6109.13_10
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FOREST SERVICE HANDBOOK
NATIONAL HEADQUARTERS (WO)
WASHINGTON, DC
FSH 6109.13 – PERFORMANCE, TRAINING, AND AWARDS HANDBOOK
CHAPTER 10 – PERFORMANCE MANAGEMENT PROGRAM
Amendment No.: 6109.13-2007-1
Effective Date: January 4, 2007
Duration: This amendment is effective until superseded or removed.
Approved: IRVING THOMAS
Associate Deputy Chief
Date Approved: 12/26/2006
Posting Instructions: Amendments are numbered consecutively by Handbook number and
calendar year. Post by document; remove the entire document and replace it with this
amendment. Retain this transmittal as the first page(s) of this document. The last amendment to
this Handbook was 6109.13-2006-1 to 6109.13_20.
New Document
6109.13_10
56 Pages
Superseded Document(s) by
Issuance Number and
Effective Date
6109.13_10
(Amendment 6109.13-2005-1, 08/31/2005)
34 Pages
Digest:
10 – Revises chapter in its entirety and provides for an agency performance appraisal system,
designates covered and excluded employees, and describes objectives, responsibilities,
definitions, and ongoing evaluation of the program.
WO AMENDMENT 6109.13-2007-1
EFFECTIVE DATE: 01/04/2007
DURATION: This amendment is effective until superseded or removed.
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FSH 6109.13 – PERFORMANCE, TRAINING, AND AWARDS HANDBOOK
CHAPTER 10 – PERFORMANCE MANAGEMENT PROGRAM
Table of Contents
10.1 - Authority........................................................................................................................... 5
10.2 - Objectives ......................................................................................................................... 5
10.3 - Policy ................................................................................................................................ 6
10.31 - Labor Relations Considerations.................................................................................. 6
10.32 - Employees Covered by Performance Management Program ..................................... 6
10.33 - Exclusions from Performance Management Program ................................................ 6
10.33a - Senior Executive Service .......................................................................................... 6
10.33b - Employees with Excepted Service Appointments .................................................... 6
10.33c - Employees with Appointments Limited to 1 Year or Less or Serving on
Intermittent Tours of Duty .......................................................................................... 7
10.4 - Responsibility ................................................................................................................... 7
10.41 - Washington Office, Director of Human Capital Management (HCM) ...................... 7
10.42 - Albuquerque Service Center (ASC), Human Capital Management (HCM) Staff
Director ....................................................................................................................... 7
10.43 - Rating Official ............................................................................................................ 8
10.44 - Reviewing Official...................................................................................................... 9
10.5 - Definitions ........................................................................................................................ 9
10.6 - Agency Evaluation of the Performance Management Program ..................................... 14
11 - GENERAL PROVISIONS OF THE PERFORMANCE APPRAISAL SYSTEM ...... 15
11.02 - Objectives ................................................................................................................. 15
11.1 - Performance Appraisal Records ..................................................................................... 15
11.11 - Types of Records ...................................................................................................... 15
11.12 - Distribution and Maintenance................................................................................... 15
11.13 - Availability ............................................................................................................... 16
11.14 - Retention ................................................................................................................... 16
12 - ORIENTATION AND TRAINING ........................................................................... 17
13 - PERFORMANCE PLANS ...................................................................................... 17
13.1 - Establishment of Performance Plans .............................................................................. 18
13.11 - Employee Participation in Establishing Performance Plans ..................................... 19
13.12 - Use of Mandatory Generic Elements ........................................................................ 19
13.13 - Performance Standards ............................................................................................. 20
13.13a - Generic Performance Standards .............................................................................. 20
13.13b - Supplemental Standards ......................................................................................... 21
13.13c - Absolute Standards ................................................................................................. 21
13.14 - Developing Performance Measures .......................................................................... 21
13.2 - Exhibits for Performance Appraisals and Plans ............................................................. 22
13.21 - Non-supervisory Positions ........................................................................................ 23
13.21a - Form AD-435, Performance Appraisal ................................................................... 23
13.21b - Form AD-435A, Performance Plan, Progress Review and Appraisal Worksheet;
Element 1 - Mission Results ..................................................................................... 24
WO AMENDMENT 6109.13-2007-1
EFFECTIVE DATE: 01/04/2007
DURATION: This amendment is effective until superseded or removed.
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13.21c - Form AD-435B, Performance Plan, Progress Review and Appraisal Worksheet
(Continuation Sheet); Element 2 - Managing Work Assignments ........................... 25
13.21d - Form AD-435B, Performance Plan, Progress Review and Appraisal Worksheet
(Continuation Sheet); Element 3 - Teamwork and Partnerships............................... 26
13.22 - Supervisory Positions ............................................................................................... 27
13.22a - Form AD-435, Performance Appraisal ................................................................... 27
13.22b - Form AD-435A, Performance Plan, Progress Review and Appraisal Worksheet;
Element 1 - Mission Results ..................................................................................... 28
13.22c - Form AD-435B, Performance Plan, Progress Review and Appraisal Worksheet
(Continuation Sheet); Element 2 – Leadership/Management ................................... 29
13.22d - Form AD-435B, Performance Plan, Progress Review and Appraisal Worksheet
(Continuation Sheet); Element 3 – Civil Rights ....................................................... 30
13.22e - Form AD-435B, Performance Plan, Progress Review and Appraisal Worksheet
(Continuation Sheet); Element 4 – Safety................................................................. 31
13.22f - Form AD-435B, Performance Plan, Progress Review and Appraisal Worksheet
(Continuation Sheet); Element 5 – Teamwork and Partnerships .............................. 32
14 - MONITORING PERFORMANCE DURING APPRAISAL PERIOD ....................... 33
14.1 - Progress Reviews............................................................................................................ 33
15 - APPRAISING PERFORMANCE ............................................................................ 33
15.1 – Appraisal Period ............................................................................................................ 33
15.2 - Criteria for Extending the Appraisal Period ................................................................... 33
15.3 – Summary Rating and Rating of Record ......................................................................... 34
15.4 - Element Ratings.............................................................................................................. 35
15.5 - Advisory Ratings ............................................................................................................ 45
15.6 – Determining the Summary Rating ................................................................................. 46
15.7 - Review and Approval of Ratings ................................................................................... 48
15.8 - Employee Signature upon Receipt of Rating ................................................................. 48
15.9 - Employee Response to Ratings ...................................................................................... 49
15.10 - Submission of Completed Ratings ........................................................................... 49
16 – PERFORMANCE BONUS AWARDS ................................................................... 49
17 - DEVELOPING EMPLOYEE’S PERFORMANCE .................................................. 49
18 - DEALING WITH UNACCEPTABLE PERFORMANCE ......................................... 50
18.1 - Opportunity to Improve Performance ............................................................................ 51
18.2 - Contents of Performance Improvement Plans ................................................................ 51
18.3 - Determining Appropriate Action after Completion of the Performance Improvement
Period (PIP)................................................................................................................... 52
18.4 - Notice of Proposed Action ............................................................................................. 53
18.5 - Medical Conditions Affecting Performance ................................................................... 53
19 - RELATIONSHIP OF PERFORMANCE APPRAISAL TO OTHER PERSONNEL
ACTIONS ........................................................................................................... 53
19.1 - Within-grade Increase .................................................................................................... 53
19.11 – Denial of Within-grade Increase .............................................................................. 54
WO AMENDMENT 6109.13-2007-1
EFFECTIVE DATE: 01/04/2007
DURATION: This amendment is effective until superseded or removed.
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19.12 - Role of Albuquerque Service Center (ASC), Human Capital Management (HCM)
Staff ........................................................................................................................... 54
19.2 - Reduction in Force ......................................................................................................... 54
19.3 - Promotion ....................................................................................................................... 56
19.4 - Probationary Period ........................................................................................................ 56
WO AMENDMENT 6109.13-2007-1
EFFECTIVE DATE: 01/04/2007
DURATION: This amendment is effective until superseded or removed.
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FSH 6109.13 – PERFORMANCE, TRAINING, AND AWARDS HANDBOOK
CHAPTER 10 – PERFORMANCE MANAGEMENT PROGRAM
The performance management program is the integrated process by which the Forest Service
involves its employees in improving overall effectiveness in the accomplishment of the agency’s
mission and strategic goals. Performance management consists of: performance planning,
performance monitoring, employee development, evaluating employee performance, and
performance bonus awards.
10.1 - Authority
1. Title 5, United States Code, Part III, Subpart C - Employee Performance, Chapter 43 - Performance Appraisal, Subchapter I - General Provisions, section 4302 provides for
the establishment of agency performance appraisal systems.
2. Title 5, Code of Federal Regulations, Part 430 - Performance Management (5 CFR
part 430), provides for the performance appraisal of Federal employees. The Forest
Service appraisal program fits the pattern summary level described as pattern H in 5 CFR
430.208(d), Summary levels, paragraph (1).
3. The USDA Performance Management System approved by the Office of Personnel
Management (OPM) on September 10, 1986, established the framework within which the
Forest Service can develop performance management programs for non-Senior Executive
Service (SES) employees.
10.2 - Objectives
The objectives of the performance management program are to:
1. Improve overall effectiveness in the accomplishment of the agency’s mission and
strategic goals by involving employees in the development of performance measures.
2. Achieve an appraisal system that focuses on results and differentiates levels of
performance, and recognizes employees who exceed expectations.
3. Promote accountability by focusing on results, service, quality, and customer
satisfaction.
4. Align individual performance elements and standards with organizational goals and
the agency’s strategic plan.
5. Continually enhance program effectiveness by monitoring and evaluating the
program.
