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
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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
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12430.3
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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
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(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.