The employee performance communication system (EPCS) is a performance management system that provides a systematic process for planning, monitoring, developing, assessing, and rewarding employee performance. All authorities, guidance, policies, etc., concerning performance management are derived from GSFC’s employee performance communication system, NPR 3430 1C.  In GSFC’s sustained efforts and initiatives to cultivate a performance culture, here is a compilation of the most commonly asked questions along with corresponding answers.

• Q1: Where may I find more information about the NASA Employee Performance Communication System (EPCS)?




EPCS Coverage

 

• Q2: Who is covered by the EPCS policy and procedures?

Performance Planning




• Q3: Are we required to include certain elements in the performance plan?



• Q4: What happened to the Health & Safety element?



• Q5: How do I determine if an element is critical or non-critical?



• Q6: Will elements need performance indicators developed at each of the five rating levels?



• Q7: When is the performance plan effective? How do you ensure the minimum appraisal period has been met?



• Q8: What should a supervisor do to prepare for the performance management process when a new employee enters on duty?




Performance Monitoring

 

• Q9: Is it possible to change the performance plan after it has been established?



• Q10: What is a progress review and when should it occur?



• Q11: When must supervisors gain input from detail and matrix managers? In what format should input be provided?



• Q12: How can a supervisor go about getting customer and employee feedback for the performance appraisal?




Developing Employees

 

• Q13: Who is responsible for developing the individual development plan (IDP) and what are the benefits?



• Q14: What should a supervisor do if the employee indicates on the performance plan that she/he wants an IDP but then does not follow through with developing it?




Rating Performance

 

• Q15: How many rating levels are there?



• Q16: Are all performance elements required to be rated “Significantly Exceeds” to receive an overall summary rating of “Distinguished”?



• Q17: What is the impact of receiving a Needs Improvement rating on one element?



• Q18: What is the difference between Needs Improvement and Unacceptable performance?



• Q19: If you are a matrix/detail supervisor, are you responsible for providing written feedback to the supervisor of record for all employees matrixed or detailed to you?



• Q20: If an employee is matrixed/detailed for the entire performance period, is the supervisor of record still required to give the performance rating?



• Q21: Are supervisors required to draft supporting narratives for employees who receive Distinguished, Accomplished, Fully Successful, Needs Improvement, or Unacceptable performance ratings? If so, what should be included in the narrative?




Rewarding Performance

 

• Q22: At what summary rating levels are employees eligible to receive performance awards?



• Q23: Is an employee guaranteed to receive a performance award if they receive a rating of Fully Successful, Accomplished, or Distinguished?



• Q24: How will awards for maintaining high performance levels be determined?



• Q25: Will the percentage of salary basis for distributing awards replace what awards an employee is eligible for?



• Q26: How will monetary performance awards and Time-Off awards (TOA) be calculated?



• Q27: What are the eligibility requirements for a Quality Step Increase (QSI)?



• Q28: Are other forms of awards and recognition available?



• Q29: Is there a deadline for effecting awards based upon the performance appraisal rating?



• Q30: What type of justification must be provided to grant an award based upon the performance appraisal rating?




Impact on Pay

 

• Q31: Is there a pay-for-performance policy?



• Q32: What impact does the performance appraisal rating have on promotions?



• Q33: Having heard that employees at the Department of Defense no longer automatically receive cost of living increases; will Goddard employees still receive cost of living pay increases?




Records Management

 

• Q34: How long are performance appraisals to be retained?




EPCS Training Offerings

 

• Q35: What training is available on EPCS processes (i.e. planning, monitoring, developing, assessing, and rewarding employee performance)?
  

A1: Where may I find more information about the NASA Employee Performance Communication System (EPCS)?

There are several ways to find out more information. You can:

a. Download the NASA Procedural Requirements (NPR) 3430.1C on the NASA EPCS at: http://nasapeople.nasa.gov/perform/GoverningPolicyDocuments.html. The NPR provides the Agency’s policy that describes responsibilities and procedures for carrying out the process for planning, monitoring, developing, assessing, and rewarding employee performance

b. For Supervisors, visit the Office of Human Capital Management’s (OHCM) Supervisory Toolbox at: http://ohcm.gsfc.nasa.gov/sup_info/toolbox/home.htm

c. Access the Performance Management section of the OHCM webpage at: http://ohcm.gsfc.nasa.gov/performance/home.htm) includes information, job aids, guidance documents, etc., pertaining to the EPCS;

d. Access the NASA EPCS SATERN Tutorial at: ( https://satern.nasa.gov/elms/learner/login.jsp) for a dedicated self-paced training session on the stages of the performance management process and the requirements of the program; and/or

e. Contact the OHCM’s Office of Performance & Work-life Dynamics Office, Code 115 at (301) 286-4998 or 5087.