WO AMENDMENT 6109.13-2007-1
EFFECTIVE DATE: 01/04/2007
DURATION: This amendment is effective until superseded or removed.
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10.3 - Policy
10.31 - Labor Relations Considerations
The direction in this chapter contains items which have been negotiated between Forest Service
and National Federation of Federal Employees (NFFE) Forest Service Council (FSC). It must
not be altered or supplemented below the National level by units covered by NFFE. National
level changes must not be made without notice and without bargaining between the parties, as
appropriate.
10.32 - Employees Covered by Performance Management Program
Coverage under this program is based on an employee’s type of appointment, per Title 5, Code
of Federal Regulations, Part 430 – Performance Management, Subpart B - Performance
Appraisal for General Schedule, Prevailing Rate, and Certain Other Employees (5 CFR part 430,
subpart B).
See the following for the list of employees that are covered:
1. All competitive service employees, whether temporary or permanent, that are
expected to meet the minimum appraisal period (90 days). This includes temporary
1039’s.
2. Excepted Service Presidential Management Fellows (PMFs) and Student Career
Experience Program (SCEP) employees who are expected to be on the rolls for 90 days
or more.
10.33 - Exclusions from Performance Management Program
10.33a - Senior Executive Service
Senior Executive Service (SES) employees are excluded from the performance management
program provisions of this chapter, in accordance with Title 5, Code of Federal Regulations, Part
430 - Performance Management, Subpart C - Managing Senior Executive Performance (5 CFR
part 430, subpart C).
10.33b - Employees with Excepted Service Appointments
Employees with excepted service appointments are excluded from the performance management
program, with the exception of Student Career Experience Program (SCEP) students and
Presidential Management Fellows (PMF’s).
WO AMENDMENT 6109.13-2007-1
EFFECTIVE DATE: 01/04/2007
DURATION: This amendment is effective until superseded or removed.
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10.33c - Employees with Appointments Limited to 1 Year or Less or Serving on
Intermittent Tours of Duty
Employees with the following types of appointments limited to 1 year or less, or serving on
intermittent tours of duty under the following authorities are excluded from the provisions of
FSH 6109.12, chapter 60:
1. 5 CFR 213.3102(k), when occupied by employees to whom no compensation is paid.
2. 5 CFR 213.3102(l), when occupied by scientific, professional, or technical experts for
consultation purposes.
3. 5 CFR 213.3102(o), when occupied by faculty members.
4. 5 CFR 213.3202(a), when occupied by students under the Student Temporary
Employment Program (STEP).
10.4 - Responsibility
10.41 - Washington Office, Director of Human Capital Management (HCM)
The Washington Office, Director of Human Capital Management (HCM), is responsible for:
1. Maintaining liaison with the Office of Personnel Management and the Department of
Agriculture on regulatory and policy matters related to performance management;
2. Evaluating the effectiveness of the Servicewide performance management program,
including the extent to which the responsibilities in this chapter are met, as well as the extent to
which the results of a performance appraisal are used as the basis for other personnel actions; and
3. Providing overall leadership and technical assistance concerning the Servicewide
performance management program and the performance appraisal process.
10.42 - Albuquerque Service Center (ASC), Human Capital Management (HCM)
Staff Director
The Albuquerque Service Center (ASC), Human Capital Management (HCM) Staff Director is
responsible for:
1. Providing technical and operational support and advice to rating officials to help them
administer the performance management program in a manner consistent with the provisions in
this chapter and applicable laws and regulations.
WO AMENDMENT 6109.13-2007-1
EFFECTIVE DATE: 01/04/2007
DURATION: This amendment is effective until superseded or removed.
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2. Arranging for necessary training and/or orientation in performance management
program coverage, use of elements and standards, establishment of measures, and other
procedures and techniques for effectively managing performance.
3. Ensuring that performance appraisal documents are maintained in the servicing HCM
Staff in accordance with the requirements in Title 5, Code of Federal Regulations, Part 293 Personnel Records and Part 297 - Privacy Procedures for Personnel Records (FSM 6270, FSH
6209.11, section 41, and section 11.14 of this handbook).
4. Ensuring that provisions of applicable collective bargaining agreements related to
performance management and performance appraisals are met.
5. Notifying the National Finance Center (NFC):
a. When to withhold an employee’s within-grade increase (WGI).
b. When the WGI is to be processed and its effective date after a WGI has been
denied (sec. 19.11).
10.43 - Rating Official
The rating official is responsible for ensuring that:
1. All phases of performance management are administered in a fair and objective
manner consistent with direction in this chapter and applicable laws, regulations, policies,
collective bargaining agreements, and in conformance with applicable timeframes, including:
a. Developing a performance plan within the required timeframes.
b. Monitoring and appraising employee performance.
c. Developing employee performance.
d. Rewarding performance.
e. Dealing with unacceptable performance.
2. Each employee is involved in the development and establishment of the employee’s
performance plan.
3. Critical elements are aligned with agency goals(s) and objectives
4. Performance measures and expected results are included in the employee’s written
performance plan for all elements.
WO AMENDMENT 6109.13-2007-1
EFFECTIVE DATE: 01/04/2007
DURATION: This amendment is effective until superseded or removed.
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5. The meaning of the elements, standards, and measures are clearly explained to
employees.
6. Each employee is given timely constructive feedback regarding performance.
7. Employees receive at least one formal progress review, in addition to any informal
progress reviews, during the rating period.
8. Employees are given the opportunity to improve performance and to increase their
capacity to perform through such methods as formal training, on-the-job training, details,
and work process improvement.
9. Employee recognition and awards are used equitably as tools to recognize both
individual performance and contributions to group, team, or unit efforts where
appropriate.
10. The required second level reviews are obtained from the Reviewing Official.
11. Notify the ASC HCM Staff Director prior to finalizing an employee’s rating of
record when the employee will be rated less than fully successful.
12. Ensure performance records are maintained and distributed in a confidential manner
(sec. 11.12).
10.44 - Reviewing Official
The reviewing official is responsible for:
1. Ensuring performance plans are consistent with prescribed policies and procedure in
this chapter, including reviewing and signing Form AD-435A, Performance Plan, Progress
Review and Appraisal Worksheet, Box 5, at the time performance plans are established.
2. Consulting with, and resolving disputes between the rating official and the employee,
regarding the establishment of performance plans consistent with section 13.1.
3. Conducting the required second level review before the rating official discusses the
final summary rating with the employee and signing Form AD-435, Performance Appraisal in
Box 20.
10.5 - Definitions
Absolute Standard. A performance standard that allows no margin of error and used in
limited circumstances.
WO AMENDMENT 6109.13-2007-1
EFFECTIVE DATE: 01/04/2007
DURATION: This amendment is effective until superseded or removed.
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Advisory Rating. A documented rating which covers a portion of the appraisal period in
situations where an employee is detailed or temporarily promoted to different duties and
responsibilities and/or works under the supervision of a different rating official.
Appraisal. (5 CFR 430.203).
The process under which performance is reviewed and evaluated.
Appraisal Period. (5 CFR 430.203).
The established period of time for which performance will be
reviewed and a rating of record will be prepared.
The appraisal period for the Forest Service is an annual period from October 1
through September 30.
Appraisal System. (Subpart B of 5 CFR Part 430, 5 CFR 430.203).
A framework of policies and parameters established by an agency as
defined by 5 U.S.C. 4301 (1) for the administration of performance
appraisal programs under subchapter I of chapter 43 of Title 5,
United States Code, and this subpart.
Critical Element. (5 CFR 430.203 and 432.103).
A work assignment or responsibility of such importance that
unacceptable performance on the element would result in a
determination that an employee’s overall performance is
unacceptable.
Decision Table. A matrix used for deriving a summary rating from appraisal of
individual elements as referenced on Form AD-435, Performance Appraisal, Section 16 B,
Decision Table.
Days. Calendar days for all references in this chapter.
Element Rating. A rating assigned to an employee’s performance in one performance
element, as measured against the performance standards established for that element. Elements
are individually evaluated as:
a. Exceeds Fully Successful. Performance exceeds the performance standards
established for the meets fully successful level.
WO AMENDMENT 6109.13-2007-1
EFFECTIVE DATE: 01/04/2007
DURATION: This amendment is effective until superseded or removed.
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b. Meets Fully Successful. Performance meets the performance standards
established for the fully successful level.
c. Does Not Meet Fully Successful. Performance falls below the performance
standards established at the meets fully successful level.
Employees. Those individuals covered by the provisions of this chapter. See this chapter
for direction on employees covered under and excluded from performance management
provisions.
Employees covered by non-supervisory performance plans. Employees who do not meet
the definition of “Supervisor” (sec. 10.5). This includes program and/or project managers at any
grade level who do not supervise.
Management Official. (5 U.S.C. 7103(a)).
An individual employed by the agency in a position for which the
duties and responsibilities require or authorize the individual to
formulate, determine, or influence the policies of the agency.
Minimum Appraisal Period. (5 CFR 430.207).
. . . A minimum period of performance that must be completed before
a performance rating may be prepared.
The Forest Service’s minimum appraisal period, under an established performance plan, under
the same rating official, is 90 days.
Non-critical Element. (5 CFR 430.203).
A dimension or aspect of individual, team, or organizational
performance, exclusive of a critical element, that is used in assigning a
summary level. Such elements may include, but are not limited to,
objectives, goals, program plans, work plans, and other means of
expressing expected performance.
Opportunity Period. (5 CFR 432.103).
A reasonable chance for an employee whose performance has been
determined to be unacceptable in one or more critical elements to
demonstrate acceptable performance in the critical element(s) at
issue.
WO AMENDMENT 6109.13-2007-1
EFFECTIVE DATE: 01/04/2007
DURATION: This amendment is effective until superseded or removed.
