GSA Associate (Employee) Performance Plan and Appraisal System

Purpose

This Order issues and transmits the General Services Administration (GSA) Associate (Employee) Performance Plan and Appraisal System (APPAS). APPAS is a critical component of GSA’s overall performance management process and its purpose is to improve GSA’s performance results in achieving its mission while enhancing opportunities for career success of GSA employees.

Background

This Order provides a systematic approach to developing, documenting and communicating employee performance goals, measures, and expectations.   

Applicability

APPAS is a critical component of GSA’s overall performance management process for applicable employees.   

1. Executives, managers and supervisors are required to have performance plans for each employee in their area of responsibility. These performance plans must contain performance goals, measures and expectations that cascade down from and link directly or indirectly to the performance goals and measures in GSA’s Strategic Plan and in the employee’s organizational unit performance plan. Additionally, executives, managers and supervisors must communicate the performance plans and provide feedback to employees regarding their performance achievements. Employee performance ratings will be linked to awards and other forms of recognition for employee performance. All employees are encouraged to participate actively and collaboratively in this process to ensure that the capabilities of GSA’s team of employees are fully utilized and recognized; that there is a common understanding of performance goals, measures and expectations; and that there is a strong commitment to providing best value services to customer agencies and taxpayers while, at the same time, enhancing the opportunities for career success of GSA employees. 

This Order applies to all GSA employees as they perform their duties. The following are exceptions:

1. The Office of Inspector General (OIG), given its independence under the Inspector General Reform Act of 2008 (5 U.S.C. §§ 401-424).
2. The Civilian Board of Contract Appeals, due to its independent authorities.
3. Executive Schedule appointees. 
4. Senior Executive Service (SES) members. 
5. Senior Leader (SL) and Scientific or Professional (ST) members. 
6. Presidential Appointees requiring Senate confirmation. 
7. Experts and consultants, covered by 5 CFR 304.
8. Excepted service employees for whom employment is not reasonably expected to exceed 90 days in a consecutive 12-month period.

Cancellation

1. HRM 9430.2 CHGE 2 Associate (Employee) Performance Plan and Appraisal System, is canceled.

Summary of Changes

1. Removal procedures should be undertaken in accordance with the procedures under 5 CFR 432 or 5 CFR 752.
2. A Performance Improvement Plan (PIP) should not generally afford an employee more than a 30-day period to demonstrate acceptable performance, except when the agency determines in its sole and exclusive discretion that a longer period is necessary to provide sufficient time to evaluate an employee’s performance.
3. APPAS will exclude Senior Leader (SL) and Scientific or Professional (ST) members.
4. Section 3 Program Overview. Includes additional guidance on the minimum rating period and changes the criteria to extend the annual rating period. 
5. Section 4 and 5 performance plan and appraisal. Performance Appraisal has been updated to enforce the 90 day minimum rating period must be met by September 30 with limited exceptions for extension. New hires, including transfers, after June 1 will be placed on a performance plan through the end of  the next annual rating period and have the time added to that rating period. The types of summary ratings were included to provide additional clarity on how the summary ratings are to be used.  
6. Appendix D. Definitions updated and new terms added.
7. Minimum rating period changed from 120 days to 90 days.

Roles and Responsibilities

APPAS is to be implemented with the following roles and responsibilities:

1. The Administrator has responsibility for the overall direction of GSA’s APPAS.
2. The Heads of Services and Staff Offices (HSSOs) will: 
   1. Communicate performance goals and measures to all employees within their respective organizations; 
   2. Set expectations for managers and supervisors to effectively use the performance plan and appraisal system; 
   3. Ensure that performance plans are properly developed and that performance reviews, performance appraisals, and other performance-plan and appraisal actions are completed as prescribed;
   4. Ensure the opportunity exists for employees to receive feedback regarding their performance;
   5. Ensure that performance appraisal results are used by managers and supervisors in making personnel decisions regarding training, awards, recognition, reassignments, details, promotions, reduction-in-grade, retention, and removal of employees; 
   6. Maintain appropriate records, submit required data and reports on the operation and effectiveness of the program, and take corrective action as warranted; 
   7. Ensure a consistent application of the performance plan and appraisal system within their area of responsibility; and 
   8. Create a work culture and environment that promotes a high-performance organization. 
3. The Office of Human Resources Management (OHRM) is responsible for overall administration, development, implementation and evaluation of GSA’s APPAS. OHRM will:
   1. Provide training to employees including communicating to executives, managers, supervisors and employees the purpose and procedures of APPAS and its relationship to the overall performance management process; 
   2. Provide training to executives, managers and supervisors on how to identify critical elements and establish performance expectations; 
   3. Provide training to executives, managers and supervisors relative to their duties and responsibilities for administering GSA’s APPAS;
   4. Provide advice and guidance to employees, executives, managers and supervisors on laws, regulations, and this Order related to employee performance plans and appraisals; 
   5. Participate in the development and implementation of a monitoring and evaluation program to ensure the effectiveness of the system;   
   6. File and transfer ratings of record in accordance with OPM’s guidance; 
   7. Execute an accountability review of this Order to ensure organizations meet the requirements of this Order. The accountability review should be conducted on a periodic basis according to the standards as directed by OPM; and
   8. Create a work culture and environment that promotes a high-performance organization.
4. Supervisors will: 
   1. Communicate to all employees how their work links to the accomplishment of the business goals and objectives, and the agency’s strategic goals;
   2. Encourage employee participation in developing critical elements and performance expectations; 
   3. Provide employees with a written performance plan, which identifies the critical elements and performance expectations that are based on organizational performance goals; and that reflect the types of duties and responsibilities in their job descriptions;
   4. Conduct, discuss and document at least one progress review for each employee at the midpoint of the rating period; 
   5. Ensure that performance appraisals, to the maximum extent possible, are tied to HSSO objectives, job-related, and that the rating is supported by actual accomplishments; 
   6. Conduct and document the annual performance appraisal after discussing with the employee; 
   7. Provide feedback on specific accomplishments and suggestions for improvement; 
   8. Assist employees in developing to their full potential; 
   9. Discuss with and obtain concurrence from the reviewing official on ratings as required by this Order; 
   10. Create a work culture and environment that promotes a high-performance organization;
   11. Sign the performance plan and appraisal documents;
   12. Attempt to obtain the subject employee’s signature on the performance plan and appraisal documents;  
   13. Enter performance plans and appraisals into GSA’s Human Resources Information Technology (HRIT) system accurately and timely; and
   14. Recommend and/or take appropriate personnel action(s) based on the employee’s level of performance, including promotions, awards, recognition, reassignments, details, training, developmental assignments, reductions in grade, and/or removal.  
5. Employees should:  
   1. Participate with supervisors in developing performance plans, critical elements, and clearly defined performance expectations; 
   2. Advise supervisors of any facts or circumstances that should be considered in establishing performance expectations or evaluating performance;
   3. Request clarification from supervisors of any performance expectations that are not understood;
   4. Participate in performance review(s);
   5. Seek developmental opportunities to enhance performance;
   6. Sign the performance plan and appraisal documents. An employee’s signature does not constitute agreement or disagreement with the rating, but verifies the rating was received;   
   7. Prepare written comments when disputing a rating; and
   8. Participate actively with supervisors in any discussions relating to their performance.