A2: Who is covered by the EPCS policy and procedures?

The EPCS covers all NASA General Schedule (GS) employees serving under Permanent, Temporary, Term, Student Educational Employment Program, and NASA Excepted (NEX) appointments. Employees in Senior Executive Service (SES), Senior Scientific and Technical (ST) and Senior Level (SL) positions are not covered.

A3: Are we required to include certain elements in the performance plan?

Yes, the required elements that make up the supervisory and employee performance plans are as follows:

Please note that the Rating Official also has the discretion to incorporate Added Elements to address an employee’s other major/primary work assignment(s).

 A4: What happened to the Health & Safety element?

The Health & Safety element was deleted as a required element by the Agency at the onset of the 2006-2007 performance planning/appraisal process. The Agency direction for the potential use of this element remains unchanged: “…Health and Safety shall no longer be a required performance element, except when specifically identified by the rating official.”

A5: How do I determine if an element is critical or non-critical?

An element should be designated critical if it refers to a work assignment or responsibility of such importance that unacceptable performance in that element would result in a determination that an employee's overall performance summary rating is Unacceptable. Such elements will be used to measure performance only at the individual level and not at the team or organizational level.

An element should be designated as non-critical if a dimension or aspect of performance (i.e. individual, team, or organizational) that is not captured under a critical element is to be assessed in order to assign an overall performance summary rating.

A6: Will elements need performance indicators developed at each of the five rating levels?

For the 2007-2008 performance cycle, elements require development of performance indicators at the “Meets Expectations” level only. Beginning with the 2008-2009 performance cycle, the Rating Official will write performance indicators (standards) at the “Needs Improvement” and “Significantly Exceeds” levels in addition to the “Meets Expectations” level. The standards at the “Needs Improvement” and “Significantly Exceeds” levels will clearly indicate that they are examples of performance at those levels and are not all encompassing.

A7: When is the performance plan effective? How do you ensure the minimum appraisal period has been met?

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A8: What should a supervisor do to prepare for the performance management process when a new employee enters on duty?

A supervisor can prepare for a new employee’s introduction to the performance management process by:

• Becoming familiar with where to find available tools and resources on the EPCS;
• Setting up the Employee’s Performance File (EPF);
• Setting up a performance planning discussion within the employee’s first 30 days keeping the following discussion topics in mind:
• performance expectations;
• the approximate date when the official progress review should take place;
• the date when the minimum appraisal period should end; and
• the possible consequences for poor performance, to include consequences during the probationary period.

A9: Is it possible to change the performance plan after it has been established?

Yes, at any time during the appraisal period, when necessary, a performance plan may be modified to reflect a change(s) to the performance requirements of the position, program objectives, or work requirements. Any updates or changes to the performance plan must be initiated by both the Rating Official and employee.

A10: What is a progress review and when should it occur?

A progress review is a supervisor and employee’s review and documented discussion of progress in meeting the performance elements and standards as established in the performance plan. It is also an opportunity to address training and development needs/goals and requirements.  A progress review may be held at anytime during the appraisal cycle, but at least one must be held by the midpoint of the appraisal cycle.

A11: When must supervisors gain input from detail and matrix managers? In what format should input be provided?

When an employee is or has been detailed to another position or to a set of duties outside of the direct supervision and control of the supervisor of record for 90 days or more, the detail/matrix manager must provide written input to the supervisor of record.

A12: How can a supervisor go about getting customer and employee feedback for the performance appraisal?

A few examples of acceptable methods for obtaining feedback include surveys, focus groups, discussions or meetings. GSFC has a formal supervisory feedback tool. In addition, to the tool providing individual supervisory survey data from civil servant employees, the customer service survey feature allows supervisors to receive feedback at both the organizational and employee levels from customers

A13: Who is responsible for developing the individual development plan (IDP) and what are the benefits?

Development of the IDP, which serves as a supplemental tool to address the employee’s training and development needs, is driven by the employee. Supervisors are responsible for offering an employee the opportunity to develop an IDP; however the responsibility to initiate development of the IDP lies with the employee. This does not remove the supervisor’s responsibility for developing the employee. Therefore, the supervisor must necessarily participate in the development of the IDP. Development of an IDP is beneficial to both the employee and the supervisor.

For employees, development of an IDP:

• Creates a logical, clear and orderly sequence for identifying appropriate training and other developmental experiences;
• Documents short-term and long-term goals to keep an employee on track and accountable for their own career development; and
• Helps to ensure that the employee will participate in developmental activities.

