 for each critical element. The scores will be added, and then averaged, to determine the employee s reward eligibility. The SRO has explicit authority to endorse or modify the RO s recommended reward scores, but must discuss any changes with the RO and justify them in writing in block 4, Summary of Modifications to Recommendations, on page 2. Once signed by the SRO the recommended reward scores are forwarded to the PARB. (3) The RO and SRO should consider other recognition received by the employee during the appraisal period when recommending an award. Care should be taken to ensure clear distinctions are made in reward scores for different levels of performance and contribution to mission, and similarly situated employees with like performance are rewarded in a consistent manner. (4) SROs should reconcile reward scores of employees for accuracy, consistency and fairness, and take corrective action to eliminate inflated or deflated scores prior to submitting appraisals to the PARB or PRSCRP. Recommended reward scores and 4-11

12 award amounts will be reviewed by the PARB or PRSCRP, which has explicit authority to approve or modify them (+/-) as necessary. 405e. PARB Preparation, Procedures, and Business Rules (1) PARB members will be selected from the most senior civilian and military supervisory positions, supported and advised by human resources, Equal Employment Opportunity (EEO), and financial management personnel. Advisors are not members of the PARB and have no impact on board decisions. (2) The PML can be a military or civilian staff member. The PML will see everyone's appraisals, salaries, and awards, be present during PARB deliberations, and document the PARB s decisions, so he or she must be someone who can be trusted to operate with discretion. (3) Prior to the PARB s meeting, the Performance Management Liaisons will: (a) Collect, compile and prepare all completed appraisals and reward recommendations, and supporting data and materials including IPMS performance awards standards, available awards budget, awards spreadsheet tool, non-disclosure agreements, briefer s notes sheets, relevant locality or special salary rate tables, employee within-grade increase (WGI) data, a list of incentive awards given throughout the appraisal period, and any other useful information. (b) Ensure sufficient copies of all documents are available for PARB members. (c) Reserve and prepare the designated meeting space to ensure deliberations are confidential and materials are secure. (4) The duration of PARB meetings will be sufficient to allow enough time for each appraisal to be thoroughly reviewed and discussed, and to ensure a common understanding and consensus can be reached. One to two full workdays early during PARB week should be dedicated to this process. (5) PARB members are expected to attend and remain present at all meetings unless excused by the PARB Chair. 4-12

13 (6) PARB deliberations are confidential. Each member will sign a non-disclosure agreement. Materials and deliberations are for official use only and privacy sensitive. Appropriate safeguards will be utilized to protect employee information. The PML will collect and store or dispose of all materials as required. (7) The PARB Chair will kickoff, facilitate and adjourn each meeting. (8) The PARB Chair will assign appraisals to individual members to review and brief to the rest of the board. Each member may review all appraisals but will brief only their assigned appraisals. Members may not present, discuss, or vote on appraisals of their own employees. (9) Members will excuse themselves from reviewing, and may not participate in deliberations on those with whom they share a close personal or family relationship. (10) The PARB cannot change an employee s critical element ratings or their annual rating of record. (11) Members will review appraisals to determine if individual critical element reward scores agree with the employee s and RO s written assessments and IPMS performance awards standards outlined in Appendix F of reference (a). Concurrence with, or suggested changes to, the SRO's recommended reward scores and award must be documented on a Briefer s Notes sheet. Briefer s Notes are official PARB records and must be retained for four years. (12) When briefing the record, the member will state their concurrence with the SRO's recommended reward scores and award or suggest a more appropriate score and rationale for any changes. (a) If an assessment and score are consistent, a detailed brief is not necessary, and the briefer will recommend approval of the score. (b) If a score contradicts an assessment, the member will brief the inconsistency to the rest of the board and recommend a more appropriate score. (c) PARB members have the option to contact ROs and SROs for additional information if a score contradicts an 4-13

