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DOL Personnel Regulation (DPR) 430, Subchapter 2 establishes policies and procedures for administering the Department of Labor (DOL) Performance Management System for Senior Executive Service (SES) employees. In administering the SES Performance Management System, this DPR should be applied in conjunction with DPR 534, Subchapter 1, Pay and Performance Awards under the Senior Executive Service and any government-wide and/or yearly Departmental guidance related to SES performance management. In accordance with 5 CFR 430 this regulation describes the policies and procedures that hold senior executives accountable for their individual and organizational performance in order to improve the overall performance of Government by:
- Expecting excellence in senior executive performance;
- Linking performance management with the results-oriented goals of the Government Performance and Results Act of 1993;
- Setting and communicating individual and organizational goals and expectations;
- Systematically appraising senior executive performance using measures that balance organizational results with customer, employee, and other perspectives; and
- Using performance results as a basis for pay, awards, development, retention, removal, and other personnel decisions.
This page contains DOL's policy on actions taken based upon SES Performance Appraisal Decisions (Section 5 of DPR 430, Subchapter 2).
Addressing Poor Performance
- If during the rating period the rating official determines an executive's performance on one or more elements to be Minimally Satisfactory or Unsatisfactory, that determination must be documented following a progress review and written notification of such findings provided to the executive. The documentation must include identification of the element(s) and performance requirement(s) involved and a narrative description of the performance deficiency in comparison to the requirement(s). Supervisors must provide advice and assistance to senior executives on how to improve their performance. Such assistance may include but is not limited to formal training, on-the-job training, counseling, and closer supervision.
- Performance may indicate other personnel actions that may be appropriate including pay reduction, reassignment, development and continual learning.
Cause for Reassignments and Removal from the SES
- If at the end of the end of the rating period, the executive is rated Minimally Satisfactory, that determination must be documented and consideration must be given to a reassignment action.
- If an executive whose performance was found to be Effective or higher during the rating period is rated Minimally Satisfactory on the annual summary rating, the executive must be given assistance in the subsequent appraisal period to raise performance to the Effective level.
- If at the end of the rating period performance on one or more elements is determined to be Unsatisfactory, that determination must be documented in writing and the executive must be reassigned or transferred within the SES or removed from the SES.
- An executive who receives less than an Effective annual summary rating twice in any 3-year period must be removed from the SES.
- An executive who receives an Unsatisfactory annual summary rating must be reassigned or transferred within the SES to another position or removed from the SES. An executive who receives two Unsatisfactory annual summary ratings in any 5-year period must be removed from the SES.
Performance-Based Pay Adjustments and Performance Bonuses
- Pay adjustments and bonus determinations will be made in accordance with DPR 534, Pay and Performance Awards under the Senior Executive Service and annual guidance issued from the Secretary.
- The PRB must take into account the impact of any evidence of misconduct affecting the executive's performance within the parameters of the applicable performance standards prior to making final recommendations to the Secretary regarding SES and SL annual summary ratings, pay adjustment and bonus awards.
Appeals and Complaints
- A senior executive may not appeal an appraisal or annual summary rating under this subchapter. Senior executives may request a higher level review of an initial rating in accordance with Section 4.1 (k) of this subchapter.
- Career SES appointees may file a complaint with the Office of Special Counsel regarding any aspect of the rating process that he/she believes to involve a prohibited personnel practice.
- Any career SES appointee who is removed from the SES as a result of performance ratings may request an informal hearing before the Merit Systems Protection Board on the removal.