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Performance. (5 CFR 430.203).
Accomplishment of work assignments or responsibilities.
Performance Bonus Award. In accordance with the USDA recognition guide, a
“performance bonus award” is monetary recognition given to an employee for consistently
performing well throughout the appraisal period. Consistently performing well can be
demonstrated in many ways, such as: regularly contributing high work output; consistently
completing work products of high quality; providing exceptionally prompt and courteous service
to customers, clients, and coworkers.
Performance Improvement Plan (PIP). The written plan, which includes an opportunity
to improve, provided to employees whose performance in one or more critical elements has been
determined to be unacceptable.
Performance Measure. A specific statement that quantifies or qualifies the desired result
or behavior described in a performance standard.
Performance Plan. (5 CFR 430.203).
All of the written, or otherwise recorded, performance elements that
set forth expected performance. A plan must include all critical and
non-critical elements and their performance standards.
Performance Standard. (5 CFR 430.203).
The management-approved expression of the performance
threshold(s), requirement(s), or expectation(s) that must be met to be
appraised at a particular level of performance. A performance
standard may include but is not limited to quality, quantity,
timeliness, and manner of performance.
Performance Rating. (5 CFR 430.203).
The written, or otherwise recorded, appraisal of performance
compared to the performance standard(s) for each critical and noncritical element on which there has been an opportunity to perform
for the minimum period. A performance rating may include the
assignment of a summary level within a pattern (as specified in Sec.
430.208 (d)).
WO AMENDMENT 6109.13-2007-1
EFFECTIVE DATE: 01/04/2007
DURATION: This amendment is effective until superseded or removed.
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Progress Review. (5 CFR 430.203).
Communicating with the employee about performance compared to
the performance standards for critical and non-critical elements.
Quality Step Increase (QSI). An extra within-grade increase for outstanding
performance.
Rating of Record. (5 CFR 430.203).
The performance rating prepared at the end of an appraisal period
for performance of agency-assigned duties over the entire period and
the assignment of a summary level.
Rating Official. The individual who has direct knowledge of the employee’s work
performance and the authority to appraise the performance of the employee; typically the
employee’s immediate supervisor.
Rating Period. A specific timeframe, within the annual appraisal period, set for an
employee’s performance appraisal under special circumstances, such as transfers and
performance on details, and so forth, when a shorter appraisal period is necessary (such as for an
advisory rating).
Reviewing Official. Normally the employee’s second-level supervisor, who reviews and
approves performance plans, training, performance appraisals, and performance improvement
plans.
Reduction in Grade. (5 CFR 432.103).
The involuntary assignment of an employee to a position at a lower
classification or job grading level.
Removal. (5 CFR 432.103).
The involuntary separation of an employee from employment with an
agency.
Second level review. A required review of a performance plan, rating, award
recommendation, or performance improvement plan by someone at a higher level in the
organization than the individual making recommendation.
Summary Rating. The written rating of overall performance based on the individual
element ratings.
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EFFECTIVE DATE: 01/04/2007
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Summary Rating Levels. (Sec. 15.6).
a. Outstanding. All elements rated are as “Exceeds Fully Successful.”
b. Superior. The majority of elements are rated as “Exceeds Fully Successful” and
no element is rated as “Does Not Meet Fully Successful.”
c. Fully Successful. All elements are rated at least “Fully Successful” and a majority
of the elements are not rated as “Exceeds Fully Successful.”
d. Marginal. A noncritical element is rated as “Does Not Meet Fully Successful” and
no critical elements are rated as “Does Not Meet Fully Successful.”
e. Unacceptable Performance. One or more critical elements are rated as “Does Not
Meet Fully Successful.”
Supervisor. (5 U.S.C. 7103(a) (10)).
An individual employed by the agency having authority, in the
interest of the agency, to hire, direct, assign, promote, reward,
transfer, furlough, layoff, recall, suspend, discipline, or remove
employees; to adjust their grievances or to effectively recommend
such action, if the exercise of the authority is not merely routine or
clerical in nature but requires the consistent exercise of independent
judgment.
Supplemental standard. A standard that is added to an element in an employee’s
performance plan when generic standards do not address a significant component of an
employee’s work assignments and responsibilities.
Work Plans. The composite of documents that identify the work assignments of the unit
and individual employee. Also, known as “Program of Work.”
10.6 - Agency Evaluation of the Performance Management Program
The Forest Service will conduct ongoing evaluations of the performance management program in
order to identify continuous improvement opportunities and to make timely adjustments in
overall policy and guidance. Review of overall organizational results, employee satisfaction, and
consistency with mission objectives will promote the continued enhancement of a performance
program supportive of critical organization results. The Union will be notified of any such
review of the national program and be provided the results of the review.
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EFFECTIVE DATE: 01/04/2007
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11 - GENERAL PROVISIONS OF THE PERFORMANCE APPRAISAL SYSTEM
11.02 - Objectives
The objectives of the performance appraisal system are to:
1. Implement and maintain an appraisal system that is fair and credible and distinguishes
levels of performance.
2. Align employee performance expectations with agency goals and objectives.
3. Achieve continuous, two-way communication between managers and employees
regarding organizational, unit, and individual performance objectives and
accomplishments.
4. Identify specific, clear and understandable measures, and expected results for all
employees.
11.1 - Performance Appraisal Records
11.11 - Types of Records
Official performance appraisal records consist of:
1. Form AD-435, Performance Appraisal,
2. Form AD-435A, Performance Plan, Progress Review and Appraisal Worksheet,
3. Form AD-435B, Performance Plan, Progress Review and Appraisal Worksheet
(Continuation Sheet),
4. Any employee self-evaluation or documentation submitted (sec. 15.3), and
5. Any employee response to the summary rating, if submitted (sec. 15.9).
11.12 - Distribution and Maintenance
Rating officials shall treat performance records as confidential records in their maintenance and
distribution.
1. Distribution. The rating official distributes official performance records as soon as
possible after completion of the ratings, as follows:
a. Provide a copy of the completed appraisal, and worksheets (forms AD-435, AD435A, and AD-435B) and the supporting documentation to the employee.
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b. Provide a copy of the completed appraisal, and worksheets (forms AD-435, AD435A, and AD-435B) and the supporting documentation to the ASC HCM Staff for
processing and maintenance.
2. Maintenance. All performance records are maintained in accordance with
requirements in:
a. Title 5, Code of Federal Regulations, section 293.404(a)(1)(i) and (ii) - Personnel
Records (5 CFR 293.404(a)(1)(i) and (ii) ).
b. Title 5, Code of Federal Regulations, Part 297 - Privacy Act Procedures for
Personnel Records.
3. Advisory Rating. For a definition of the term, advisory rating, see section 10.5. All
advisory ratings shall be sent to, and maintained by, the rating official responsible for assigning
the rating of record. The rating official maintains advisory ratings along with all performance
records consistent with this section.
4. Automated Personnel and Payroll Systems.
a. Automated Personnel and Payroll System at NFC. The servicing Albuquerque
Service Center (ASC) Human Capital Management (HCM) Staff enters ratings of
records into the National Finance Center (NFC) automated personnel and payroll
system. The official dates for the rating period will be the dates listed on form AD435, Block 7.
b. EmpowHR Automated Personnel Performance Management System.
[RESERVED]
11.13 - Availability
Performance appraisal records are covered by the Privacy Act of 1974, 5 U.S.C. 522a (Public
Law 93-579). The staff of Albuquerque Service Center (ASC) Human Capital Management
(HCM) provides access to an employee's performance appraisal document to the employee; the
employee’s representative designated in writing, or other authorized officials having need for
these documents. Rating officials refer all requests for performance appraisal documents to the
servicing ASC HCM Staff.
11.14 - Retention
Retain completed performance ratings documents for 4 years in accordance with 5 CFR
293.404(a)(1)(i) and (ii).
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12 - ORIENTATION AND TRAINING
1. Forest Service orientation programs for new employees shall address both the rating
official’s and employee’s responsibilities for performance management including development
and use of performance plans, how agency goals and objectives relate to individual performance
(sec. 13), performance appraisal (sec. 15), performance bonus awards (sec. 16), and development
of performance (sec. 17).
2. All new supervisors shall receive training in performance management within the first
year of their assignment.
3. All employees shall receive training on performance management and implementation
of the direction in this chapter.
13 - PERFORMANCE PLANS
A performance plan includes performance elements and standards, and the measures developed
jointly by the rating official and employee. Pre-populated forms (Form AD-435, Performance
Appraisal, Form AD-435A, Performance Plan, Progress Review and Appraisal Worksheet, and
Form AD-435B, Performance Plan, Progress Review and Appraisal Worksheet (Continuation
Sheet), with mandatory generic elements and standards, are displayed in section 13.2, exhibit 01.
1. Performance plans must be developed for all “covered employees” in accordance with
the direction in this chapter and as described in the performance elements and standards.
2. A written performance plan must be provided to each covered employee within 30
days of:
a. Beginning of an appraisal period.
b. Appointment.
c. Reassignment.
d. Promotion.
e. Detail of 90 days or more.
f. Temporary promotion of 90 days or more.
g. A substantial change in the major duties of the position occurs.
3. Forms.
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a. The form to record progress reviews and the summary rating is Form AD-435,
Performance Appraisal (sec. 13.21a and 13.22b).
b. The forms used to record element ratings are Form AD-435A, Performance Plan,
Progress Review and Appraisal Worksheet (sec. 13.21b and 13.22b) or Form AD435B, Performance Plan, Progress Review and Appraisal Worksheet (Continuation
Sheet) (sec. 13.21, 13.21c-d, and 13.22c-f).
c. Retain copies of performance plan-related forms. Copies of both form AD-435
and forms AD-435A or AD-435B shall be provided to the employee. The rating
official must retain the original documents, including those submitted by the
employee.