14 assessment. The results of the conversation will be documented on the Briefer s Notes sheet, briefed to the rest of the board and a decision will be made. 1. ROs will be available to the PARB during the dates and times scheduled for deliberations. The RO, SRO and PRSCRP Chair are responsible for providing alternate contact information if they are unable to be reached using Outlook global contact information. 2. If contacted, the RO and SRO will be given a deadline to respond to the PARB s request for additional information. If a response is not received within the specified time, the PARB s decision will become final. (13) Approval of reward scores and amounts requires a simple majority vote so it is recommended an odd number of members vote on each record. The PARB Chair should only vote when needed to avoid or break ties. (14) Approved scores must be based exclusively on the written assessment or the PARB s or PRSCRP s written justification in the Summary of Modifications block. Additionally, award decisions must be based on accomplishments that occurred only during the appraisal period. The PARB Chair will approve all board decisions. (15) The PML will enter all approved scores and justification for changes in the corresponding blocks of the reward notification form. (16) The PARB will distribute awards in accordance with the following business rules: (a) Consider both the employee s and RO s assessments when making final reward score and award decisions. (b) The PML will track and adjust award percentages real-time using the IPMS spreadsheet tool to execute as close to, but no more than, the budgeted cap. (c) Clear distinctions must be made in award amounts for different levels of performance and contribution to mission. The PARB has the authority, and must make the decision to disapprove awards for marginal performers to ensure true performers receive meaningful recognition. 4-14

15 (d) Reconcile reward scores for accuracy, consistency and fairness, and take corrective action to resolve inflated or deflated scores. (e) Avoid approving an award for an employee who is currently working under a Performance Improvement Plan (PIP), will be placed on a PIP based on marginal performance, or whose RO has documented at least one recent disciplinary issue. (f) Consider other awards received by employees during the appraisal period. (g) Unless restricted by DON guidance, there is no cap on the percentage of employees who can be granted awards, the number of individual awards granted or individual award amounts. (h) Employees may not receive both a QSI and a cash performance award. (i) Only employees with a final reward score between 2.5 and 3.0 are eligible for consideration for a QSI. Employees on retained pay, those whose salary is equivalent to or above step 10 of their General Schedule (GS) grade, and those who received a QSI for the previous year s performance are not eligible. (j) Awards are neither mandatory nor guaranteed; they are granted at management's discretion. There is no entitlement to an award at any level. An employee is eligible for consideration for a performance award based on receiving an acceptable rating of record. (16) When the PARB votes to nominate an employee for a QSI, the employee s complete appraisal and rewards notification form with the PARB s final reward scores entered, must be e- mailed to the CPMA no later than the published due date. The CPMA will collect all documents and verify eligibility in preparation for the QSI PARB meeting. (17) No additional documents will be accepted to support QSI recommendations. Decisions will be based on the written appraisal and rewards notification form. (18) Each PARB can recommend no more than one employee for consideration for a QSI. A QSI is a permanent increase to 4-15

16 an employee s salary so PARBs must only recommend the best of the best for consideration. (19) Recommend the PML save the awards spreadsheet with two different calculations - one assuming the QSI nomination will be approved; the other assuming denial. (20) The CPMA will communicate approval or denial of each QSI to the respective PARB Chair and PML via . HQ PARB is the final approval authority for all QSI. If a NAVCRUITDIST PARB nominates a QSI, that PARB should also recommend an alternate cash award if the QSI is disapproved. (21) Once the result of each PARB s QSI nomination is known, the PML must complete and the spreadsheet reflecting the correct award distribution data to the CPMA for review and approval. Award information cannot be shared with employees until the PARB s awards spreadsheet is confirmed as accurate and approved and concurred to by the CPMA. (22) All completed appraisals, rewards notification forms, Briefer s Notes, award spreadsheets, and non-disclosure agreements must be copied to a compact disc and forwarded to the CPMA no later than the published due date. A hard copy of each appraisal will also be forwarded to HRO and HRSC for placement in each employee s official personnel folder. 405f. PRSCRPs will follow the same process, business rules and timeline as PARBs. The only differences are: (1) Individual PRSCRPS are required by both NAVCRUITREGs, each HQ department, and NAVCRUITCOM ORIENT UNIT. Personnel working for a Special Assistant will be considered in the Secretariat Department. These PRSCRP results will be forwarded to HQ PARB which will be the single PARB for the HQ UIC. (2) Reward scores and cash award amounts assigned by PRSCRPs will be submitted to the HQ PARB as strong, defensible recommendations. (3) Each PRSCRP can nominate no more than one employee for QSI consideration. 4-16

