Law Enforcement

Merit System Council

Performance Appraisal
Manual

June 16, 2011

DPS 932-00271 Rev. 6/2011

 Performance Appraisal Manual

Prepared and Approved by: Law Enforcement Merit System Council

Manual Issue Date: June 16, 2011

Supersedes: Performance Appraisal Manual

Dated: November 1994

Approved by: _________________________________

Major Iven T. Wooten, Business Manager
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Table of Contents

Page

I. Overview ....................................................................................................................... 1-1

A. Beginning of Rating Period ................................................................................ 1-2

B. During the Rating Period .................................................................................... 1-2

C. End of Rating Period........................................................................................... 1-2

D. Distribution ......................................................................................................... 1-3

II. Appraisal Process.......................................................................................................... 2-1

A. Develop the Task Analysis ................................................................................. 2-1

B. Select Performance Factors................................................................................. 2-2

C. Assign Factor Weights........................................................................................ 2-2

D. Select/Develop Rating Guidelines ...................................................................... 2-3

E. Review ................................................................................................................ 2-4

F. Evaluation ........................................................................................................... 2-4

G. Review and Acknowledgment ............................................................................. 2-6

III. Rating Periods ............................................................................................................... 3-1

IV. Appeals/Grievances....................................................................................................... 4-1

V. Probation and Interim Rating ..................................................................................... 5-1

A. Performance Reports and Removal from Probation ........................................... 5-1

B. Extending Probation............................................................................................ 5-1

C. Interval Ratings................................................................................................... 5-2

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VI. Resignation and Terminal Appraisals ....................................................................... 6-1

Appendixes: A. Task Analysis (DPS 802-03654)

B. Suggested Performance Factors for Classifications

C. Performance Factors Definitions

D. Employee Performance Report Documentation Form

E. Employee Performance Appraisal (DPS 802-01335)

F. Employee Performance Report

Glossary

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Introduction
The Performance Appraisal Manual explains the Employee Performance Appraisal Plan which
has been adopted by the Law Enforcement Merit System Council (LEMSC), the “Council” in
compliance with Arizona Administrative Code Title 13, Chapter 5, Article 3, Section R13-5-317,
Performance Evaluations.

The Employee Performance Appraisal Plan is a systematic approach for evaluating the
accomplishments of employees. It is a plan that is adaptable to all classifications and is designed
to accommodate change in assignments and responsibilities.

The Plan’s goals are to:

1. Improve the employees’ understanding of their assigned duties, management’s

standards for performance, and the employee’s progress in meeting those
standards.

2. Assure objectivity, consistency, and fairness in appraising employees.

3. Encourage employee development for better job performance.

4. Assist in identifying training needs.

Procedural questions regarding this manual or the Employee Performance Appraisal Plan that it
represents should be referred to the Business Manager of the LEMSC.

Changes to the manual or the Plan shall only be made by the Council.

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I. Overview
The Employee Performance Appraisal Plan is a system which is adaptable to all
classifications, changes in assignments and responsibilities, and variations in importance
of performance factors. This is accomplished through the application of appropriate
performance factors relating to the assigned task and through the use of factor weights
applied to these performance factors.

The Plan consists of performance factors each of which can be weighted according to
degree of importance. The Rater shall select those performance factors deemed to be
applicable to the work being performed. The exception is that all employees must be
rated on performance factors 1–Work Habits, 2–Relationships with People, and 3–Policy
and Procedures. These three factors have a preset weight of Very Important (4) and they
are not subject to modification. The Rater may customize additional performance factors
rating guidelines to suit an employee’s duties without altering any of the existing
guidelines.

Each employee’s performance shall be rated on those performance factors selected using
a Numerical Rating Value scale as follows:

1 Unacceptable
5 Below Standard
8 Standard
11 Exceeds Standard

Each employee’s job performance shall be rated on an annual basis from November 1
through October 31 unless the employee is on probation in which case the employee shall
be rated at six months and at the end of the regular probationary period.

Other important aspects of the Plan are:

1. Development of a Task Analysis (DPS 802-03654, Appendix A) to

establish appropriate Performance Factors (Appendix B).