13.1 - Establishment of Performance Plans
When establishing performance plans, rating officials shall:
1. Discuss and communicate performance expectations and measures with the employee
and establish the performance plan
2. Involve each employee in the development of the employee’s performance plan to
clarify expectations and measurements (sec. 13.11).
3. Clarify the meaning of the elements, standards and measures, as they pertain to the
position and reference unit work plans and other pertinent documents.
4. Ensure the critical elements in the written performance plan align with agency or unit
goals.
5. Ensure all standards in the written performance plan include performance measures
and expected results.
6. Ensure each employee understands how standards and measures will be evaluated in
determining the element rating, including any particular emphasis items
7. Notify the employee of any changes to the standards or measures during the rating
period.
8. Document all performance plan discussions, including any necessary written
clarification of the standards or measures on Form AD-435A, Performance Appraisal (sec.
13.21a and 13.22b), Form AD-435A, Performance Plan, Progress Review and Appraisal
Worksheet (sec. 13.21b and 13.22b) or Form AD-435B, Performance Plan, Progress Review and
Appraisal Worksheet (Continuation Sheet) (sec. 13.21, 13.21d, and 13.22c-f).
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9. Do not rate exclusive representational work (Union duties). Employees are only to be
rated on agency assigned work.
13.11 - Employee Participation in Establishing Performance Plans
Communication between the rating official and the employee is essential in establishing
meaningful performance plans. Through participation, employees develop a better
understanding of what is required of them and how their accomplishments contribute to the
agency’s goals and objectives. Establishing the performance plan with employee participation
may be accomplished by several methods. For example:
1. Employees who occupy similar positions prepare performance plan(s) for the rating
official’s approval.
2. Employee and rating official discuss and develop the performance plan together.
3. Employee comments on the draft performance plan prepared by the rating official and
the rating official and employee discuss the draft.
Regardless of the method chosen to establish the plan, the rating official and the employee
discuss the final performance plan.
If the employee and rating official cannot reach agreement regarding the establishment of the
performance plan, including expectations and measures, the employee may raise concerns to the
reviewing official. However, final authority for establishing the performance plan rests with
management.
During the rating period an employee may request a change to performance measures based on
mitigating factors beyond the employee’s control.
13.12 - Use of Mandatory Generic Elements
The elements for performance plans under this chapter shall be limited to the generic elements
set out in this chapter. The description and use of these generic elements are as follows:
1. Non-supervisory Positions. (Sec. 13.21b – 13.21d).
a. Element 1- Mission Results. This element is mandatory for all non-supervisory
employees and shall be a critical element in all performance plans.
b. Element 2 - Managing Work Assignments. This element is mandatory for all nonsupervisory employees and shall be a critical element in all performance plans.
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c. Element 3 - Teamwork and Partnerships. This element is mandatory for all nonsupervisory employees and shall be a non-critical element in all performance plans.
2. Supervisory Positions. (Sec. 13.22b – 13.22f).
a. Element 1 - Mission Results. This element is mandatory for all supervisory
employees and shall be a critical element in all performance plans.
b. Element 2 - Leadership/Management. This element is mandatory for all
supervisory employees and shall be a critical element in all performance plans.
c. Element 3 - Civil Rights. This element is mandatory for all supervisory employees
and shall be a critical element in all performance plans.
d. Element 4 - Safety. This element is mandatory for all supervisory employees and
shall be a critical element in all performance plans.
e. Element 5 - Teamwork and Partnerships. This element is mandatory for all
supervisory employees and shall be a non-critical element in all performance plans.
13.13 - Performance Standards
To the maximum extent feasible, all performance standards (generic or supplemental) and the
application of those standards to the individual’s work shall permit the evaluation of job
performance on the basis of objective criteria related to the job. Performance standards are to be
consistent with the duties contained in a properly classified position description.
Rating officials will clarify generic and supplemental standards by reference to specific
measures, unit work plans, and other pertinent documents that will be considered in evaluating
performance. Rating officials will also communicate to employees the process the rating official
will use in determining if standards have been met.
13.13a - Generic Performance Standards
The standards for performance plans under this chapter shall be limited to the generic standards
set out in this chapter. The exhibits in sections 13.21b - 13.21d and 13.22b - 13.22f identify
generic performance standards for each element in the performance plan. The generic standards
for each element will be used without modification, but must be clarified in terms of measures
and expectations.
In addition to the generic standards, specific performance measures for quality, quantity, costeffectiveness and timeliness are to be included in each non-supervisory and supervisory
employee performance plan.
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13.13b - Supplemental Standards
Supplemental standards may only be added to an element in an employee’s performance plan
when the generic standards do not address a significant component of the employee’s
responsibilities, consistent with the employee’s position description. A significant component
may include special assignments or unique project work. In developing supplemental standards,
rating officials shall obtain employee input.
13.13c - Absolute Standards
Rating officials are to use an absolute standard (a standard that allows for no margin of error), in
only very limited circumstances, such as where failure to perform under a critical element could
result in loss of life, injury, breach of national security, or great monetary loss.
13.14 - Developing Performance Measures
The development of performance measures is the process in which the rating official and the
employee clarify generic standards and develop meaningful measures, specific to the employee’s
work assignments, in order to evaluate the employee’s performance. In developing performance
measures, the rating official should ensure “absolute standards” are not erroneously or
unnecessarily created. For a definition of the term, performance measure, see section 10.5. The
framework for developing measures should follow and adhere to the “SMART” principles as
described below:
Specific
Measurable
Attainable
Relevant and reasonable
Time-bound
1. Specific and objective. The performance measure should be clearly defined, be free
from ambiguities, bias, personal feelings or opinions, and contain finite measures that specify the
line between satisfactory work and less-than-satisfactory work.
2. Measurable. There are many ways to measure the outcome of an objective, such as:
a. Quality. (Customer satisfaction, consistency, effectiveness, and accuracy.)
b. Quantity. (Amount processed and amount produced.)
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c. Timeliness. (Deadlines met, and milestones achieved.)
d. Cost-effectiveness. (Measurement of cost in relation to quality, quantity, and
timeliness).
e. Manner of performance. (Efficiently, safely, using initiative, customer interaction,
problem solving, participation and teamwork.)
3. Attainable. To be attainable, measures must be fair and equitable and it must be
known by the rating official that the employee has the knowledge to accomplish the objective.
In addition, the authority, approval, time, budget, staff, and resources must be available for the
employee to accomplish the objective.
4. Relevant and reasonable. Objectives will only be relevant when they are tied to the
goals and objectives of the agency, whether it is the strategic plan or the individual work unit.
Objectives must be reasonable for an employee to achieve during the specified time frame or
rating period. Measures must be nondiscriminatory by being consistently applied to all
personnel in the same or similar position or grade with the same line of authority. Although the
standards may be the same for similar positions, the measures should reflect the grade level of
the employee.
5. Time bound. The importance of including a due date or deadline is important and
cannot be over emphasized. Deadlines create a sense of urgency and create a good frame of
reference for measurement. Objectives without deadlines are just “good ideas” or “promises.”
Deadlines must be realistic and should be agreed upon by the employee and the rating official.
However, if agreement cannot be reached, the rating official makes the final decision.
13.2 - Exhibits for Performance Appraisals and Plans
Forms AD-435, AD-435A, and AD-435B containing the generic performance elements and
standards are set forth in sections 13.21a through 13.21d for non-supervisory positions and in
sections 13.22a through 13.22f for supervisory positions. These generic performance elements
and standards must be used in developing individual employee performance plans.
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13.21 - Non-supervisory Positions
13.21a - Form AD-435, Performance Appraisal
13.21a - Exhibit 01
Form AD-435, Performance Appraisal
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13.21b - Form AD-435A, Performance Plan, Progress Review and Appraisal
Worksheet; Element 1 - Mission Results
13.21b - Exhibit 01
Form AD-435A, Performance Plan, Progress Review and
Appraisal Worksheet; Element 1 - Mission Results
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13.21c - Form AD-435B, Performance Plan, Progress Review and Appraisal
Worksheet (Continuation Sheet); Element 2 - Managing Work Assignments
13.21c - Exhibit 01
Form AD-435B, Performance Plan, Progress Review and
Appraisal Worksheet (Continuation Sheet); Element 2 - Managing Work Assignments
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13.21d - Form AD-435B, Performance Plan, Progress Review and Appraisal
Worksheet (Continuation Sheet); Element 3 - Teamwork and Partnerships
13.21d - Exhibit 01
Form AD-435B, Performance Plan, Progress Review and
Appraisal Worksheet (Continuation Sheet); Element 3 - Teamwork and Partnerships
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13.22 - Supervisory Positions
13.22a - Form AD-435, Performance Appraisal
13.22a - Exhibit 01
Form AD-435, Performance Appraisal
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13.22b - Form AD-435A, Performance Plan, Progress Review and Appraisal
Worksheet; Element 1 - Mission Results
13.22b - Exhibit 01
Form AD-435A, Performance Plan, Progress Review and Appraisal Worksheet;
Element 1 - Mission Results
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13.22c - Form AD-435B, Performance Plan, Progress Review and Appraisal
Worksheet (Continuation Sheet); Element 2 – Leadership/Management
13.22c – Exhibit 01
Form AD-435B, Performance Plan, Progress Review and
Appraisal Worksheet (Continuation Sheet); Element 2 – Leadership/Management
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13.22d - Form AD-435B, Performance Plan, Progress Review and Appraisal
Worksheet (Continuation Sheet); Element 3 – Civil Rights
13.22d – Exhibit 01
Form AD-435B, Performance Plan, Progress Review and
Appraisal Worksheet (Continuation Sheet); Element 3 – Civil Rights
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13.22e - Form AD-435B, Performance Plan, Progress Review and Appraisal
Worksheet (Continuation Sheet); Element 4 – Safety
13.22e – Exhibit 01
Form AD-435B, Performance Plan, Progress Review and
Appraisal Worksheet (Continuation Sheet); Element 4 – Safety
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13.22f - Form AD-435B, Performance Plan, Progress Review and Appraisal
Worksheet (Continuation Sheet); Element 5 – Teamwork and Partnerships
13.22f – Exhibit 01
Form AD-435B, Performance Plan, Progress Review and
Appraisal Worksheet (Continuation Sheet); Element 5 – Teamwork and Partnerships
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14 - MONITORING PERFORMANCE DURING APPRAISAL PERIOD
14.1 - Progress Reviews
1. Informal Progress Reviews. Informal monitoring and discussions of performance are
part of the day-to-day responsibility of a supervisor (rating official). Informal progress reviews
between the rating official and the employee should be held frequently, but are particularly
appropriate when any or all of the following occur:
a. A noteworthy accomplishment.