17 (4) The PRSCRP Chair or designee will provide a copy of all appraisals, assigned reward scores and award recommendations to the HQ PARB no later than the published due date. 405g. QSI PARB members will abide by the same policies and business rules as PARBs as well as the following: (1) The HQ PARB is the QSI PARB. The decision to approve a QSI will be based only on the written record. (2) Individual reward scores cannot be changed General Business Rules 406a. Face to face conversations are required between ROs and employees to communicate approved performance expectations, and discuss progress reviews, close-outs and annual appraisals. 406b. Constructive performance feedback will be the norm. 406c. Assessments may only address accomplishments that occurred during the appraisal period. 406d. When writing progress review assessments, employees and ROs must state whether the employee is on track to meet, exceed, or fail expectations for each critical element. When writing annual performance assessments, employees and ROs must state whether the employee met, exceeded, or did not meet expectations. 406e. Every critical element must be rated unless the employee did not have an opportunity to accomplish the work for reasons beyond their control. In this situation, the critical element will be marked NR for not rated and the employee and RO must explain the circumstances preventing the work. Employee procrastination is never an acceptable circumstance and must be rated appropriately. 406f. Every performance expectation (metric) identified in a critical element must be addressed in assessments. For example, when an element cites both a quality metric and a due date, the assessment must state the finished product s quality and whether the due date was met. 406g. Bullet statements are recommended when writing assessments; however, narratives are acceptable. Both the 4-17

18 employee s and RO s assessments will be reviewed to determine appropriate ratings and rewards. 406h. Accomplishments will be written as outcomes or results and show how they contributed to completion of the element (i.e., processing 35 transactions far exceeded the normal expected level of 20, which pushed the NAVCRUITDIST beyond its goal). 406i. RO assessments must avoid repeating the employee s assessment. The RO must state whether they concur with the employee s assessment and provide amplifying information about how the results impacted the mission (the so what? factor). 406j. Employees must be notified of their annual rating of record no later than 75 days after the end of the performance appraisal period (14 December). 406k. Our employees deserve the full benefit of our time and attention to detail necessary to complete our performance management responsibilities correctly. Inadequate assessments, unfair scoring, late submissions, and other delinquencies will be dealt with via appropriate disciplinary action. Civilian ROs and SROs who fail to meet deadlines will have their Supervision Critical Element score reduced, and a comment will be entered in the remarks to document the reason for the reduction. Poorly written assessments are also subject to the same reductions even if submitted on time. Fitness reports and evaluations for military ROs and SROs will be documented accordingly. 406l. When an employee who is eligible for an approved performance award moves to a different Federal organization prior to receiving the award, NAVCRUITCOM will attempt to transfer funds to the gaining organization and request payment to the employee. Payment however, is not guaranteed. 406m. An employee who separates from Federal service prior to receiving a performance award cannot be paid Signing, Routing and Retaining Appraisal Forms 407a. RO, SRO and Employee Signatures. Required on the DON Interim Performance Appraisal Form after every step of the performance management process. Electronic signatures are recommended and preferred. RO and SRO signatures are required to establish and approve critical elements, approve progress review assessments, close-out assessments and ratings (when 4-18

19 applicable), and annual assessments and ratings of record. Employee signatures are always obtained last. 407b. Appraisal Form Routing. The appraisal form should be routed between the RO, SRO and employee via to allow continued electronic input and signature. The RO should retain the primary form electronically after the employee acknowledges each event. If the RO transfers prior to the end of the appraisal period, the RO should forward the form to their successor or the SRO after the employee acknowledges the closeout assessment and ratings Grievances and Appeals. Employees may raise issues relating to the performance appraisal process using the administrative grievance procedure outlined in reference (c). Appealable issues may be submitted to the Merit Systems Protection Board (MSPB). Specifically, 408a. Employee Grievances. An employee can file a grievance: (1) When a RO (or SRO) fails to inform an employee of critical elements and standards within the required time frame. (2) To challenge individual element ratings and or the summary level rating. 408b. Performance-based demotions and removals. May be challenged through the grievance procedure or appealed to the MSPB, but not both. 408c. Non-grievable Challenges. An employee cannot file a grievance or an appeal to challenge the substance of the employee's critical elements, or awards decisions Training Requirements 409a. Required Courses. Employees, ROs, SROs and PARB and PRSCRP members are required to complete the courses listed below to familiarize themselves with the GS system and assist in executing their performance management responsibilities: (1) GS-101. (2) NAVCRUITCOM Civilian Performance Management (listed as NAVCRUITCOM Interim Performance Management System ) online. 4-19