2. Ongoing documentation of employee performance.

3. Examination of the appraisal by a Reviewer.

4. Continuity when an employee transfers.

5. Rater ability to adapt rating guidelines to specific tasks.

6. Adaptability to variations in work assignments.

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The following summarizes the steps of the Employee Performance Appraisal Plan
process; which details the importance of an open communication flow between the Rater
and employee and shows the interrelationship between the various functions in the
process.

A. Beginning of Rating Period

1. Rater prepares a Task Analysis of employee work assignment.

2. Rater identifies applicable Performance Factors in addition to the three

mandatory Performance Factors.

3. Rater develops additional rating guidelines as necessary.

4. Rater determines Factor Weights of Performance Factors and records on

documentation forms.

5. Reviewer reviews the determinations and agrees or suggests changes.

6. Rater meets with the employee to discuss the Performance Factors

selected and the Rater’s expectations of the employee’s performance.

B. During the Rating Period

1. Rater records information concerning the employee’s performance in each
Performance Factor on the Documentation Form.

2. Rater reviews entries on documentation forms at least once every 90 days

with the employee obtaining the employee’s initials to indicate the entries
have been reviewed and that the employee was afforded the opportunity to
respond if not in agreement. The employee may respond on the
documentation forms used by the Rater or may submit a memorandum
response which will be added to the employee’s performance
documentation file.

C. End of Rating Period

1. Rater reviews all entries on Documentation Form and compares to
established rating guidelines.

2. Rater determines numerical score for each performance factor, records the
score and weights on the Employee Performance Appraisal (DPS 802-
01335) form and signs.

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3. Reviewer reviews the scoring and signs the Employee Performance

Appraisal form.

4. Rater reviews the Employee Performance Appraisal form with the

employee.

5. Employee signs the Employee Performance Appraisal form.

Note: If the employee does not agree with their appraisal,

steps to follow are found in Chapter IV of this manual.

6. Rater forwards completed Employee Performance Appraisal form to the

designated data entry location.

D. Distribution
Upon receipt of the computer-generated Performance Report, the data entry
person distributes the three copies as follows:

1. Copy one and the Employee Performance Appraisal form to Human

Resources.

2. Copy two to the employee.

3. Copy three to the Rater to be maintained in the employee Personnel

Performance Review (PPR) file.

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II. Appraisal Process

It is important that performance factors, rating guidelines, and factor weights are
consistent for employees doing similar work unless experience on the job or working
conditions warrant differences in these determinations. The agency head may establish
procedures to ensure this consistency. The Plan is designed to be job-centered and the
first step in the appraisal process is Task Analysis which is a systematic listing of specific
tasks to be performed by the employee during the Rating Period.

A. Develop the Task Analysis

1. The performance appraisal process starts at the beginning of the Rating
Period as a joint effort between the Rater and the employee. Through
agreement between the Rater and employee in this process is highly
desirable, it is not mandatory. It is important, however, that both
understand:

a. The tasks the employee is expected to carry out during the rating
period.

b. The performance factors which relate to these tasks.

c. The rating guidelines against which the employee will be rated.

d. The importance of each task in relation to other tasks.

2. The tasks may be established by relying on approved job descriptions 1

available on the Department’s website, from the Council business office,
from Human Resources, and from the Rater’s and employee’s knowledge
about the assignment. The tasks may be listed on the Task Analysis form
or in any other appropriate format. They must be stated clearly and
concisely and relate to the organizational unit’s assigned functions, goals,
and objectives. They should be written in the active tense, clearly stating
the activity and its purpose; for example, “writes monthly status reports
for the manager” and “types minutes of Retirement Board meeting.”

1
Job descriptions have been approved by LEMSC for all classifications. They are intended to serve as a guide for
the supervisor and employee. They generally do not include all tasks performed by the employee nor are they as job
specific as is necessary for the Task Analysis step of the appraisal process.

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B. Select Performance Factors

Each employee shall be rated on Performance Factors 1– Work Habits,
2–Relationships with People, and 3–Policy and Procedures.

1. The Rater, with employee input, determines which of the other

Performance Factors (Appendix C) apply to the employee. Additional
Factors may be added if necessary by using blank Documentation Forms
(Numbers 38-40, Special/Other Category). It is extremely important that
the factors apply to the full range of tasks outlined in the Task Analysis.

