12430-3.doc

DEPARTMENTOFTHENAVYOFFICEOF THE CHIEFOF NAVALOPERATIONS WASHINGTON,DC 20350-200026.ActionOPNAVINST12430.3. 50CI 1990Additionally,the EmployeeRelationsOfficeof the ServicingPersonnelOfficeshouldbe notifiedas soonas possiblefor guidanceon the proceduralrequirementsaffectedby thisaction.(3) CloseoutRatings.Closeoutratingsshallbeconductedwhen an employeecompletesa detailor a temporary promotionof 120 daysor if an employee changesa positionby reassignment,promotionor transferto another activity. Additionally,closeoutratingsmustbe conductedwhenthefirst levelsupervisorleavesthe position.In this situation,the employeemaycontinueunderthe sameperformanceplan,withthe appraisalgoingto the newsupervisor.(4) Ratingof Record.Normallywithin30 daysaftertheend of the appraisalperiod,a writtenratingof recordwillbe assignedto eachcoveredemployee.The supervisorshouldgivea summaryrating,andsignand datethe appraisalform.Supervisorsare encouragedto writecommentson the appraisal formto acknowledgespecialaccomplishments.Written comments arerequiredif an employeeis rated“Unacceptable”on any element.If the ratingis “Unacceptable”the supervisormust forwardthe appraisalto the second-levelsupervisorforapproval.Reviewof “Acceptable”ratingsis at the discretionofthe OPNAVPrincipalOfficialfor theDirectorate. Followingthe requiredreviews,the employeeshouldsignand datetheform. Signaturesindicateonlythatthe reviewhas beenaccomplished.A copyof the completedformis givento the employee;thesupervisor retainsa copy,and the originalis forwardedto the servicingpersonneloffice.(a) If, at the end of the appraisalcycle,theemployeehas notcompletedthe90dayminimumperiodof time underthe performanceplan,buthasreceiveda closeoutratingduringthesameappraisalcycle,the closeoutratingmaybecomethe ratingof record.The newsupervisormustinitialtheform. If the employeehas notreceiveda closeoutratingduringthesameappraisalcycle,the appraisalcycleshallbe extendedtoensurethe minimum90dayrequirementis met.(b) Theend of the appraisalcyclealsomarksthebeginningof the new performance managementperiod.Thisis the appropriatetimeto discussandsignthe nextyearsPerformance Appraisal Form.OPNAVINST12430.3. Socr 19918.Relationshipto otherPersonnelActionsa.WithinGradeIncreases.Coveredemployeeswillreceivewithingradeincreaseswheneligibleprovided theirperformance equatesto an “Acceptable”ratingof record.A specialratingis preparedwhenan employeehas a currentannual ratingof“acceptable”buthas beenexperiencingperformancedeficiencies for the past 90 daysand is “unacceptable”in one or more element.b.Promotion.To be promoted,an employeemustbeperformingat the“acceptable”levelon all elements.However,thefactthatan employeeis ratedacceptableat the timehe/sheis eligiblefor a careerladderpromotion,doesnot meanthatthepromotionis automatic.For meritpromotionactions, the rating of recordshouldbe evaluatedby selectingofficialsto theextentit is relevantto the positionbeingfilled.c.QualityStepIncrease.The QualityStepIncrease(QSI)providesappropriaterecognitionfor excellencein performanceby grantingfasterthannormalstepincreases;therefore,carefulconsiderationshouldbe givenbeforegrantinga QSI.An employeeis eligiblefor onlyone qualitystepincreasewithin any 52week period.To be eligiblefor a QSI,GS employeesmustmeetthe followingcriteria: receiveda ratingof recordof “Acceptable”; demonstratedsustainedperformanceof highqualitysignificantly abovethat expectedat the “acceptable” level; and madesignificantcontributionsto the organizationsmission.Inaddition,theremustbe an expectationthatthe highquality performancewillcontinuein thefuture.d.Removal,Demotion,and Reassignment.An employeewhose.erformanceis “Unacceptable”musthavean opportunityperiodtoimprove.If, at the conclusionof the opportunityperiod,theemployeesperformancecontinuesto be “unacceptable”,the supervisor,workingwithEmployeeRelations,mustinitiate reassignment,reductionin gradeor removal action.e.ProbationaryPeriod.Evaluationof the employeesperformance, as wellas otherconsiderationssuchas conductand reliability,willserveas a basisfor the decisionto