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Faculty Performance Appraisal System

The Faculty appraisal cycle runs from 1 May to 30 April each year.  The Faculty Performance Appraisal System is one which provides for the identification of performance elements, establishment of performance standards, communication of standards and elements to individual faculty members, establishment of performance appraisal methods and procedures, and provision for the appropriate use of appraisal information in making personnel decisions.

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Performance Feedback System

General Schedule (GS) and Federal Wage System (FWS) employees who are covered by the bargaining unit will be rated under the Performance Feedback System.

The Performance Feedback System offers you, the employee, an opportunity to participate interactively with your supervisor in the evaluation process. On-going coaching, employee involvement and performance feedback work together to create an environment which fosters continuous improvement.

This two-level summary rating system incorporates the basic performance management requirements of the Office of Personnel Management, the Department of Defense and the Department of Navy.

For further information, please review the following pages listed below:

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Performance Feedback Policies

The annual appraisal period for the rating of record is 1 July through 30 June. An approved copy of the performance standards (signed and dated by you and your supervisor) will be presented to you within 30 days of the start of the rating period. In most cases this copy will be presented to you at the conclusion of your initial meeting with your supervisor. Approved standards must be in effect and a copy must be presented to you a minimum of 90 days before you are eligible to receive a performance rating of record.

If you are detailed or temporarily promoted to another position for a period of 90 days or more, you must also be placed on approved performance standards (signed and dated Performance Feedback form). At the end of the temporary appraisal period you will receive an interim close-out appraisal.

Supervisors will prepare interim close-out appraisals upon departure from their position for any employee who has been on approved performance standards (signed and dated Performance Feedback form) the minimum required 90 days. Supervisors will also prepare interim close-out appraisals for any employee who leaves his or her position, if the employee has been on approved performance standards at least 90 days.

Non-supervisory employees will be rated on the generic performance standards and evaluation factors printed on the Employee Performance Feedback form. Employees with supervisory responsibilities will be rated against the standards and evaluation factors printed on the Supervisor Performance Feedback Form. Your supervisor will determine the success of each assigned task or objective by applying the appropriate Performance Standard(s) and rating each standard against the applicable Evaluation Factors.

Supervisory Standards:

  • Technical Competence
  • People Management
  • Performance Feedback
  • Leadership
  • Accountability
  • Safety
  • Hiring Practices
  • EEO

Employee Standards:

  • Customer Focus
  • Communications
  • Technical Competence
  • Quality
  • Teamwork
  • Safety

During your face-to-face meeting with your supervisor, you will review the performance standards and evaluation factors printed on the Performance Feedback form. You will also discuss your major assignments and projects, mission requirements, priorities and training needs. You and your supervisor will summarize the key points of your discussion, and sign and date block 7 of the Performance Feedback form.

Prepare for your meeting by making a prioritized list of your current assignments and projects. Review your position description and understand the major duties. Be prepared to address what assignments are still current and what may need updating.

Ask questions! Understand how the success of each assignment will be rated against the standards. Share your ideas for improvement. Notify your supervisor about any resources, equipment or training which may enhance your ability to improve performance.

If you and your supervisor have not reviewed and approved your performance standards within 30 days of the start of the rating period, request a face-to-face meeting with your supervisor to discuss the work expectations and set the standards.

When your perception about an assignment is not consistent with your supervisor's priorities or the mission requirements, you are still responsible for performing work to the best of your ability. At a minimum, you must make sure that you clearly understand your supervisor's expectations.

When reviewing your position description for accuracy, remember that it is not necessary for a position description to include every duty you may be expected to perform. Occasional or one-time assignments normally will not be described in the position description. Alert your supervisor if you are regularly performing work that is not reasonably related to your official position and ability.

Assume responsibility! When it's not clear who should be handling a certain task or problem, you should take the initiative to identify the issue, move toward finding a solution, share your ideas, and volunteer to get the job done! Employees sometimes are reluctant, and even refuse at times to perform an assignment. The typical and erroneous response is, "That is not in my job description!"

The statement "Performs other duties as assigned," is included in all position descriptions to cover unexpected tasks or situations which arise from time to time in any organization. Remember that your supervisor has full authority to assign work as long as it fits within the scope of the organization's mission and operations. If your supervisor has communicated the work expectations -- regardless of whether the work is specified in the position description -- you are expected to carry out your assigned work to the best of your ability.

Your supervisor will review your position description for accuracy, along with your list of of current projects and assignments. He or she will make suggestions for improvement, assign new work, and explain how the standards and evaluation factors relate to your assigned work.

An employee's disregard of established performance standards can seriously affect the successful accomplishment of the mission. If you have received counseling, and have ignored previous corrective discussions and agreements, your supervisor may take corrective action -- particularly in situations where overall productivity has declined due to repeated, deliberate, or disruptive performance problems.

Request training if you are working with new or unfamiliar equipment, procedures or methods; or if you are faced with a new assignment which falls outside the normal scope of your responsibilities.

You and your supervisor will meet face-to-face to discuss your accomplishments, update mission requirements and priorities, review your completed work and clarify any differences. The key points of your exchange will be documented on the Performance Feedback form, and both of you will sign and date block 8.

During the follow-up feedback you will again present input and your supervisor will review your accomplishments. Your assignments and priorities will be updated and the key points of your agreement, along with both of your signatures will be annotated in block 9 of the Performance Feedback form.