2. A Rater may also use the following method in determining Performance

Factors:

a. Refer to the current job description.

b. Refer to Appendix B for Suggested Performance Factors. All

performance factors may be considered but selected factors must
be applicable to the employee’s duties.

c. Review the definitions in Appendix C to determine if they are

appropriate. These definitions may be rewritten to suit the needs
of the supervisor and the employee in understanding the rating
criteria. All rewritten definitions shall be placed in the
performance file along with the appropriate documentation form.

3. Performance factors may not necessarily be related to the employee’s

classification. For example, an officer assigned to an administrative
position might be rated on several administrative Performance Factors in
addition to suggested Performance Factors applying only to law
enforcement officers. The Rater and employee may select Performance
Factors believed to be the most important to be used in the appraisal for
that period.

C. Assign Factor Weights

Certain Performance Factors may be more critical than others in the completion of
the assigned tasks. The Plan allows for determination of relative importance of
each Performance Factor referred to as Factor Weights.

1. This step of the process involves the determination of one of the following
three Factor Weights to each Performance Factor.

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WEIGHT
FACTOR WEIGHT RELATIVE WORTH
VALUE
Greatest degree of job
Very Important 4 responsibility or
significance
Median degree of job
Important 2 responsibility or
significance
Baseline of job
Less Important 1 responsibility or
significance

2. The Factor Weights should be developed and evaluated carefully to assure

they truly reflect the relative worth of the various Performance Factors.
The Factor Weights need not add up to any specified sum.

3. The Factor Weights for Performance Factors 1, 2, and 3 are not subject to
weight determination. Each has a preset weight of Very Important since
these factors apply to all employees and provide the foundation to build
upon.

4. The factor weight value of each performance factor shall be recorded on

the documentation forms for the appropriate rating period. It shall also be
recorded in the Weights column of the appraisal form.

D. Select/Develop Rating Guidelines

Listed on each documentation form are rating guidelines separated into the four
numerical rating values and describes basic requirements for the scoring of each
performance factor.

1. The Rater can use the rating guidelines printed on the documentation form
and make changes or additions directly on the form.

2. If additional performance factors are necessary, the Rater shall use

Performance Factor forms 38 – 40. Rating guidelines must be established
for each of the four numerical rating values.

3. Employee Performance Factor numerical ratings are recorded on the

Employee Performance Appraisal form (DPS 802-01335).

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E. Review
1. Before the Task Analysis, Performance Factors, Rating Guidelines, and
Factor Weights are finalized, the Rater shall discuss them with the
reviewer. The reviewer shall ensure that:

a. The tasks identified fit within the approved classification for the
position.

b. The selected Performance Factors apply to the position.

c. The rating guidelines are realistic and achievable.

d. The factor weights are appropriate for the assigned duties.

2. The Rater shall meet with the employee to review and discuss the selected
Performance Factors, Rating Guidelines, and Factor Weights.

3. For reasons such as reassignment, transfer, change in supervisor or change

in goals and objectives, the Task Analysis, Performance Factors, Rating
Guidelines or Factor Weights may change from one rating period to the
next. The employee and Rater shall meet to make appropriate
modifications under applicable circumstances. This may include rewriting
the Task Analysis, adding or deleting Performance Factors, changing the
Rating Guidelines or changing the Factor Weights; for example, an
administrative employee who had minimal involvement with the
budgetary process might be assigned a project to develop a budget
tracking system. In this case, the Task Analysis and Factor Weight value
for the Fiscal and Budget factor might change.

F. Evaluation
1. Performance Documentation

a. The Rater shall observe the employee’s performance and make

notations about the performance at least once every 90 days on the
documentation form for the applicable Performance Factor. Raters
shall observe the performance of probationary employees and
make notations about the performance at least once every 60 days.
Additional forms of documentation may be used to effectively rate
employees; for example, letters of commendation and specialized
area forms. This documentation shall be retained with the
Documentation form for the reporting period.