For supervisors, an employee IDP:

• Allows for coaching and the assessment of the employee’s skills and expertise in relation to current or future job requirements;
• Provides a valuable tool for refocusing the workforce to meet future organizational requirements;
• Addresses the employee’s accountability for taking responsibility for their career management; and
• Aids supervisors in achieving a “vital and effective workforce” through a strong human resources development approach.

Employees & Supervisors together:

• Have a chance to develop a strategy for achieving both organizational and personal goals;
• Proactively deal with changes in the workplace; and
• Practice healthy interactive communications around strengthening the employee’s development.

A14: What should a supervisor do if the employee indicates on the performance plan that she/he wants an IDP but then does not follow through with developing it?

The supervisor can remind the employee of their interest in the development of the IDP and insure that the employee knows where to find the IDP tool and the available resources to assist in the development of the IDP. As a starting point for the IDP, supervisors can reiterate discussions held during performance planning and progress reviews where training and development needs/goals and requirements were addressed.  For more information, contact OHCM’s Talent Cultivation Office, Code 114, at 4301-286-5166.

A15: How many rating levels are there?

There are five (5) performance element rating levels and five (5) summary rating levels. They are as follows:

Rating Level	Element Rating Levels	Summary Rating Levels
Level 5	Significantly Exceeds Expectations	Distinguished
Level 4	Exceeds Expectations	Accomplished
Level 3	Meets Expectations	Fully Successful
Level 2	Needs Improvement	Needs Improvement
Level 1	Fails to Meet Expectations	Unacceptable

A16: Are all performance elements required to be rated “Significantly Exceeds” to receive an overall summary rating of “Distinguished”?

Yes, all performance element ratings must be rated “Significantly Exceeds”. However, if an element is “Not Rated” because the employee has had insufficient opportunity to demonstrate performance of the element, the element was removed from the performance plan, or for other similar reasons, the employee’s overall rating may still be rated “Distinguished”.

A17: What is the impact of receiving a Needs Improvement rating on one element?

If any one element, critical or non-critical, is rated “Needs Improvement” the overall appraisal summary rating given is “Needs Improvement”. An employee who receives this overall rating is not eligible to receive a within-grade increase, monetary award, or non-monetary recognition until performance returns overall to the Fully Successful level.

A18: What is the difference between Needs Improvement and Unacceptable performance?

There are major differences in the designation of “Needs Improvement” and “Unacceptable” levels of performance. However, it is also significant to note their similarity. Supervisors need to be aware of when their employees are eligible to receive a Within in Grade Increase (WIG) as an employee receiving an overall rating of either “Needs Improvement” or “Unacceptable” is precluded from receiving a WIG until performance returns to the “Fully Successful” level. Supervisors should communicate these ratings in advance to the Employee Relations Specialist within the Performance &Work-Life Dynamics Office, Code 115, in order to insure full notice to employees of their WIG denial.

A summary performance rating of “Needs Improvement” indicates that the employee’s performance does not fully meet the performance standards for an element designated as critical OR non-critical elements.

A summary performance rating of “Unacceptable” indicates that the employee’s performance fails to meet the performance standards for any critical element. In addition to WIG denials, an “Unacceptable” rating shall be the basis for an action to reassign the employee or initiate an adverse action (e.g., reduction in grade or removal) against the employee, but only after the employee has been given a reasonable opportunity to improve their performance.

A19: If you are a matrix/detail supervisor, are you responsible for providing written feedback to the supervisor of record for all employees matrixed or detailed to you?

If the employee has been matrixed/detailed to your organization for 90 days or more (in excess of 60 days if GESTA), you are required to provide written input to the supervisor of record.

A20: If an employee is matrixed/detailed for the entire performance period, is the supervisor of record still required to give the performance rating?

Yes, the supervisor of record is required to conduct the performance appraisal even though the employee has been matrixed/detailed for the entire performance period; however, they should seek feedback from the matrix/detail supervisor as addressed above.

A21: Are supervisors required to draft supporting narratives for employees who receive Distinguished, Accomplished, Fully Successful, Needs Improvement, or Unacceptable performance ratings? If so, what should be included in the narrative?

Yes, supervisors are required to draft narratives for all levels of performance. The narrative should clearly identify and succinctly address an employee’s significant performance achievement(s), or result(s), or observable behavior(s) for each performance element in order to justify the overall summary performance rating.

A22: At what summary rating levels are employees eligible to receive performance awards?

An employee who receives a summary rating of “Distinguished”, “Accomplished”, or “Fully Successful” is eligible to receive a monetary and/or Time Off performance award.

An employee who receives a “Needs Improvement” or “Unacceptable” performance summary rating is only eligible for a Special Act Award, which is not an award given through the performance recognition process.