b. Any indication of a performance problem.
c. Any significant change in the nature of importance of a performance standard
necessitating a clarifying explanation or supplementary instructions to an employee.
d. A conclusion of a major project or assignment, when the employee’s performance
can be recalled easily.
2. Formal Progress Reviews. Rating officials shall conduct at least one formal progress
review with each employee, normally near the midpoint of the appraisal period. This review
must be documented at the bottom of Form AD-435A, Performance Plan, Progress Review and
Appraisal Worksheet. If any review indicates unacceptable performance, the rating official will
take appropriate action.
15 - APPRAISING PERFORMANCE
15.1 – Appraisal Period
The annual appraisal period in the Forest Service is on a fiscal year basis (October 1 through
September 30). Unless a situation meets the criteria for extending the appraisal period as
described in section 15.2, annual ratings of record must be completed and forwarded to the ASC
HCM Staff no later than 30 days after the appraisal period ends. In order to balance workload,
however, summary ratings may be assigned up to 30 days in advance of the end of the appraisal
period.
15.2 - Criteria for Extending the Appraisal Period
1. Employees who have not been in the same position under the same rating official with
established performance plans for 90 days shall have the appraisal period extended until the 90day minimum appraisal period is met. Rating officials shall advise employees in advance of any
extended appraisal period.
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2. For employees working under a performance improvement plan (PIP) at the end of the
appraisal period, the rating official must delay the employee’s summary rating and extend the
appraisal period until completion of the opportunity period. The rating official shall notify the
employee in writing of the extension of the appraisal period and indicate that the current
performance plan shall remain in effect until the end of the opportunity period. See Section 18,
Dealing with Unacceptable Performance.
15.3 – Summary Rating and Rating of Record
Summary ratings are normally conducted at the end of the annual appraisal period, unless the
period has been extended based. For a definition of the terms, summary rating and rating of
record, see section 10.5.
When preparing a summary rating, rating officials shall:
1. Meet with the employee to review and discuss the employee’s accomplishments.
2. Consider any input, feedback, or documentation the employee submits regarding
accomplishments during the appraisal period.
3. Only consider performance during the appraisal period.
4. Consider performance occurring in other positions in which the employee had
established elements and standards and received an advisory rating.
5. Obtain the Reviewing Official’s second-level review and signature on Form AD-435 –
Performance Plan, Progress Review and Appraisal Worksheet, Box 5, prior to advising
the employee of the summary rating determination.
6. Discuss the final rating determination with the employee in person, or in unusual
circumstances, by telephone.
7. The final rating of record must be documented on the AD-435 and written justification
for the rating will be provided upon the request of the employee.
In rare instances, when the rating official is unable to prepare a timely summary rating due to the
rating official’s unexpected absence, the reviewing official or designee shall consult with the
rating official (if practical) to prepare the summary rating and meet with the employee to conduct
the appraisal.
For rating officials who supervise employees in a virtual office setting, who are not collocated
with their immediate supervisor, or who are otherwise unable to meet face-to-face with the
employee must, as a minimum, discuss the rating with the employee orally. In such cases,
documentation, distribution, and maintenance (sec. 11.12) requirements must still be met.
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15.4 - Element Ratings
Element ratings are based on how well the employee meets the standards under the element. The
element ratings are then used to calculate the employee’s summary rating. The three types of
element ratings are: (1) Exceeds Fully Successful; (2) Meets Fully Successful; and (3) Does Not
Meet Fully Successful.
Union officials who also perform Agency assigned work will be expected to perform that work
at the Fully Successful level. The supervisor will describe this level in their performance
standards and elements. The performance expectations will be adjusted for official time used to
perform representational work from the performance of the agency assigned work, taking into
consideration any impact on productivity and/or timeliness due to the performance of
representational work.
In determining element ratings, a rating official shall:
1. Review notes from the formal progress review, along with any other informal
performance progress reviews or other performance related discussions that may have
taken place during the course of the appraisal period.
2. Provide employees with the opportunity, and encourage them, to provide feedback or
documentation regarding their performance. The feedback and documentation can be in
any form, including the employee using the AD-435 forms to document a self-assessment
or be a narrative of accomplishments. Discuss with the employee, any feedback, prior to
determining the element and summary ratings.
3. Consider knowledge of the employee's performance throughout the appraisal period,
including personal observation, direct knowledge, any agreed upon performance
indicators and measures, and any advisory ratings.
4. Consider mitigating factors beyond the employee’s control which may be workrelated and/or documented non-work related factors in accordance with applicable
bargaining agreements.
5. Consider obtaining feedback voluntarily given by coworkers, customers/clients, and
team leaders/members pertaining to applicable performance standards of their employees.
6. Supervisors should consider obtaining feedback from a supervisory employee’s
subordinates in appraising the supervisory employee’s performance in Element 2 Leadership/Management (sec. 13.32c).
7. Consider individual contributions to team performance addressed in the teamwork and
partnerships element (element number 3 for non-supervisory employees (sec. 13.21d, ex.
01) and element number 5 for supervisory employees (sec. 13.22f, ex. 01)).
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8. Added weight given to any particular standard(s) must be communicated and
documented in the performance plan. Determinations made after the initial establishment
of elements and standards must include the date any changes were made with the
employee.
9. Rate each performance element, based on the employee meeting the standards, at one
of the following levels:
a. “Exceeds Fully Successful.” Performance exceeds the performance standards
established for the meets fully successful level.
b. “Meets Fully Successful.” Performance meets the performance standards
established for the fully successful level.
c. “Does Not Meet Fully Successful.” Performance falls below the performance
standards established at the meets fully successful level.
10. Obtain the required second level review from the Reviewing Official before advising
an employee of the final element and summary ratings.
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15.4 – Exhibit 01
Performance Levels
Non-supervisory employees:
Element 1. Mission/Results (Non-Supervisory - Mandatory/Critical)
Work Description: Demonstrates a commitment and personal responsibility to strive for
excellence in the accomplishment of work assignments that are aligned with, and ultimately
contribute, to the achievement of the agency’s mission and goals. Follows Equal Opportunity
and Civil Rights policies and regulations in the performance of duties.
1. Level for “Fully Successful” performance:
a. Contributes to achieving agency goals and objectives using all available resources;
prioritizes and balances work as necessary.
b. Performs duties in a manner consistent with Equal Opportunity and Civil Rights policies.
c. Makes recommendations and develops solutions that demonstrate positive approaches to
complete work assignments.
d. Routinely informs supervisor of problems and challenges that arise.
e. Implements programs and projects as assigned within established time lines; adapts to
changing priorities.
f. Ensures that reported information is adequate, reliable, verifiable, and useful.
g. Demonstrates support in accomplishing individual and/or team assignments based on the
unit's assigned targets and performance measures and commitments.
2. Level for “Exceeds Fully Successful” performance:
Employee achieved results beyond what was expected at the fully successful level and
identifies initiatives to enhance program delivery.
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15.4 – Exhibit 01--Continued
Performance Levels
Element 2. Managing Work Assignments (Non-Supervisory - Mandatory/Critical)
Work Description: Implements assigned program of work in a manner that accomplishes the
organization’s mission using available resources to perform work while practicing workplace
safety and ensuring workplace security.
1. Level for “Fully Successful” performance:
Applies knowledge and skills to independently perform assignments, prioritizes work
effectively, and seeks guidance as appropriate. Routinely accomplishes program goals in a
timely manner and in compliance with applicable guidance. Properly follows workplace
safety and security procedures, including approved job hazard analysis.
2. Level for “Exceeds Fully Successful” performance:
Employee achieved results beyond what was expected at the fully successful level while
exceeding the standard for quality, quantity, and timeliness.
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15.4 – Exhibit 01--Continued
Performance Levels
Element 3. Teamwork and Partnerships (Non-Supervisory - Mandatory/Non-critical)
Work Description: Develops and maintains effective working relationships with internal and/or
external cooperators that foster a positive atmosphere of cooperation, trust, creativity, and group
unity.
1. Level for “Fully Successful” performance:
Demonstrates collaboration and flexibility to build effective partnerships. Contributes to
team’s success. Develops networks, builds alliances and collaborates across boundaries.
Uses interpersonal skills and seeks to facilitate “win-win” situations. Treats everyone fairly
and professionally; demonstrates respect for individual differences and promotes these values
within the work unit. Seeks opportunities to share knowledge and skills with others.
Handles disagreements effectively, and seeks resolution to resolve them in a positive and
constructive manner.