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b. Entries shall be dated and written clearly. In situations where other

records support observations, entries shall refer specifically to
those records.

c. The Rater shall show these notations to the permanent employee at

least once every 90 days and the probationary employee at least
once every 60 days during the rating period, at which time the
employee shall initial and date the form below the entries to
indicate the documentation review. The employee may provide
additional information directly on the documentation form, on a
documentation supplement, or in a separate memorandum.

d. The performance documentation shall be retained by the supervisor

in accordance with the Arizona State Library, Archives and Public
Records approved retention schedule. The employee may request
copies of these records at any time.

2. Appraisal

a. The Rater shall determine a numerical rating value for each

Performance Factor based on the performance documentation and
the established rating guidelines.

The rating consists of the following four categories:

(1) 11—Exceeds standard. Surpasses the expected level of

performance required to accomplish the objectives of the
assignment.

(2) 8—Standard. Meets the expected level of performance

required to accomplish the objectives of the assignment.

(3) 5—Below standard. Falls short of the expected level of

performance and requires improvement for the employee’s
work performance to be satisfactory.

(4) 1—Unacceptable. Falls far below the expected level of

performance and requires immediate improvement.

b. Once the numerical rating value is established, the Rater shall

check the appropriate box on the documentation form for each of
the applicable Performance Factors.

c. The performance report rating is a computed average score of the

numerical rating value and factor weights of each applicable
Performance Factor. Therefore, the information on the

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documentation forms must be correctly transferred to the

Employee Performance Appraisal form.

The final rating score will range from 1 through 11.

Within the 1-3 range equals unacceptable performance.
Within the 4-6 range equals below standard performance.
Within the 7-9 range equals standard performance.
Within the 10-11 range equals exceeds standard performance.

3. Completing the Process

a. The Rater shall sign the appraisal form and forward to the reviewer
for examination and signature.

b. The form is then returned to the Rater who shall discuss the
performance ratings with the employee and obtain the employee’s
signature prior to submission for data entry. The employee’s
signature is merely an acknowledgement of review.

c. The employee may indicate agreement or disagreement by marking

the appropriate block on the form.

G. Review and Acknowledgement

The review process ensures that employees are rated fairly and in a manner
consistent with LEMSC Rules and department policies and procedures.

1. Review

a. The Reviewer reviews the appraisal form to ensure:

(1) Timely and accurate preparation.

(2) Fair appraisal of the employee’s performance based on the

previously established Performance Factors, Rating
Guidelines, and Factor Weights.

b. The Reviewer should also inspect the documentation forms used in

preparing the appraisal form. The Rater and Reviewer should
agree on the performance factors and performance rating of the
appraisal.

c. If the Rater and Reviewer do not agree, the Reviewer may

document the reasons for disagreement but cannot change the

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rater’s scores. The Reviewer’s documentation shall be attached to

the Employee Performance Appraisal form.

d. The Reviewer shall sign the Employee Performance Appraisal

form and return it to the rater for forwarding to the data entry
location.

2. Acknowledgment

a. The Employee Performance Appraisal form shall be presented to

the employee for review and signature. If the employee refuses to
sign the appraisal form, the Rater shall make the notation Refused
to Sign in the Employee’s Signature block. The employee shall
mark the appropriate block to indicate whether the employee
agrees or disagrees with the appraisal.

b. If an employee does not agree, the employee may attach a rebuttal

to the Department copy of the Employee Performance Appraisal
form that is sent to Human Resources for filing.

c. The designated employee for each functional area shall complete

data entry of the Employee Performance Appraisal forms.

d. Upon receipt of the computer-generated Performance Report, the

designated employee shall attach one copy to the Employee
Performance Appraisal form and forward them to Human
Resources.

e. The agency head shall establish procedures for the review of

disputed ratings.

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III. Rating Periods

A. Each rating period generally covers a 12-month period for permanent employees.

B. The rating period for probationary employees covers the first six months and then
the remainder of the initial 12-month period.

C. If an employee transfers from one location to another, is reclassified, or changes

Raters during a rating period, it is mandatory that the current Rater complete the
appraisal process at the time of transfer or reclassification. A copy of the
Performance Report shall be forwarded to the new Rater, when applicable.