retainor removean employee fromtheFederal Serviceduringthe initial probationary period.OPNAVINST12430.35 OCT1990Evaluationof a supervisorsperformanceof thePersonnelManagementand EqualEmploymentOpportunityelementswillserve as a basisfor the decisionto retainor removea supervisorormanagerfromhis/herpositionduringthe ProbationaryPeriod.f.Reduction-in-force(RIF) .Thethreemostrecentratingsof recordreceivedin the last4 yearswilldeterminethe retentionstandingof an employeefor RIF purposes.9.Awards.Throughoutthe appraisalcycle,awardsshouldbeusedto acknowledgeand motivateemployeesby rewardingsignificantindividual,team,or organizationalachievementsand contributions .A widevarietyof awardoptionsare available: SpecialAct,Time-off,On-the-Spotand Honoraryawards.Informationon proceduresand requirementsgoverningawardsis containedin theDON ImplementationGuidanceon Awards(reference(e).Pleasecontactthe Chiefof NavalOperations(N09BD)foradditionalinformationconcerningawards.10.Grievancesand App eals .Coveredemployeesmayraiseissuesrelatinqto the performanceappraisalprocessthrough the administrativegrievanceprocess.Appealableissuesmay be appealedto the MeritSystemsProtectionBoard(MSPB).Guidanceon grievableand/orappealablemattersis as follows:a.Elementsand standardsmaynot be grievedor appealed.b.Ratingson elementsandsummaryratingsare grievable.c.Failureto informemployeesof elementsandstandardsisgrievable.d.Performance-baseddemotionsand removalsmaybe grievedthroughthe grievanceprocessor appealedto the MSPB,butnotboth .11.Forms .Thefollowingformsare availablefromCNO(N09BD)or maybe locallyreproduced:a.OPNAV12430/l(Apr98), Chiefof NavalOperationsPerformanceAppraisalForm,GS 112and,b.OPNAV12430/2(Apr98), Chiefof NavalOperationsPerformanceAppraisalForm,GM/GS13, 14, 15.12.EffectiveDate.The policycontainedin thisinstructioniseffective1 July1998for employeesGS13and aboveand1 October1998for employeesGS-1to GS-12.7OPNAVINST12430.350CI !gqjRearAdmiral,U. S. NavyDirector,NavyStaffDistribution:SNDLA B3B821A232426B326F26L26N126Q26S126U26Z26JJ26LL226QQ226RR26DDD27G28C39B39140B41A41B41C41D42A42B142B2(Navy Department)(Collegeand University)(MaritimeDefenseZoneCommands)(Fleet Commandersin Chief)(Force Commanders)(Type Commanders)(less 24J)(NavalSurfaceReserveForceCommander)(OperationalTest& EvaluationForceandDetachment)(PolarisMaterialOfficeandDetachment)(HeadquartersSupportActivityLANT)(NuclearWeaponsTrainingGroup(MobileTechnicalUnitPAC)(MOTU5,only)(SurfaceForceReadinessSupportGroup)(ShoreIntermediateMaintenanceActivity)(Fleet AreaControland SurveillanceFacility)(PacificOperationsSupportFacility)(SpecialWarfareGroupand UnitPAC)(COMNAVSPECWARGRU1, only)FleetImagingCommand,Center,FacilityandDetachment)FleetCombatSystemsTrainingUnit) SupportForce)SurfaceGroupandForceRepresentative(ConstructionBattalions)(ConstructionBattalionMaintenanceUnit)(Controlof ShippingOfficer)(Commander,MSC)(Area Commander,MSC)(Sub-AreaCommander,MSC)(Offices,MSC)(UnitedKingdom,Honolulu,Pusan, Alaska,Seattle,LongBeach,SanDiego,Norfolk,New Orleans,and portCanaveral,only)(Fleet AirCommands)(FunctionalWingCommanderLANT)(FunctionalWingCommanderPAC)(lessCOMLATWINGPACISAT)AllDivisionsof OPNAV8b 5 Ocl Ig#OPNAVINST12430.3CHIEF OF NAVAL OPERATIONSPERFORMANCEAPPRAISALFORM GS 1-12PART I1. PERIOD COVERED2.FROM:TO:qINTERIM APPRAISAL1RATING OF RECORD3. NAME: (LAST, FIRST, MIDDLE LNITIAL)4. SSN:5. POSITION TfTLE/SERIES/GRADE6. ORGANIZATIONICODE7. RECORD OF REVIEWS AND FINAL APPRAISAL.(Signature indicates that this step of the process has been completed. Must be signed and dated.)(NOTE: Employee signature does not necessarily constitute agreement with tbe plan or rating.)STANDARDSPROGRESS REVIEWRATINGIMMEDIATESUPERVISORSECOND LEVELSUPERVISOREMPLOYEE8. RATING OF RECORD OR INTERIM APPRAISAL.c1ACCEPTABLEqUNACCEPTABLE9. EMPLOYEESPOSITION DESCRIPTIONS CURRENT AND ACCURATE?qYESORlNO10. SUPERVISORS COMMENTSOPNAV 12430/l(APR98)OPNAVINST1243&35 OCT1998EMPLOYEEELEMENTS AND PERFORMANCESTANDARDSPART 11Failure to attain acceptable level of performance in any portion of a standard will result in an unacceptable for tbe entire element.