2. Level for “Exceeds Fully Successful” performance:
Takes the initiative to make extra contributions to the team and/or partners. Recognizes
when others need assistance, and provides support to advance mutual goals and/or applies
creative and innovative solutions.
WO AMENDMENT 6109.13-2007-1
EFFECTIVE DATE: 01/04/2007
DURATION: This amendment is effective until superseded or removed.
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15.4 – Exhibit 01--Continued
Performance Levels
Supervisory employees:
Element 1. Mission Results (Supervisory - Mandatory/Critical)
Work Description: Demonstrates a commitment and personal responsibility to strive for
excellence in the accomplishment of work assignments that are aligned with, and ultimately
contribute to the achievement of, the agency’s mission and goals.
1. Level for “Fully Successful performance:
a. Demonstrates support for agency strategic goals and initiatives.
b. Optimizes the use of all available resources and develops solutions in support of agency
goals and objectives.
c. Manages financial resources effectively to support program or policy implementation.
d. Establishes schedules and deadlines for completion of programs and projects; shifting
priorities as needed.
e. Ensures that reported information is adequate, reliable, verifiable, and useful.
f. Demonstrates support in accomplishing individual and/or team assignments based on the
unit's assigned target and performance measures and commitments as coordinated between
the supervisor and employee.
2. Level for “Exceeds Fully Successful” performance:
Employee exceeds expected results through effective and efficient approaches to completing
assigned tasks that are aligned with the Agency’s strategic goals and objectives; achieved
substantial cost savings or efficiencies and/or met targets or milestones well ahead of
schedule.
WO AMENDMENT 6109.13-2007-1
EFFECTIVE DATE: 01/04/2007
DURATION: This amendment is effective until superseded or removed.
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15.4 – Exhibit 01--Continued
Performance Levels
Element 2. Leadership/Management (Supervisory - Mandatory/Critical)
Work Description: Leads organizational changes to improve results. Effectively and efficiently
manages the workforce; uses sound judgment and rationale in making decisions and problem
solving.
1. Level for “Fully Successful” performance:
a. Seeks out and capitalizes on opportunities to help the organization accomplish its mission
and objectives.
b. Communicates organizational goals for the work unit into concrete objectives, plans,
priorities, and assignments.
c. Administers performance management responsibilities effectively including timely
completion of performance plans and ratings.
d. Aligns employee performance plans to agency organizational goals and identified
measures; establishes and communicates performance expectations and objectives in
partnership with each employee.
e. Models and fosters a high standard of performance for the workforce.
f. Manages the workforce and resources effectively and efficiently in an effort to achieve
performance goals.
2. Level for “Exceeds Fully Successful” performance:
Employee achieved results beyond what was expected at the fully successful level; achieved
substantial cost savings or efficiencies and/or met targets or milestones well ahead of
schedule, meeting or exceeding planned budget and time schedules.
WO AMENDMENT 6109.13-2007-1
EFFECTIVE DATE: 01/04/2007
DURATION: This amendment is effective until superseded or removed.
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15.4 – Exhibit 01--Continued
Performance Levels
Element 3. Civil Rights (Supervisory - Mandatory/Critical)
Work Description: Performs duties in a non-discriminatory manner which consistently
demonstrates fairness, cooperation, and respect toward others and is in compliance with Equal
Opportunity and Civil Rights policies.
1. Level for “Fully Successful” performance:
a. Performs duties in a non-discriminatory manner which consistently demonstrates fairness,
cooperation, and respect toward employees, office visitors, and the public.
b. Demonstrates compliance with Equal Opportunity and Civil Rights policies with the goal
of working to employ and develop a diverse workforce and achieve a model workplace.
2. Level for “Exceeds Fully Successful” performance:
Employee achieved results beyond what was expected at the fully successful level while
creating a diverse workforce that reflects the civilian labor force; a work environment
supportive of diversity, information sharing, ideas, talents; and appropriate use of resolution
management.
WO AMENDMENT 6109.13-2007-1
EFFECTIVE DATE: 01/04/2007
DURATION: This amendment is effective until superseded or removed.
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15.4 – Exhibit 01--Continued
Performance Levels
Element 4. Safety (Supervisory - Mandatory/Critical)
Work Description: Demonstrates a commitment to the agency’s safety goals and objectives.
1. Level for “Fully Successful” performance:
a. Complies with all applicable safety and health standards, rules and regulations.
b. Ensures that employees are instructed and trained in safe practices and methods of job
performance.
c. Develops, reviews, updates, and approves Job Hazard Analyses (JHAs) for work unit.
d. Takes appropriate action to correct unsafe and unhealthy working conditions.
e. Demonstrates safety leadership by personal involvement, provision of resources (staffing,
training, equipment, and so forth), communicates safety expectations, and recognizes proactive safety accomplishments.
f. Ensures a plan is in process to ensure approval of work plans requiring identification and
allocation of the resources necessary to ensure a safe work environment, employee protection
needs, and safe work practices.
g. Monitors the implementation and effectiveness of safety practices; investigates incidents
involving injury or potential of injury to determine contributing factors to identify and
implement corrective actions.
h. In addition, the following standard is applicable for Forest Supervisors and District
Rangers with fire program management responsibilities.
Fire Management: For those units, organizations, and/or individuals, for which the employee
is responsible, employee will ensure compliance with fire management safe operating
practices, including consistent adherence to the Standard Fire Orders and mitigation of the
Watch-Out Situations.
2. Level for “Exceeds Fully Successful” performance:
Employee achieved results beyond what was expected at the fully successful level, while
making significant contributions to/and improving workplace safety.
WO AMENDMENT 6109.13-2007-1
EFFECTIVE DATE: 01/04/2007
DURATION: This amendment is effective until superseded or removed.
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15.4 – Exhibit 01--Continued
Performance Levels
Element 5. Teamwork and Partnerships (Supervisory - Mandatory/Non-critical)
Work Description: Develops and maintains effective working relationships with internal and
external cooperators that foster a positive workplace atmosphere of cooperation, trust, creativity,
and group unity.
1. Level for “Fully Successful” performance:
a. Contributes to achieving work unit goals by demonstrating collaboration and flexibility,
builds effective internal and external partnerships.
b. Develops networks, builds alliances and finds common ground with a widening rate of
stakeholders.
c. Effectively uses interpersonal skills when working with others and seeks to facilitate
“win-win” situations.
d. Treats everyone fairly and professionally; demonstrates respect for individual differences
and promotes these values.
e. Seeks opportunities to exchange knowledge and skills with others, both internally and
externally.
f. Contributes to a positive team atmosphere of cooperation and trust while encouraging
creative thinking and innovation.
g. Manages and resolves conflict and disagreements in a positive and constructive manner.
2. Level for “Exceeds Fully Successful” performance:
Takes initiative to make extra contributions to cross-organizational efforts and collaborates
across boundaries. Regularly works with others to develop new insights, creative designs
and/or energetically implements new and/or innovative cutting edge programs/processes.
Recognizes when others need assistance and provides supports to advance mutual goals.
Champions respect for value of individual differences and foster a climate that substantially
strengthens the team’s capabilities. Actively works to ensure continuous learning and
exchange of knowledge and skills throughout the organization and with external partners.
WO AMENDMENT 6109.13-2007-1
EFFECTIVE DATE: 01/04/2007
DURATION: This amendment is effective until superseded or removed.
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15.5 - Advisory Ratings
An advisory rating is a documented rating which covers a portion of the annual appraisal period
in situations where an employee is detailed or temporarily promoted to different duties and
responsibilities and/or works under the supervision of a different rating official. Advisory ratings
will be considered by the rating official when preparing the annual summary rating.
1. Advisory ratings will be documented on form AD-435 and shall be completed for:
a. Employees who are under a performance plan covering details or temporary
promotions of 90 days or more.
b. Employees who have served 90 days or more under a performance plan and
change position during the appraisal period.
c. Employees who have served 90 days or more under a performance plan and whose
rating official leaves their position during the appraisal period.
2. The rating official shall:
a. Document advisory ratings on Form AD-435B, Performance Plan, Progress
Review and Appraisal Worksheet;
b. Submit the advisory rating to the reviewing official for concurrence; and
c. Provide a copy of the rating to the new rating official and to the employee.
3. An advisory rating shall become the final annual rating of record only when all of the
following apply:
a. The employee has operated under established elements and standards at least 90
days;
b. The advisory rating covers 6 months or more of the annual appraisal period;
c. The advisory rating is completed with less than 90 days remaining in the annual
appraisal period; and
d. The advisory rating is the only rating received during the annual appraisal period.
WO AMENDMENT 6109.13-2007-1
EFFECTIVE DATE: 01/04/2007
DURATION: This amendment is effective until superseded or removed.
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15.6 – Determining the Summary Rating
After the elements ratings have been determined, the rating official must determine the summary
rating. Using Form AD-435A, Performance Plan, Progress Review and Appraisal Worksheet
(sec. 13.21a and 13.22a), and Form AD-435B, Performance Plan, Progress Review and
Appraisal Worksheet (Continuation Sheet) (sec. 13.21b and 13.22b) the rating official rates each
performance element against the established standards.
After the rating official determines the appropriate element rating, the appropriate box in section
4 on each worksheet form (forms AD-435A and AD-435B) must be marked. The element rating
information is then transferred to Form AD-435, Performance Appraisal where the final
summary rating is calculated using the instructions and formula on Form AD-435, Box 16B –
Decision table.
A score of 2 is entered for each critical element rating and a score of 1 is entered for the noncritical element in the appropriate column (15-B, 15-C, or 15-D). Each column is then totaled in
Boxes 15-E, 15-F, and 15-G.