D. If the employee is absent from work for more than 30 consecutive working days
but less than the entire rating period, the supervisor shall annotate the absence on
the documentation form, complete a Not Observed Employee Performance
Appraisal form for that period and complete an Employee Performance Appraisal
form for each portion of the Rating Period the employee was observed.

E. If the employee is absent from work for the entire Rating Period, the supervisor
shall complete the top portion of the Employee Performance Appraisal form,
check the Not Observed box and obtain the required signatures and no
performance report will be generated.

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IV. Appeals/Grievances
A. When a Rater finalizes an appraisal which indicates a below standard or
unacceptable rating for the period, and punitive action is taken against the
employee, the employee may appeal the punitive action to the Council.

B. If the employee wishes to grieve an appraisal as listed in Paragraph A above, the

grievance shall be filed as defined in the Grievance Procedure Manual. (DPS 932-
00255)

C. If an employee who has received a performance report rating of below standard or

unacceptable and files a grievance with the Department and it is denied or the
rating remains unchanged following the grievance process, a request for a
grievance review hearing before the Council must be filed with the Business
Manager in order to be heard. The Business Manager shall schedule the hearing
before the Council.

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V. Probation and Interim Rating

A. Performance Reports and Removal from Probation

1. Probationary employees shall have an appraisal form submitted on the
six-month anniversary date from the date of classification and on their
12-month anniversary date. The anniversary date appraisal may replace
the next regular appraisal if it falls within 60 days of the regular appraisal
date (October 31).

2. Probationers with a performance report rating of 7.00 or above based on

the performance reports on file will automatically be taken off probation
on their 12-month anniversary date unless the probationary period is
extended in accordance with LEMSC Rules R13-5-316E. No letter of
removal is needed.

3. Once an employee has been removed from probation, the regular appraisal
dates shall apply.

4. Raters must ensure that the dates recorded in the rating period section on
the appraisal form are accurate.

B. Extending Probation
1. A probationary period can be extended beyond 12 months if an employee
has been absent from work or received a below standard appraisal. To
extend an employee’s probationary period beyond 12 months, the Rater
shall take the following steps before the probationary period expires:

a. Comply with the requirements of LEMSC Rule R13-5-316E.

b. Record weights and numerical scores on the Employee

Performance Appraisal form.

c. Mark the box labeled Extend Probation.

d. Submit the Employee Performance Appraisal form to the Reviewer

for approval and signature.

e. Submit the Employee Performance Appraisal form to the

employee for signature.

f. Send the Employee Performance Appraisal form with a copy of the

extension letter attached to the data entry location for processing.

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2. Appraisals will be conducted every 30 days and the employee will remain
on extended probation until a standard rating in each Performance Factor
has been received, probation is rejected, or an additional extension is
completed. When all performance factors are standard, the Rater will
check the Remove from Probation box on the Employee Performance
Appraisal form.

C. Interval Ratings
Interval ratings are additional ratings that are completed anytime within the
normal annual rating period. They consist of:

1. Interim Ratings

a. An employee receiving a performance report rating of below

standard performance shall be placed on Interim Rating status.
The Interim Rating period can be any dates within the normal
rating period. The Interim Rating may serve as a final rating and
may result in punitive action based on LEMSC rules. The Rater
will serve this notice by marking the box labeled Interval Rating
on the Employee Performance Appraisal form and have the
employee sign the form.

b. When an employee is placed on Interim Rating status, the

performance report rating for that period may be considered for
disciplinary action. Interim Ratings may replace the next regular
appraisal if the effective date of the Interim Rating is within 45
days of the next regularly required performance report.

c. When a Rater finalizes an appraisal which indicates a below

standard rating for the period, the supervisor shall follow the
procedures established by the Department.

d. If an Interim Rating report is initiated, a supervisor shall do

another evaluation every 30 days until the employee receives a
standard evaluation.

2. Period Rating

An employee may receive an additional rating within the normal rating

period; for example, for a transfer, special assignment, temporary duty
assignment, or limited or light duty rating.

Review and acknowledgement procedures are to be followed as in Section

II.G. for completion of Interval Ratings.

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VI. Resignation and Terminal Appraisals

A. When an employee resigns or employment is terminated, the Rater shall prepare a
final Employee Performance Appraisal form on the effective date of the
resignation or termination.

