U.S. DOD Form dod-opnavinst-12430-3 @ o OPNAV INSTRUCTION DEPARTMENT OFFICE OF THE OF CHIEF WASHINGTON, THE NAVY OF NAVAL OPERATIONS DC 20350-2000 IN REPLY REFER TO OPNAVINST 12430.3 N09BD 5 October 1998 12430.3 From: Chief of Naval Operations Subj : OPNAV PERFORMANCE Ref: (a) Chapter 43 of Title 5, United States Code Part 430 (b) Title 5, Code of Federal Regulations, Subchapter 430 of Dec 96 (NOTAL) (C) DOD 1400.25-M, (d) SECNAVINST 12430.4 of 11 Aug 97 (NOTAL) (e) DON Implementation Guidance on Awards (NOTAL) Encl : (1) Form OPNAV (2) Form OPNAV MANAGEMENT 12430/1, 12430/2, PROGRAMS CNO Appraisal CNO Appraisal for GS 1-12 for GM/GS 13, 14, 15 1. Purpose. To provide guidance concerning the implementation of the Department of the Navy’s (DON) new Performance Management Program and establish the Chief of Naval Operations policy for evaluating the performance of civilian employees per references (a) through (d). Following the requirements of references (a) and 2. Background. the DON has developed a new (b) and as directed by reference (c), Performance Management Program, reference (d) . The new DON for a Program contains two significant changes: The requirement two-level summary performance rating (acceptable or unacceptable) and the removal of the direct connection between civilian awards and end of cycle performance ratings. 3. Scope. This guidance applies to all General Schedule and with the exception of employees on Federal Wage System employees, Within the Office of the appointments of less than 120 days. Chief of Naval Operations (OPNAV) civilian employees GS-1 through The GS–15 will continue to have two appraisal cycles. forms are attached at enclosures (1) and performance appraisal (2) . All performance management programs used within the 4. Policy. Chief of Naval Operations will be two-level summary rating of performance programs, as defined in reference (d) . Assessment The objective of is an integral part of effective management. performance management is to provide an opportunity for constructive dialogue between the supervisor and the employee. OPNAVINST Socl w 12430.3 The goal is to improve organizational effectiveness in stating and accomplishing mission requirements while encouraging and employees to continuously improve, develop professionally, perform at their full potential. 5. Definitions Cycle. The established period of time for a. Appraisal which performance will be assessed and a rating of record prepar~d. The OPNAV performance appraisal cycle for GS-1 to GS­ 12 employees is 1 October to 30 September and GS-13 to GS-15 employees are on a cycle that begins 1 July and ends 30 June. An appraisal conducted when an Close–Out Rating. b. Close-out employee or first-level supervisor leaves a position. ratings will be in writing and used in deriving the rating of record and may, in some cases, become the rating of record. Work assignments, tasks c. Objectives/Elements/Workplan. and goals employees and supervisors set at beginning of cycle to A standard workplan is accomplish during the appraisal year. attached to each appraisal. A review of the employee’s performance, Progress Review. d. Progress which is conducted midway through the appraisal cycle. reviews do not require the assignment of a summary rating; however, the supervisor and employee must discuss performance and Changes in mission requirements and document the appraisal form. goals, completion or extensions of major projects due to time and/or money constraints affecting performance elements may be adjusted during this review. The performance summary rating Rating of Record. e. The rating of record prepared at the end of the appraisal cycle. is the employee’s official performance rating for pay and retention purposes and is derived from the evaluation of the elements and workplan when used. End of cycle employee Self-Assessment . f. how they accomplished annual objectives/elements. GS-13S and above; strongly recommended for GS-lS assessment of Mandatory for through GS-12S. The overall rating assigned when Summary Rating. 9“ The two evaluating the elements and when used the workplan. summary rating levels are “Acceptable” and “Unacceptable.” 2 OPNAVINST 12430.3 ~ 50C1 1990 Elements/objectives (EAS), Acceptable are evaluated as Exceeds Acceptable Standard (AS) and Unacceptable (U). Standard Performance of an employee h. Unacceptable Performance. which fails to meet established performance standards in a performance element. 6. Action Supervisors a. are expected to: (1) Communicate with employees regarding requirements, the performance elements/objectives and the employee’s developmental needs. mission and standards (2) Establish and discuss performance elements with employees and provide them with a copy of their performance plan (appraisal) within 30 days after the beginning of each appraisal cycle. (3) Provide assistance to employees in improving their performance if at any time during the appraisal cycle their in one or more to be “Unacceptable” performance is determined element. midway (4) Conduct and document a minimum through the appraisal period. of one progress review (5) Prepare a close-out rating if either the employee or the supervisor leaves the position prior to the end of the cycle. (6) Prepare a rating of record for each covered employee. This includes rating for each element and the summary level Forward proposed ratings of “Unacceptable” to the second rating. rating only requires “Acceptable” level supervisor for approval. the immediate supervisor’s signature. b. pertinent Employees are expected to: (1) Review position description, program information. mission statements (2) Participate with supervisor in the preparation elements and workplan if used. performance standards, and of OPNAVINST 12430.3 50C1 w (3) Discuss performance standards and developmental needs. (4) Participate performance appraisal. in mid-year reviews and document (5) Prepare self-assessment at the end of the performance cycle (mandatory for GS-13S and above; optional for GS–12S and below) . 7. Implementation a. Setting Performance Standards (1) The supervisor will set performance standards with the The supervisor employee within 30 days of the appraisal cycle. form and request the employee to will sign and date the appraisal A copy of the form is to be also sign and date the form. keeps the original. provided to the employee; the supervisor (2) supervisors individual supervisors illustrate the rating b. Enclosures (1) and (2) provide generic elements for and employees and may be used in developing Additionally, employees and performance plans. are encouraged to use a workplan, to further what work assignments are to be accomplished during cycle. Monitoring and Rating Performance The supervisor and employee must, (1) Progress Review. at a minimum, conduct and document a midyear review of the in meeting the performance standards. To employee’s performance the maximum extent possible, progress reviews will be informative The supervisor and employee will and developmental in nature. discuss accomplishments, update priorities, and define new Progress reviews do not require a assignments and expectations. on the appraisal summary level rating, but must be documented form. If at any time during the (2) Unacceptable Performance. performance is determined to be appraisal cycle, an employee’s in one or more of the elements, the supervisor “Unacceptable” must communicate the shortcomings and the expectations to the employee in writing.