At the end of the rating period you will provide your supervisor with a written or verbal summary of your accomplishments. Your supervisor will review your input and determine the success of your completed work by applying the appropriate performance standards and rating each standard against the applicable evaluation factors. Each performance standard will be rated wither SUCCEEDS or FAILS. Your supervisor will sign and date block 10 of the Performance Feedback form. Approval from the second level supervisor is required only when the summary rating is UNSUCCESSFUL.

After the appraisal form is completed and signed by all the appropriate rating officials, you will be asked to sign and date block 10. A copy of the completed rating will be presented to you within 30 days after the end of the rating period and the original copy will be forwarded to the Human Resources Office and filed in your Official Personnel File.

All performance standards are critical. Therefore, if a performance standard is rated FAILS, you will receive an overall summary rating of UNSUCCESSFUL. To receive a SUCCESSFUL summary rating you must be rated SUCCEEDS in all of your performance standards.

At any time during the appraisal period that the employee FAILS one or more performance standards, he or she will be formally placed on a Performance Improvement Plan (PIP). The PIP identifies the performance standard which FAILS to meet expectations; provides a reasonable amount of time for improvement 00 normally 60 to 90 days; specifies what must be done to bring performance up to the SUCCESSFUL level; and explains the consequences of continued failure. Written notification of failure containing the Performance Improvement Plan is presented to the employee by the supervisor.

Employees who are afforded an opportunity to improve, but continue to perform at an UNSUCCESSFUL level at the end of that period, will be reassigned, reduced in grade or removed from employment.

Within Grade Increases are denied when performance is UNSUCCESSFUL. A Special Rating is presented to an employee who has a current Annual Rating of SUCCESSFUL, but who has been experiencing performance deficiencies for the past 90 days and FAILS one or more Performance Standards.

Take responsibility for performance deficiencies by asking yourself the following: Did you miss a suspense date, fail to produce the volume of work expected, or fall short of the quality criteria? What steps are you proposing or have you taken to resolve and improve the situation? How did your supervisor become aware of the problem? When did the vent take place? How does your actual work output differ from he performance standards on your Performance Feedback form? Did you understand the assignment? Did you and your supervisor review your performance standards and sign the Performance Feedback form? Are there any mitigating factors (e.g. work condition, conflicting priorities, unclear instructions, time constraints, unavailable resources, lack of training, etc.) which prevented you from meeting the expectations? Is this the first occurrence during the current rating period? Are there any other situations, reference or documentation relevant to this issue?

Employees who are not members of the bargaining unit may grieve their rating of record through the administrative grievance procedure. Member of the bargaining unit may grieve through the negotiated grievance procedure.

Appealable issues may be appealed to the Merit Systems Protection Board. The Special Counsel of the Merit Systems Protection Board shall review any allegation of a prohibited personnel practice. Guidance on grievable/appealable matters is as follows:

  • The generic Performance Feedback System Performance Standards and Evaluation Factors are neither grievable nor appealable.
  • Failure to inform employees of the critical elements and factors within the required time frame (e.g. within 30 days of the beginning of the rating period) is grievable.
  • Rating on individual Performance Elements and Summary Ratings are grievable.
  • Performance-based demotions, reassignments, and removals may be grieved through the appropriate grievance procedure or appealed to the Merit Systems Protection Board, not both.

Please note: Grievances must be submitted in writing to the first level supervisor within 15 days of receipt of the performance evaluation rating. The grievance will include a clear statement of the issues and indicate the specific personal relief being sought. If the first level supervisor rejects all or part of the grievance, the decision may be filed in accordance with the guidance found in NAVPGSCOLINST 12000.1, section 771, or the negotiated agreement.

The rating of record for RIF purposes will be the annual rating conducted at the time specified by the Activity Head. No rating will be assigned for the purpose of affecting an employee's RIF retention standing. The three most recent ratings of record are considered to determine retention standing in a RIF. For the purposes of a RIF, the Performance Feedback System's rating of record of SUCCESSFUL is equivalent to a "Level 3" rating. An employee would receive 12 additional years of service credit for each annual performance rating of SUCCESSFUL

The Advantage: A two-level performance appraisal system evens the playing field in the event of a reduction in force. Less employees are likely to be adversely affected in a RIF under a two-tier system than would be under a three or five-tier system.

The Disadvantage: An employee who transfers from another agency with recent appraisals under a three or five-tier summary rating system may, under some circumstances, have the advantage in a reduction in force. Also, an employee who transfers to another agency may be at a disadvantage, if under a RIF situation he or she must compete for a position with an employee who was recently rated under three or five-level appraisal systems.

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Interim Performance Management System (IPMS)

The National Defense Authorization Act (NDAA) 2010 repealed the National Security Personnel System (NSPS) and required that all employees be transitioned from NSPS.  The law also required DoD to submit to Congress a proposal for an enterprise-wide performance management system.  For the period until the DoD-wide performance management system is implemented, the DON has developed the Interim Performance Management System (IPMS).

IPMS covers all non-bargaining unit appropriated fund civilian positions of the DON previously covered by the NSPS performance management system which are not otherwise covered by the laboratory or acquisition demonstration projects.  The appraisal period for IPMS runs from 1 October to 30 September.