20 (3) DON IPMS (Course ID: OCHR-IPMS-1.0). (4) DON IPMS Suggested Framework for Performance Recognition (Course ID: OCHR-IPMSSFPR-1.0). 409b. Online Courses. Courses (1) and (2) must be completed online and are available in Total Workforce Management Services (TWMS) Courses (3) and (4) must also be completed online and are available on Navy Knowledge Online (NKO): All courses must be completed no later than 30 calendar days after reporting onboard. Course (2) will also be announced and briefed periodically by N12 via live Defense Connect Online (DCO) sessions Records Management. Official records created as a result of this instruction, regardless of media and format, shall be managed per reference (d). 4-20

21 Phase Date Event Notional IPMS Performance Management Calendar 1 Plan 1 Oct Start of DON IPMS appraisal period. NLT 20 Oct NLT 27 Oct NLT 30 Oct 2 - Monitor and Develop NLT 15 Mar NLT 25 Mar NLT 29 Mar NLT 31 Mar 30 Jun Rating Officials (RO) and employee establish employee's critical elements. Senior Rating Official (SRO) reviews and approves critical elements. RO communicates approved critical elements to employee and employee acknowledges. Employee submits progress review self assessment to RO. RO submits progress review assessments to SRO. SRO reviews and approves RO's progress review assessment. RO discusses approved progress review assessment with employee and employee acknowledges. Last day to modify critical elements; all performance plans must be approved and acknowledged. 30 Sep End of DON IPMS appraisal period. 3 Rate NLT 5 Oct Employee submits annual self assessment. NLT 15 Oct RO submits annual assessment, ratings, reward scores, and award recommendation to SRO. FIGURE 4-1 NOTIONAL IPMS PERFORMANCE MANAGEMENT CALENDAR 4-21

22 Phase Date Event NLT 20 Oct 4 Reward NLT 23 Oct SRO reviews and approves annual assessment and ratings; endorses recommended reward scores and award. Completed annual appraisals and reward recommendations due to local Performance Management Liaison (PML) Oct Local PML completes Performance Awards Review Board (PARB) prep. 1-5 Nov Local PARB convenes, reviews all appraisals and approves final reward scores Nov HQ PARB Nov HQ QSI PARB NLT 23 Nov NLT 14 Dec NLT 21 Dec Final PARB spreadsheets due to the Command Performance Management Administrator (CPMA). RO discusses performance ratings and award with employee. All signed appraisals and PARB materials due to the CPMA/HRO/HRSC. Note: These dates are notional for the purpose of the instruction. If the dates are changed they will be reflected on the Annual IPMS Calendar. FIGURE 4-1 NOTIONAL IPMS PERFORMANCE MANAGEMENT CALENDAR 4-22

23 FIGURE 4-2 NAVCRUITCOM Standard Supervisor Critical Element 1. Title: Supervise Employees Critical Element: Manage an aligned, engaged, and highperforming team through leading by example and developing and executing a mission-aligned vision for the organization. Create a positive, safe work environment that allows employees to excel. Uphold high standards of integrity and ethical behavior. Perform all supervisory duties including: a. Ensure compliance with applicable laws, regulations and policies including merit system principles and prohibited personnel practices. b. Effectively attract and retain a high-caliber workforce and act in a responsible and timely manner on all steps in the recruitment and hiring process. c. Provide opportunities for orientation and tools for enabling employees to successfully perform during their probationary period and beyond. d. Identify current and future position requirements to ensure recruitment is appropriately focused and timely. e. Complete all performance management tasks in a timely manner: clearly communicate performance expectations and provide performance feedback throughout the appraisal period, hold employees accountable, promote employee development and training, promptly address performance and conduct issues, make meaningful distinctions in performance, and reward excellent performance. f. Act as a good steward of public funds. g. Maintain a safe work environment and promptly address allegations of noncompliance. h. Ensure Equal Employment Opportunity (EEO) principles are adhered to throughout the organization and promptly address allegations of discrimination, harassment and retaliation. FIGURE 4-2. NAVCRUITCOM STANDARD SUPERVISOR CRITICAL ELEMENT 4-23