B. If the employee’s effective resignation or termination date is less than 60 days

from a regular rating period, the Rater may submit a memorandum stating that the
latest performance report on file shall serve as the final appraisal. The
memorandum shall also include a recommendation for rehire or do not rehire.

C. If the employee’s effective resignation or termination date is more than 60 days

from the rating period, the Rater shall conduct an appraisal on the employee.

D. If a new appraisal form is prepared, the Rater shall:

1. Enter the effective date of the resignation or termination in the To date

section of the Employee Performance Appraisal form.

2. Sign the Employee Performance Appraisal form.

3. Write a memorandum to the Reviewer explaining the resignation or

termination and recommendation for rehire or write a recommendation on
the employee’s resignation letter.

4. Submit the memorandum or letter and Employee Performance Appraisal

form to the Reviewer for approval and signature.

5. Submit the Employee Performance Appraisal form to the data entry

location no later than 15 days after the effective date of resignation or
termination.

6. Send the memorandum or letter, Employee Performance Appraisal form,

and documentation forms to Human Resources to arrive no later than 30
days after the effective date of resignation or termination.

E. Copies of the Employee Performance Appraisal form and performance report

shall be sent to the former employee via certified mail by the personnel function
of the agency upon final processing. This includes all letters and other
performance-related documents placed in the file after the departure of the
employee from the agency.

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F. Within 10 days of receipt, the former employee may respond in writing to any
portion of the appraisal with which the former employee disagrees. This response
shall be placed in the former employee’s personnel file with the termination
performance report.

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Appendixes
 Appendix A
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Appendix A

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Appendix B

Suggested performance factors for classification groups:

ALL EMPLOYEES – (Mandatory)

Work Habits
Relationships with People
Policy and Procedures

LAW ENFORCEMENT EMPLOYEES

Law and Legal

Records and Reports
Police Procedures
Court Preparation and Procedure
Police Situational Control
Police Proficiency
Police Analytical Ability
Physical Factors

ADMINISTRATIVE AND MANAGEMENT EMPLOYEES

Fiscal and Budget

Administrative Analytical Ability
Administrative Communication Skills
Administrative Ability
Ability as a Supervisor
Organizational Knowledge

PROFESSIONAL AND TECHNICAL EMPLOYEES

Professional-Technical Job Knowledge

Professional-Technical Problem Solving
Professional-Technical Administrative Ability
Professional-Technical Equipment Use
Professional-Technical Communication Skills

CLERICAL EMPLOYEES

Clerical Office Practices and Procedures

Clerical Rules and Regulations
Clerical Language Skills
Clerical Communication Skills

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Clerical Records Keeping

Clerical Correspondence Skills
Clerical Equipment Operation

LABOR AND TRADES EMPLOYEES

Labor-Trades Equipment Use

Labor-Trades Instruction Comprehension/Adherence
Labor-Trades Written Material Interpretation
Labor-Trades Problem Solving
Labor-Trades Assignment Flexibility
Labor-Trades Record Keeping
Labor-Trades Material/Resource Use
Labor-Trades Job Knowledge

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Appendix C
Performance Factors and Definitions
1. Work Habits

Refers to self-discipline, understanding of and adapting to priorities, and using a work

plan to complete assignments. Includes punctuality, reliability, quality and quantity of
work, and exercising care in the use of supplies and equipment.

2. Relationships with People

Refers to the development of working relationships with other employees, other agency
personnel, and the public. Includes consideration, courtesy, and respect for others, as
well as the employee’s general attitude and willingness to cooperate.

3. Policy and Procedures

Refers to the most current knowledge and application of policies and procedures which
relate to the work assignment and a basic understanding of the interrelationship between
the work assignment and organizational structure and mission of the Department.

4. Law and Legal

Pertains to the understanding and application of laws and the legal process dealing with
the work assignment. Includes knowledge of statutes, rules and court decisions involving
procedures, evidence, search and seizure, arrest, and state criminal and traffic laws.

5. Records and Reports

Pertains to the preparation and maintenance of activity, financial and/or investigative

records. Includes accuracy, thoroughness and organization. Also includes the ability to
understand reports written by others.