“ U“ marks require factualdocumentation.ELEMENT1. TECHNICALCOMPETENCE/PROGRAMMANAGEMENTqEASqASEluContributes to tbe operational effectiveness of the command by performing specificduties as contained in the position description and other duties as assigned.ACCEPTABLE:o Executes work assignments, follows appropriate procedures, complies with applicableregulations and policies, meets assigned deadlines.o Meets accepted command standards with regard to work quality and quantity, completeness and accuracy, and consistency and timeliness.o Requires minimal supervision. Work independently on routine assignments, needssupervisory guidance primarily for unusual or complex situations.o Produces work that satisfies customer requirements and provides timely support.Where applicable- Securityand Acquisition elementELEMENT2. COMMUNICATIONSElEAS1ASqluPromotes flow of information and understandingneeded to operate commandprograms, achieve command missions, supports customer service, and facilitates personnel interactions.ACCEPTABLE;o In written and oral communications, the employee expresses informationclearly, completely, correctly, and in a timely manner.o Uses the chain-of-commandto resolve problems, seeks assistance and clarifies work requirements.o Tbe employee fully staffs work assignments with others when issues being addressed impact other work areas.o No more than two (2) valid customer complaints are reported within therating cycle.ELEMENT3. CUSTOMERSERVICEqEAS1ASquProvides prompt, courteous and knowledgeable service to both internaland external customers.ACCEPTABLE;Enclosure (1)2taonOPNAVINST12430.3-”.I*UWNOTMETMETEXCWORK PLAN RATINGUnacceptable_Failed to meet the majority of work plan objectivesMinimally Successful_Met the majority of work plan objectivesFully Successful_Met all work plan objectivesExceeds Fully Successful_Exceeded the majority of work plan objectivesOutstanding_Exceeded all work plan objectivesCOMMENTS. . . . . . . . . . .-, ,. m” no,2UkNAV 1145u/ l(MKYOJEnclosure (1)5 Ml IggOPNAVINST12430:3CHIEF OF NAVALOPERATIONSPERFORMANCEAPPRAISALFORM GIWGS13,14,15PART 1L PERIODCOVERED2.FROM:TO:lINTERIM APPRAISAL1RATING OF RECORD3. NAME: (LAST,FIRST, MIDDLE INITIAL)4. SSN:5. POSITION TITLE/SERIEWGRADE6. ORGANIZATION/CODE7. RECORD OF REVIEWS AND FINAL APPRAISAL.(Signature indicates that this step of the process has been completed. Must he signed and dated.)(NOTE: Employee signature does not necessarily constitute agreement with the plan or rating.)STANDARDSPROGRESS REVIEWRATINGIMMEDIATESUPERVISORSECOND LEVELSUPERVISOREMPLOYEE8. RATING OF RECORD OR INTERIM APPRAISAL.qACCEPTABLEqUNACCEPTABLE9. EMPLOYEESPOSITION DESCRIPTIONIS CURRENT AND ACCURATE?1YESORlNO10. SUPERVISORS COMMENTSOPNAV 12430/2(APR 98)Enclosure (2)OPNAVINST12430-s. 5 OC1 1990JIements and PerformanceStandardsPART IIrnilure to attain an acceptable level of performance in any portion of a standard will result in an unacceptable for tbe entire element. “U” marks require factual)cumentation.LEMENT1. TECHNICALCOMPETENCE/PROGRAMMANAGEMENTqEASqAS1uontributes to tbe operational effectiveness of the command by supervising andIrecting tbe work ofemployees and performing specific duties as retained in the position description and other duties as assigned.CCEPTABLE:Plans and executes assignments in compliance with appropriate departmental,command, and Navy policy and procedures.Contacts and coordinates withother divisions/departmentsfor needed support, allowing suftlcient time for work requirements to be met.Performs position requirements independently, with little need for direction andguidance. Completed work meetsthe accepted standards of the command. Paperwork is complete, accurate, in the proper format, and submitted on time. Receives generally positive feedback regarding customer satisfaction.Customer satisfaction is good, with generally positive feedback. Customer comments are reviewed, analyzed and initiated if feasible.Assigns work appropriately, distributed work eversly, sets realistic completion,provides necessary reso