24 FIGURE 4-3 NAVCRUITDIST Standard System Administrator Critical Elements 1. Title: Asset Management Ensure recruiters and support staff personnel have required information technology (IT) tools to accomplish their mission. Prepare and issue computer hardware and software assets, peripherals, and telecommunications equipment to personnel within five working days of reporting onboard 90% to 95% of the time. Document, track, and report all NAVCRUITDIST (e.g. NAVCRUITDIST HQ, NRS, NORS, MEPS) IT hardware repair and shipping transactions that are not resolved within three weeks to NAVCRUITCOM HQ (N64), NMCI representatives, vendors and/or other stakeholders. Report missing, lost, stolen, or damaged (MLSD) assets within one business day 90 to 95 percent of the time. Maintains detailed and audit ready records of all IT hardware/software assigned to the NAVCRUITDIST. 2. Title: Customer Service Provide information technology (IT) customer service support to all personnel assigned to the Navy Recruiting District. Utilizing NET, emarketplace, SReF, NAVIADS, FootPrints, NMCI Helpdesk and other local/enterprise tools to order, change, modify, and track IT service requests and proposals. Provide direct and indirect technical support to recruiters and support staff in the receipt, setup, deployment, sustainment, operations, and maintenance of computer systems and other IT/telecommunications resources. Ensure network connectivity of over 95% "up time" for circumstances within the SYSAD's control. Resolve 90% to 95% of the NAVCRUITDIST s IT trouble tickets within three working days. Escalate tickets not resolved within three working days to NAVCRUITCOM (N64) and/or NMCI Helpdesk. Keep impacted stakeholders informed of trouble ticket status. 3. Title: Computer Security Serve as NAVCRUITDIST lead for Information Assurance (IA) and computer security. Adhere to DoD, DoN, NAVCRUITCOM, and local IA policies and procedures. Validate user s eligibility and maintain auditable records (valid signed SAAR forms) of each user with access to information systems containing PII and other sensitive data. At the direction of the Commanding Officer or his/her designated representative, disable personnel access to information systems containing sensitive data if the person(s) no longer has a need-to-know, clearance administratively 4-24

25 removed and/or revoked within 24 hours of notification. Ensure computer hardware/software and telecommunications systems have security controls that are equal to or greater than the level of data being processed. Obtain and maintain IA certifications per established DoD/DoN policies. Report breaches in IA to the Commanding Officer or his/her designated representatives within two hours of notifications. Figure 4-3 NAVCRUITDIST Standard System Administrator Critical Elements 4-25

26 FIGURE 4-4 NAVCRUITCOM Standard Financial Management Critical Elements The critical elements on the next several pages are written for financial management personnel in various organizations throughout NAVCRUITCOM. ROs are to ensure the correct critical elements are assigned to their employees. The five critical elements below are for use by the N9 GS-12 Financial Management Analyst. 1. Title: Financial Analysis With limited supervision, coordinate with internal/external stakeholders/program managers in monitoring current and prior year funds execution and provide financial analysis support. Ensure execution of funds is within established budget authority (reflected on the Resource Authorization). Analyze and integrate complex data to identify emerging patterns or trends, and draw logical conclusions. Based on these reviews and analysis, organize and present results/reports and make funding recommendations to leadership. Analysis must be thoroughly documented and work products must be completed in accordance with internal/external established timelines and guidance; 94-96% of work products must be 100% accurate. 2. Title: Budget Formulation Lead activity s effort in formulating, justifying, and defending resource requirements for various budget cycles and make recommendations for alignment of resources. As requested, provide input to various budget requests and/or exhibits. Formulate policy, criteria, and instructions for use in development, implementation, review, analysis, and presentation of activity budget % of work products must be 100% accurate. 3. Title: Customer Service Communicate and liaise with NAVCRUITCOM fund holders and internal/external stakeholders in matters of budget planning and funds execution. Provide accurate and timely advice/guidance and data to resolve issues/inquiries in one-two business days for most issues, and in five-seven days for more complex situations (as determined by Supervisor). Advice/guidance must comply with existing financial management policies and guidance. 4-26

27 4. Title: Financial Reports/Exhibits Prepare, coordinate, and present accurate financial data, reports, and budget exhibits. Reports/data communicated orally or in writing, must be completed in accordance with internal/external established time lines and guidance; 94-96% of work products must be 100% accurate. 5. Title: Audit Readiness Maintain financial data (i.e. authorization/appointment letters, reports, IRDs, funding documents, travel orders, contracts, etc.) to support audit readiness efforts and tracking of financial transactions from inception to final disposition. Ensure all records are maintained indefinitely. When tasked, gather all pertinent documents for higher authority and provide information within the required timeframe. Based on periodic reviews conducted either internally or by external stakeholders (i.e., N8, IG, FMO, etc.) all obligations/expenditures must be properly authorized and supported by documentation. FIGURE 4-4 NAVCRUIT Standard Financial Management Critical Elements 4-27