Following the decision table in Box 16-B on Form AD-435, the rating official calculates the
employee’s numeric score to the appropriate summary rating as listed on Form AD-435, Box 16A.
Prior to discussing any rating with the employee, the rating official must obtain the reviewing
official’s concurrence on Form AD-435, Box 20. After obtaining the required second-level
review, the rating official advises the employee of the element and summary ratings, obtains the
employee’s signature on Form AD-435, Box 18 and provides the employee with a copy. The
rating official forwards copies of all performance documents to the servicing ASC HCM Staff,
while retaining the copies of all performance documents in the supervisory file as appropriate.
WO AMENDMENT 6109.13-2007-1
EFFECTIVE DATE: 01/04/2007
DURATION: This amendment is effective until superseded or removed.
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15.6 – Exhibit 01
Determining Summary Rating Level
Using the instructions on Form AD-435, Performance Appraisal (sec. 13.21a and 13.22a),
convert the element ratings into one of the following summary rating levels:
POSSIBLE SUMMARY RATING LEVELS
Rating Level
1
Unacceptable
Rating Level 1
Description of Rating Level
If any critical element is rated at the “Does Not Meet
Fully Successful” level (Column 15D), the summary
rating level is “Unacceptable.”
When performance is unacceptable, the supervisor should
afford the employee a reasonable opportunity to
demonstrate acceptable performance consistent with 5
CFR 432.104.
2
Marginal
Rating Level 2
All critical elements are rated at least at the “Meets Fully
Successful” level (Column 15C) and any non-critical is
rated as “Does Not Meet” (Column 15G).
Marginal performance may be evidenced by the need for
close supervisory review, discussion, and correction of
work products. This does not require the issuance or
establishment of a “performance improvement plan”
(PIP), but an employee must be provided an opportunity
to improve.
3
Fully Successful
Rating Level 3
All critical elements are rated at least at the “Meets Fully
Successful” (Column 15C) level and having a total
number that falls between the calculations for “Marginal”
and “Superior” on AD-435 Performance Appraisal.
(See Decision Table in Box 16-B.)
Fully Successful performance is of good quality. This
may be evidenced by a fully successful employee
producing the expected quantity and/or quality of work
and meeting deadlines or schedules for completion of
work.
WO AMENDMENT 6109.13-2007-1
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DURATION: This amendment is effective until superseded or removed.
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4
Superior
Rating Level 4
All elements are rated at least at the “Meets Fully
Successful” level and there is a higher number entered in
Column 15E “Exceeds” than is entered in Column 15F
“Meets.”
Supervisor performance is unusually good or of excellent
quality. This may be evidenced by a superior employee
producing a very high quality and/or quantity of work
ahead of established schedules or deadlines and with less
than normal supervision.
5
Outstanding
Rating Level 5
If all performance elements are rated at the “Exceeds
Fully Successful” level (Column 15B) the summary rating
level is “Outstanding.”
Outstanding performance is rare and of very high quality.
This may be evidenced by an outstanding employee
producing an exceptional quality of work significantly
ahead of established schedules or deadlines and with very
little or no supervision.
15.7 - Review and Approval of Ratings
The rating official must review, discuss, and obtain prior approval of the reviewing official (sec.
10.34) prior to discussing any rating with the employee.
15.8 - Employee Signature upon Receipt of Rating
Rating officials shall request that the employee sign Form AD-435, Performance Appraisal, and
Form AD-435A, Performance Plan, Progress Review and Appraisal, after discussion of the
employee’s performance and after receiving concurrence from the reviewing official. The
employee's signature on Form AD-435, Performance Appraisal, indicates only that the employee
has seen the element ratings and the summary rating and was provided the opportunity to discuss
them. A performance rating is valid and becomes a rating of record when it has been
documented and discussed with the employee, even when the employee refuses to sign the form.
If the employee elects to not sign the form, the rating official shall note the employee's
declination in the employee certification Block 18 of Form AD-435, Performance Appraisal.
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EFFECTIVE DATE: 01/04/2007
DURATION: This amendment is effective until superseded or removed.
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15.9 - Employee Response to Ratings
If an employee disagrees with the rating official’s element or summary rating determinations, the
employee may follow established grievance procedures through the negotiated or administrative
grievance procedures, as applicable.
15.10 - Submission of Completed Ratings
Rating officials shall send completed forms AD-435 to the ASC HCM Staff. The ASC HCM
will maintain performance records in compliance with the provisions of this chapter and in
accordance with the records management requirements (5 CFR parts 293 and 297).
16 – PERFORMANCE BONUS AWARDS
There are two types of performance bonus awards: quality step increase (QSI) or lump sum cash
award. For the definitions of performance bonus award, see section 10.5.
1. Summary Level 5 (Outstanding). Employees rated at Level 5 (Outstanding) are
eligible for:
a. QSI or
b. Lump sum cash award.
2. Summary Level 4 (Superior). Employees rated at Level 4 (Superior) are eligible for a
lump sum cash award.
For all other types of awards, see FSH 6109.13, Chapter 30 - Performance, Training, and Awards
Handbook.
17 - DEVELOPING EMPLOYEE’S PERFORMANCE
Developing an employee’s performance is generally considered by rating officials, and jointly
discussed, during performance meetings. Rating officials may authorize training to improve an
employee’s performance in the employee’s present position, as well as development for future
positions and skill needs of the Agency.
The rating official and employee shall jointly develop an Individual Development Plan (IDP),
including:
1. Using the performance appraisal and feedback process to identify areas where training
may be appropriate to meet or surpass performance standards, to develop new skills
needed for career progression, or to utilize new technology.
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2. Assessing current job requirements and performance to identify any competency gaps
and evaluate the effectiveness of previous training.
3. Identifying the sequence of training needed to accommodate this development based
on specific development needs unique to the employee.
Direction regarding employee development can be found in FSH 6109.13, chapter 20.
18 - DEALING WITH UNACCEPTABLE PERFORMANCE
Rating officials are responsible for addressing any performance level below fully satisfactory. If
at any time the rating official deems an employee's performance to be below fully satisfactory in
any element the rating official shall promptly initiate corrective action.
In instances where an employee does not meet the fully successful level in any critical element
formal corrective action must be taken.
The rating official should seek assistance from the servicing ASC HCM staff before initiating
any formal action based on unacceptable performance. The rating official must first determine
the reason for the deficient performance. If the deficient performance is related to misconduct
that is having a negative effect on the employee’s performance, rating officials shall consider
appropriate action to correct the employee, in accordance with the USDA Guide for Disciplinary
Penalties (DPM Chapter 751, Appendix A).
If the rating official determines the deficient performance is not the result of misconduct, the
rating official should first counsel the employee regarding the deficient performance. Rating
officials should review the current performance plan with the employee to ensure that it is
accurate and expectations have clearly been communicated to the employee. It is incumbent
upon the rating official to explain to the employee how the employee’s performance is deficient
and which critical element, result, or primary outcome is affected. Rating officials may need to
provide follow-up counseling and additional training to assist the employee. Rating officials
should maintain examples of deficient performance and document all counseling sessions.
If the employee does not correct deficient performance after counseling (including a referral to
Employee Assistance Program (EAP) and additional training, and the rating official determines
that the employee’s performance has fallen to an unacceptable level in any critical element, a
rating official shall follow the procedures in section 18.1 to deal with the unacceptable
performance.
In addition to this section, also see Title 5, Code of Federal Regulations, Part 432 - Performance
Based Reduction In Grade and Removal Actions, and applicable bargaining agreements, for
further direction on dealing with unacceptable performance.
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DURATION: This amendment is effective until superseded or removed.
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18.1 - Opportunity to Improve Performance
When an employee's performance is determined to be at the unacceptable level for any critical
element, the rating official must obtain concurrence from the reviewing official and seek
assistance from the servicing ASC HCM Staff before initiating any formal action based on
unacceptable performance. In addition, if the rating official’s determination occurs at or near the
end of the annual appraisal period, the rating official also must seek assistance from the ASC
HCM prior to providing the employee a summary rating and prior to extending the employee’s
appraisal period.
With the assistance of ASC HCM Staff, the rating official shall develop a written performance
improvement plan (PIP) to present to the employee. The PIP will provide the employee with at
least 60 days to improve performance. In situations where the PIP period extends beyond the
ending date of the annual appraisal period, the appraisal period shall be extended to
accommodate the PIP. The letter placing an employee on a PIP should advise the employee of
any extension in the appraisal period and the delay of the summary rating/rating of record.
18.2 - Contents of Performance Improvement Plans
Although the contents of performance improvement plans (PIPs) are unique to the employee and
the individual circumstances being addressed, the following information must be included in all
PIPs:
1. Identifying Information. The employee's name, title, series, grade, and organizational
location.
2. Length of Opportunity Period. The length of the initial opportunity period must be at
least 60 calendar days.
In determining a reasonable period of time for an employee to demonstrate successful
performance, consider the complexities of the employee's duties, length of experience in the
position, prior performance record, training, and any other relevant factors. If after the initial
opportunity period, the rating official concludes that additional time is required to assess the
employee's performance progress, the initial period of time may be extended. The rating official
will communicate the extension to the employee in writing prior to the end of the PIP
3. Elements and Deficiencies. The element(s) and performance standard(s) for which the
employee's performance is at the unacceptable performance level and a description of the exact
nature of the deficiencies.
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4. Actions Required To Improve. Advice and/or guidance on what the employee must
do to improve to the successful performance level. Expectations may be clarified at this time.
However, additional duties or standards may not be added to the employee's performance plan
during a PIP.