6. Police Procedures

Pertains to the knowledge, interpretation and application of policies and procedures

dealing with the police function. Includes matters such as arrest and prisoner control,
communications, response to calls, etc.

7. Court Preparation and Procedure

Pertains to preparing for and giving testimony. Includes thoroughness and accuracy of
testimony, knowledge of courtroom procedures and punctuality.

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8. Police Situational Control

Refers to the recognition of crime scenes and the provision of security at the scenes.
Includes the ability to recognize and respond to unusual problems in securing evidence
and assuring the safety of others. Also deals with controlling unusual situations and the
ability to cope with stressful situations.

9. Police Proficiency

Pertains to skill in operating vehicles, police equipment and weapons in normal and
emergency situations.

10. Police Analytical Ability

Pertains to problem recognition, decision-making and implementation of solutions based

on information, crime/accident scene evidence, etc.

11. Physical Factors

Pertain to appearance and the image presented to the public. Includes compliance and
weight and grooming standards.

12. Fiscal and Budget

Pertains to knowledge of fiscal and budget matters. Includes ability to prepare, develop,
and maintain agency budget.

13. Administrative Analytical Ability

Pertains to decision-making based on statistical or other written and verbal information.

Includes taking action on decisions, as well as the ability to conduct additional research
for validation.

14. Administrative Communication Skills

Pertains to writing correspondence and management and technical reports as well as to

presenting material orally. Includes the ability to effectively develop the material. Also
includes the ability to understand correspondence, reports, and presentations made by
others.

15. Administrative Ability

Pertains to planning, organizing, coordinating and controlling management and

administrative functions. Includes record keeping and the ability to understand the
interrelationships between assignments.

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16. Ability as a Supervisor

Pertains to motivation, leadership, ability to train, provide direction and promote

teamwork.

17. Organizational Knowledge

Pertains to the knowledge and understanding of the Agency’s organizational structure

and work functions. Includes the ability to apply this information to assignments.

18. Professional–Technical Job Knowledge

Pertains to maintaining and updating entry knowledge and skills. May include utilizing
resources such as seminars and literature which provide new and updated information.
Also refers to the application of current information.

19. Professional–Technical Problem Solving

Pertains to the identification, interpretation and analyzation of problems; reaching

conclusions; decision making; and implementation of solutions. Includes the ability to
recognize the need for additional research and the ability to conduct that research.

20. Professional–Technical Administrative Ability

Pertains to planning, organizing, and coordinating functions dealing with the specific
professional/technical assignment.

21. Professional–Technical Equipment Use

Pertains to proficiency and application of prescribed methodology in use of equipment.

22. Professional–Technical Communication Skill

Pertains to communicating and understanding information such as opinions, conclusions,

and directions in a variety of ways; for example, verbally, graphically, and in writing.
Includes clarity, accuracy, and organization.

23. Clerical Office Practices and Procedures

Pertains to understanding and utilization of filing systems, knowledge of telephone

procedures, forms and format comprehension, as well as other facets of the clerical
assignment. Includes following directions.

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24. Clerical Rules and Regulations

Pertains to the researching, understanding and application of regulations, policies and

procedures.

25. Clerical Language Skills

Pertains to the working knowledge of business English, spelling, grammar, and

punctuation. Includes basic knowledge of commercial arithmetic.

26. Clerical Communication Skills

Pertains to understanding, interpreting and following written and oral instructions.

Includes ability to instruct others verbally or in writing.

27. Clerical Record Keeping

Pertains to the establishment and maintenance of records. Includes the comprehension of

existing record-keeping systems.

28. Clerical Correspondence Skills

Pertains to the preparation, composition, and distribution of correspondence and reports.

Includes thoroughness and timeliness.

29. Clerical Equipment Operation

Pertains to the knowledge and ability to operate equipment and machinery. Includes
effectiveness and efficiency in using resources, as well as care and maintenance of
equipment.

30. Labor–Trades Equipment Use

Pertains to the ability to use hand and power equipment. Includes safety, productivity,
effectiveness and efficiency, maintenance and care of equipment.

31. Labor–Trades Instruction Comprehension/Adherence

Pertains to the ability to understand and follow oral and written instructions.