28 FIGURE 4-5 NAVCRUITCOM Standard Financial Management Critical Elements The four critical elements below are for use by the N6 GS-11 Financial Management Analyst. 1. Title: Funds Execution and Analysis With limited supervision, provide financial analysis support to ensure activity meets, but does not exceed, monthly/quarterly obligation plan or fund authorizations, funds are not used on prohibited/unauthorized items, and obligations are posted in official accounting system within 10 calendar days following the day that an obligation was incurred. Analyze funds execution to spend plans and advise management, at least monthly, on status of funds and projected over/under execution. Make recommendations for adjustments to plan. Work must be completed in accordance with internal/external established time lines and guidance; 94-96% of work products must be 100% accurate. Independently and on a daily basis, monitor current and prior year accounting records/transactions to ensure reconciliation of FASTDATA and STARS-FL, and resolution of accounting transaction issues. FASTDATA and STARS-FL must be reconciled at least weekly and transactions issues (i.e. TEXVs, 1960s, IDA 128/129, Unmatched Disbursements, Negative Unliquidated Obligations, etc.) must be resolved within two-three days of initial identification for most situations, and in five-seven days for more complex situations (as determined by the supervisor). 2. Title: Budget Formulation Provide assistance in formulating, justifying, and defending resource requirements for various budget cycles and requests for financial data. As requested, coordinate with various departments/program managers to obtain information in support of various budget cycles/drills. Consolidate inputs and complete various budget requests and/or exhibits. Formulate policy, criteria, and instructions for use in development, implementation, review, analysis, and presentation of activity budget % of work products must be 100% accurate. 3. Title: Customer Service Communicate and liaise with activity head/program managers in matters of budget planning and funds execution. Provide accurate and timely advice and guidance on an as needed basis 4-28

29 resolving normal issues/inquiries in one-two business days; for more complex situations (as determined by the supervisor) an initial response should be given in one-two business days and updated until resolved. 4. Title: Audit Readiness Maintain financial data (i.e. authorization/appointment letters, reports, IRDs, funding documents, travel orders, contracts, etc.) to support audit readiness efforts and tracking of financial transactions from inception to final disposition. Ensure all records are maintained indefinitely. When tasked, gather all pertinent documents for higher authority and provide information within the required timeframe. Based on periodic reviews conducted either internally or by external stakeholders (i.e., N8, IG, FMO, etc.) all obligations/expenditures must be properly authorized and supported by documentation. FIGURE 4-5 NAVCRUITCOM Standard Financial Management Critical Elements 4-29

30 FIGURE 4-6 NAVCRUITCOM Standard Financial Management Critical Elements The four critical elements below are for use by the N4, N7 and NRD GS-9 Financial Management Analysts. 1. Title: Financial Analysis Daily, monitor fund status and accuracy of financial data in FASTDATA/STARS-FL ensuring that obligation of funds do not exceed quarterly/annual authorization levels, are not used on prohibited/unauthorized items, and are posted in official accounting system within 10 calendar days following the day that an obligation was incurred. Analyze funds execution to spend plans and advise management, at least monthly, on status of funds and projected over/under execution. Make recommendations for adjustments to plan. Work, which includes capturing, tracking, and reporting financial data, must be completed in accordance with internal/external established time lines and guidance; 94-96% of work products must be 100% accurate. Provide assistance in formulating, justifying, and defending resource requirements for various budget cycles and requests for financial data. As requested, coordinate with various departments/program managers to obtain information in support of various budget cycles/drills. Consolidate inputs and complete various budget requests and/or exhibits. Formulate policy, criteria, and instructions for use in development, implementation, review, analysis, and presentation of activity budget % of work products must be 100% accurate. 2. Title: Accounting/Reporting As required and per COMNAVCRUITCOMINST , prepare, coordinate and submit financial data/reports. Reports/data communicated orally or in writing, must be completed in accordance with internal/external established time lines and guidance; 94-96% of work products must be 100% accurate. Daily, monitor current and prior year accounting records/transactions to ensure reconciliation of FASTDATA and STARS-FL, and resolution of accounting transaction issues. FASTDATA and STARS-FL must be reconciled at least weekly and transactions issues (i.e. TEXVs, 1960s, IDA 128/129, Unmatched 4-30