5. Management Assistance. A statement regarding how the rating official will assist the
employee correct the performance deficiencies. Assistance may include, but is not limited to:
counseling, closer supervision, special resources, training, more frequent performance reviews,
memoranda written to the employee explaining on-going errors and how to correct them,
assistance with organizing workload, and samples of acceptable work products.
In providing assistance, it is important that the rating official not assume part of the employee's
responsibilities or assign them to another employee. Such removal of duties and responsibilities
during the opportunity period does not enable the employee to demonstrate the ability to perform
the entire job successfully.
6. Potential Consequences of Failure. A statement that failure to improve performance
to the successful performance level in any critical element (that is, the level of performance
required for retention in the position) may result in reassignment, a reduction in grade, or
separation of the employee from the Agency.
7. Employee Assistance Referral. A referral to the Employee Assistance Program (EAP)
(FSM 6143). However, an employee cannot be compelled to seek EAP assistance.
18.3 - Determining Appropriate Action after Completion of the Performance
Improvement Period (PIP)
Within 14 days of the end of the opportunity period (or shorter period if required by applicable
bargaining agreement) the rating official will normally notify the employee, in writing, whether
the employee’s performance has improved to the fully successful level.
Rating officials should complete summary ratings within 30 days after the employee completes
the opportunity period, and ensure that the information on Form AD-435, Performance Appraisal
corresponds with the opportunity period.
When an employee’s performance has improved to the successful level, the employee is retained
in the position. The employee is responsible for maintaining performance at the fully successful
level in the critical element for which the opportunity period was afforded for 1 year following
the issuance of the PIP. If, during the 1-year period, the employee's performance again becomes
unacceptable in the critical element, for which the opportunity period was afforded; the
employee may be reassigned, demoted to a lower grade, or removed without any additional
opportunity to improve.
WO AMENDMENT 6109.13-2007-1
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When an employee’s performance has not improved to the successful level by the end of the
improvement period, the rating official shall discuss with the ASC HCM staff the adequacy of
the performance documentation that demonstrates the employee's performance has not improved
to the successful level.
If sufficient evidence supports a performance-based action (Title 5, Code of Federal Regulations,
Part 432 - Performance Based Reduction In Grade and Removal Actions), the rating official,
with the concurrence of the reviewing official, will initiate a reassignment, reduction in grade or
removal from the Forest Service based on unacceptable performance. A decision to propose a
reduction in grade or removal may not be made until the improvement period is completed.
18.4 - Notice of Proposed Action
In proposing an adverse action (reassignment, reduction in grade or removal) based on
unacceptable performance, the rating official shall provide the employee with a 30-day advance
notice of proposed action which identifies both specific examples of the unacceptable
performance by the employee on which the proposed action is based, and the critical element(s)
of the employee's position involved in each example of unacceptable performance, and language
required by applicable collective bargaining agreements. Also, see Title 5, Code of Federal
Regulations, Part 432 - Performance Based Reduction In Grade and Removal Actions, for
procedures to use in proposing adverse and performance-based actions.
18.5 - Medical Conditions Affecting Performance
If at any time during the appraisal period an employee asserts that a medical condition
contributes to unacceptable performance, the rating official is responsible for informing the
employee of the requirement to provide timely and acceptable medical documentation from a
medical care provider/professional for management's consideration. It is the employee’s
responsibility to provide the medical documentation to support their assertion.
19 - RELATIONSHIP OF PERFORMANCE APPRAISAL TO OTHER PERSONNEL
ACTIONS
19.1 - Within-grade Increase
To receive a within-grade increase (WGI), an employee must meet the requirements listed in
Title 5, Code of Federal Regulations, Part 531 - Pay Under The General Schedule (5 CFR part
531) and have a current summary rating of fully successful or above.
When the rating of record is fully successful or above, and the rating official determines that the
employee continues to perform at an acceptable level of competence, no further action is
required (5 CFR part 531). A WGI will automatically be processed by the National Finance
Center (NFC).
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19.11 – Denial of Within-grade Increase
When an employee’s performance is not at an acceptable level of competence (marginal or
unacceptable), at the time the employee is due to receive a within-grade increase (WGI), the
rating official shall deny the WGI until the employee’s performance is brought to the fully
successful level (5 CFR 531.409e).
In denying the WGI, the rating official shall notify the employee, in writing, of negative
determination at least 30 days before the WGI is due. The notice shall include:
1. The reasons for the negative determination;
2. A minimum of 60 days to demonstrate sustained performance at an acceptable level of
competence;
3. The respects in which the employee must improve performance in order to be granted
the WGI;
4. What actions the supervisor will take in assisting the employee; and
The employee’s right to request reconsideration of the negative determination and grievance
rights, as appropriate.
If after the period to improve, the rating official determines that the employee has demonstrated
sustained performance at an acceptable level of competence, the rating official will prepare a
more current rating of record. The WGI will be granted effective the beginning of the next pay
period following the determination.
19.12 - Role of Albuquerque Service Center (ASC), Human Capital Management
(HCM) Staff
In all cases of less than fully successful summary ratings, rating officials shall seek assistance
from the Albuquerque Service Center (ASC) Human Capital Management (HCM) Staff. If the
employee's most recent rating of record is marginal or if the employee has been placed on a PIP
to improve unacceptable performance, the ASC HCM Staff shall notify the National Finance
Center (NFC) not to process the within-grade increase (WGI). A WGI will not be processed
until there is a new rating of record reflecting a successful performance level.
19.2 - Reduction in Force
Entitlement to additional service credit and to assignment rights for reduction in force (RIF)
purposes is based on performance. An employee would receive extra RIF service credit for
performance based upon the average of the employee’s last 3 annual performance ratings of
WO AMENDMENT 6109.13-2007-1
EFFECTIVE DATE: 01/04/2007
DURATION: This amendment is effective until superseded or removed.
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CHAPTER 10 – PERFORMANCE MANAGEMENT PROGRAM
record received during the 4-year period prior to the date the agency issues RIF notices. The 4year period is the earlier of the date the agency issues RIF notices, or the date the agency freezes
ratings before issuing RIF notices.
An employee is given additional service credit based on the mathematical average (rounded in
the case of a fraction to the next whole number) of the value of the employee's last 3 annual
ratings. If an employee received more than 3 annual ratings during the 4-year period, the 3 most
recent annual ratings are used. If an employee received fewer than 3 annual ratings during the 4year period, the actual ratings received are averaged and rounded up to a whole number. If an
employee has received no ratings of record, the employee is given performance credit based on
the most frequently assigned performance rating in the employee’s agency or organization.
1. Formula for assigning performance credit. When all employees in a competitive area
have ratings earned under the same type of performance rating pattern, then the standard
formula for assigning performance credit is:
a. 20 Additional years for an "Outstanding" rating;
b. 16 Additional years for an "Exceeds Fully Successful" rating; or
c. 12 Additional years for a "Fully Successful" rating.
For example, an employee with 2 years of Federal service has 1 annual rating of "Outstanding"
(20) and 1 of "Exceeds Fully Successful" (16); the employee would receive an additional RIF
service credit based upon the 2 actual ratings, or 20+16=36, divided by 2 = 18 years of RIF
credit for performance.
2. Rating of Record. A rating of record shall not be assigned for the sole purpose of
affecting an employee's Reduction in Force (RIF) standing. If a RIF becomes necessary,
scheduled ratings of record may be postponed beyond the established cutoff date up to 30
days preceding the issuance of specific RIF notices, if all of the following conditions are
met:
a. The Director, Human Capital Management concurs in a statement that the RIF
cannot be postponed for specific, related reasons;
b. The scheduled rating dates for employees in the competitive area are such that it
will not be possible to process all ratings before the date that specific RIF notices are
prepared; and
c. There are persuasive reasons why ratings cannot be processed prior to the
scheduled rating date and before the date-specific notices are prepared.
WO AMENDMENT 6109.13-2007-1
EFFECTIVE DATE: 01/04/2007
DURATION: This amendment is effective until superseded or removed.
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CHAPTER 10 – PERFORMANCE MANAGEMENT PROGRAM
19.3 - Promotion
1. Career Promotion. To receive a career promotion, an employee must have a current
rating of record of Fully Successful or above.
2. Merit Promotion. The Forest Service Merit Promotion Plan (FSH 6109.12, sec. 23)
requires that candidates be appraised based on the knowledge, skills, and abilities required of the
position to be filled rather than on performance in the candidate's present position.
19.4 - Probationary Period
1. New Employee Probationary Period. For an employee who is given a new career or
career conditional appointment, the first year of service is a probationary period when the
appointment meets conditions specified in Title 5, Code of Federal Regulations, Section 315.801
- Probationary period (5 CFR 315.801). New employees must be observed and appraised during
their probationary periods to determine whether they can perform their duties acceptably, have
qualities needed to become successful career employees, and should be retained in the Federal
service. The rating official shall seek advice and assistance from the ASC HCM prior to
removing an employee during the probationary period. Probationary employees may be
terminated for unsatisfactory performance in accordance with 5 CFR 315.804, Termination of
probationers for unsatisfactory performance or conduct.
2. Supervisory/Managerial Probationary Period. Employees who are newly appointed to
supervisory and managerial positions must satisfactorily complete a probationary period before
the initial appointment becomes final. The performance of newly appointed supervisors must be
monitored to determine whether or not the employee can perform successfully, particularly in
Element 2 – Leadership/Management (sec. 13.22c, ex. 01). A supervisor who does not
successfully complete the probationary period shall be returned to a nonsupervisory position
equivalent to the one in which the employee served prior to appointment as a supervisor (5 CFR
315.907 - Failure to complete the probationary period, and the Forest Service Merit Promotion
Plan (FSH 6109.12, sec. 22)).