32. Labor–Trades Written Material Interpretation

Pertains to the ability to read and interpret a wide variety of graphs, schematics, drawing
and technical specifications. Includes the ability to apply this information.

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33. Labor–Trades Problem Solving

Pertains to the knowledge of basic mathematical skills. Includes the ability to apply this
information to solving problems dealing with the assignment.

34. Labor–Trades Assignment Flexibility

Pertains to the ability to adapt to changing assignments and priorities. Includes stress
management.

35. Labor–Trades Record Keeping

Pertains to the establishment or maintenance of records dealing with the specific

assignment.

36. Labor–Trades Material/Resource Use

Pertains to the efficient and economical use of material and resources.

37. Labor–Trades Job Knowledge

Pertains to knowing and applying up-to-date information and staying current on

technological changes.

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Appendix D

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Appendix E

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Appendix F

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 Glossary
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June 16, 2011

Glossary
Appraisal Process of evaluating an employee’s performance which results in
the completion of a Performance Appraisal Report.

Appraisal Form Employee Performance Appraisal Form – the form raters use to
record factor weights and the employee’s performance ratings for
all selected performance factors.

Appraisal Year Period during which an employee is evaluated, usually spanning

November 1 through October 31

Data Entry Location Location of the person responsible for entering data from the
Appraisal Form.

Documentation Form The worksheet on which Raters record rating guidelines, factor
weights, and written comments documenting work performance.
Other forms of documentation may also be utilized and shall be
attached to the documentation form.

Employee Performance Form used in documenting performance if space on

Report Documentation Documentation Form is inadequate. The supplement shall be
Supplement attached to the documentation form.

Factor Weights A numerical weight assigned to each performance factor that

describes its relative importance to the work being done.

Final Rating An appraisal completed at the end of a normal rating period.

Interim Rating A rating used to indicate a performance report rating of below

standard for an employee’s performance or to indicate improved
performance immediately following a below standard performance
report rating. This rating enables a supervisor to rate an
employee’s job performance in shorter increments of time between
a normal rating periods to encourage an employee to improve job
performance to a standard rating. Interim ratings may or may not
coincide with a normal rating period.

Interval Rating An additional rating that is completed anytime within the normal
annual rating period. It can be an interim rating or a periodic
rating.

Not Observed A period of absence of more than 30 consecutive working days in

which an employee receives no performance evaluation.

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Numerical Rating Value Rater’s appraisal of the employee’s performance in each

performance factor. Numerical rating values are “1” for
unacceptable, “5” for below standard, “8” for standard, and “11”
for exceeds standard.

Performance Supervisor’s notes and other records documenting employee work

Documentation performance.

Performance Factors Qualities such as job knowledge, people skills, and analytical
abilities, which are used to measure employee job performance.
This appraisal plan provides 37 standardized factors and permits
adoption of other unique factors.

Performance Report Computed report produced at the end of each rating period based
(Report of Employee on the employee’s performance reported on the appraisal forms.
Performance)

Performance Report Computed numerical average score for each rating period based on
Rating performance factors, rating guidelines and factor weights.

Period Rating Any rating between routine rating periods, such as a transfer
appraisal, but not an interim rating.

Rater Person (usually supervisor) responsible for evaluating the

employee’s performance during a rating period.

Rating Guidelines Indicators of performance against which the employee’s

performance will be measured. Once guidelines are selected, they
become standards.

Rating Period A time period during which progress of an employee’s

performance will be reported. An appraisal year will consist of
one rating period from November 1 through October 31.
Probationary, interim, periodic, or not observed reports may be
completed for shorter periods if necessary.

Report of Employee See Performance Report.

Performance

Relative Worth The value of the importance of performance factors in comparison

to each other.

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Reviewer Person next in the rater’s chain of command who will review the
rater’s recommended determinations at the beginning of the rating
period and the recommended appraisal at the end of the rating
period of an employee.

Supplement Form See Employee Performance Report Documentation Supplement.

Task Analysis Systematic listing of tasks to be performed by the employee during

the rating period.

Weight Value The numerical value of factor weights describing the relative
worth of the performance factor. The weight values are 1, 2, and
4.

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