NIH Performance Plan/Contract Guidance For Employees
FY/CY 05 Plan/Contract Close Out
FY/CY 06 Plan/Contract Establishment
January 2006
Background
This guidance pertains to NIH employees in the Title 42, General Schedule, and Wage Grade categories, and conveys requirements for closing out performance contracts and plans for fiscal and calendar years 05, and for establishing new contracts/plans for the current fiscal and calendar year 05 rating cycle. It does not cover the IC Directors and members of the SES, who have received separate guidance on this subject.
05 Rating Cycle Close-out
At this time, if they have not already done so, managers and supervisors should close out performance plans and contracts for all assigned employees. They should assess individual performance against stated outcomes, outputs, and/or critical elements; assign final (summary) ratings on the cover sheets of the plans and contracts; and conduct face-to-face discussions with employees concerning the work accomplishments and the basis for assigned ratings. After plans/contracts have been discussed and signed, employees will receive the originals, and copies will be retained within the ICs. The Workforce Relations Division, Office of Human Resources, should be contacted immediately if performance problems are observed and/or employees are not expected to receive acceptable-level ratings. Additionally:
For General Schedule and Wage Grade Employees:
Supervisors may provide written feedback substantiating ratings assigned to employees. Supervisors may request written accomplishments from staff before hand to facilitate the process.
For Title 42 Employees:
A narrative justification will be required to support the rating for all scientists appointed under Title 42 (f), and may be required for scientists appointed under Title 42 (g) at IC discretion. The narrative should include a written summary explaining how the employee’s final rating was determined, after comparing actual performance to each of the stated outputs/outcomes and/or critical elements in employee contracts and plans, and should address the breadth, scope, and/or impact of the employee’s achievements. In cases where employees have not achieved outputs/outcomes/critical elements, the Office of Human Resources Workforce Relations Division should be contacted immediately.
As required by HHS Personnel Instruction 42-1, “Appointment of USC 209(f) Scientists,” all pay increases for Title 42 (f) scientists must be performance based, must be consistent with the scientist’s annual performance appraisal, and must be fully documented and justified. The rating narrative will serve as part of the pay increase documentation required by HHS, and will replace the self-assessment that was required for Title 42 (f) scientists as part of the 2005 “spring increase” process.
Guidance on the preparation and submission of Title 42 (f) and (g) spring increases will be provided separately. Please contact the Title 42 Team, Special Program Branch, Office of Human Resources, on (301) 496-0377, for questions concerning spring increases.
Anticipated Changes
The HHS is launching a phased implementation of a new performance program, which is scheduled for roll-out at NIH by June 30th. The NIH will be shifting from the current pass/fail performance program to a four-level performance program that is calendar-year based. The NIH will provide comprehensive training and guidance on the new performance program in the next few months to all managers and employees. It is imperative that all employees understand their performance expectations at all times; using performance plans (or contracts, if appropriate) during this interim phase will help facilitate ongoing communication between supervisors and employees, and pave the way for a smooth transition.
Interim Activity – 06 Performance Plan/Contract Development
In order to simplify performance plan development for managers and employees during this interim period, managers may attach a new cover sheet to the existing contract or plan that indicates the beginning of the new rating cycle (Oct. 1, if serving on a fiscal year rating cycle; Jan. 1, if serving on a calendar year cycle); and provide the normal organizational and other “cover sheet” information including signatures. Managers may review the current plans of: the Director, NIH; the Deputy Director for Management; NIH (both distributed earlier to Executive Officers); the IC Director; and others in the chain of command within organizations, if desired. It is likely that most plans will require few, or minor changes, if any. These changes to existing plans or contracts may be pen-and-inked or typed directly on the 05-performance plan or contract.
When it is time to transition to the new system, OHR will provide explicit guidance to ensure that employee accomplishments achieved under both the existing and new systems may be credited.
Performance Management Team, Workforce Relations Division
Office of Human Resources, NIH