In addition, an employee who receives a “Distinguished” summary rating is eligible to receive a QSI.

A23: Is an employee guaranteed to receive a performance award if they receive a rating of Fully Successful, Accomplished, or Distinguished?

No, an employee rated “Fully Successful” or above is only eligible to receive an annual monetary and/or Time Off performance award.

A24: How will awards for maintaining high performance levels be determined?

Awards will be based on a percentage of salary, identified annually by the Center Director, with a meaningful distinction between the levels of performance, thereby allowing for greater reward to an employee with a higher rating. As an example, an employee with a summary rating of “Distinguished” will be eligible for a greater monetary performance award, based on a percentage of salary, than an employee with a lower summary rating of “Accomplished”.

A25: Will the percentage of salary basis for distributing awards replace what awards an employee is eligible for?

No, the percentage of salary distribution, which relates only to performance awards (i.e. cash, QSI’s, and time off), will not impact an employee’s eligibility for Directorate solicited awards or the Center awards call(s), which includes awards such as the Robert H. Goddard and NASA Honor Awards.

A26: How will monetary performance awards and Time-Off awards (TOA) be calculated?

When a TOA is granted, the monetary value of a TOA shall be calculated and included in the percentage of salary designated for the respective performance summary rating level. If a combination of a TOA and a monetary award are given, the combined monetary value of the TOA and the monetary award cannot exceed the total percentage designated for the employee’s performance rating.

A27: What are the eligibility requirements for a Quality Step Increase (QSI)?

An employee’s eligibility requirements for a QSI are as follows:

• performance results must have positively impacted the achievement of agency and/or program goals and objectives;
• current rating of record is “Distinguished”;
• has not received a QSI within the prior 52-week period;
• current step is below step 10 of the grade level;
• has not received a promotion or another performance award based upon the same performance period;
• is expected to continue to perform at the same exceptional level over the next year; and
• has not received a notice of disciplinary or adverse action for misconduct during the consideration period.

A28: Are other forms of awards and recognition available?

Yes, there are other forms of awards and recognition, which include, but are not limited to, the Robert H. Goddard Award and NASA Honor Awards. See the Office of Human Capital Management’s Employee Performance and Development/Awards link at: http://ohcm.gsfc.nasa.gov/awards/home.htm for more information.

A29: Is there a deadline for effecting awards based upon the performance appraisal rating?

A Quality Step Increase (QSI), which is granted to an employee whose eligibility for the QSI is based upon their performance rating of Distinguished, must be affected within 120 calendar days of the end of the performance appraisal cycle.

Monetary performance awards must be given before the end of each fiscal year and before funds are rolled up by the Center. Time-Off Awards may be given at any time; however, organizations are strongly encouraged to give timely recognition to display meaningful acknowledgement to the employee for their accomplishments.

A30: What type of justification must be provided to grant an award based upon the performance appraisal rating?

The following is a sufficient performance award justification:

"Received Summary Rating of (insert rating of Fully Successful, Accomplished, or Distinguished) for Performance Year (insert period covered)”

The following is a sufficient Quality Step Increase justification:

For employees rated “Distinguished”, the justification block in NAAS must include concrete examples of individual accomplishments and contributions that are linked to the goals and performance results of the organization.

A31: Is there a pay-for-performance policy?

No, NASA does not have a pay for performance policy for its General Schedule (GS) covered employees; however the performance summary rating does affect pay. Refer to the “Rating Performance” section above about impact to pay as a result of overall performance rated as “Needs Improvement” or “Unacceptable”.

A32: What impact does the performance appraisal rating have on promotions?

Performance appraisal assessments are only one factor used to determine eligibility for promotion. An employee receiving a “Needs Improvement” or “Unacceptable” summary rating is not eligible for promotion in the position.

A33: Having heard that employees at the Department of Defense no longer automatically receive cost of living increases; will Goddard employees still receive cost of living pay increases?

Yes, at this time, employees covered by the NASA Employee Performance Communication System (EPCS) (aka the Agency’s performance management system) will continue to receive annual cost of living pay increases. However, Government-wide, Congress is pushing for more rigorous annual evaluations of employees. On March 29, 2007, a bill was introduced into Congress to prohibit annual pay raises for federal employees with unacceptable job ratings. It should also be noted that for several years now, agencies, including NASA, have been extensively overhauling their performance management systems.

A34: How long are performance appraisals to be retained?

Supervisors must maintain all performance ratings of record that are four years old or less, including the performance plan on which the Rating of Record was based. These documents should be housed in the Employee Performance File (EPF). For more information on EPF maintenance, OHCM’s Performance Work-Life Dynamics Office, Code 115, at 301-286-8052, or go to the performance management portion of the OHCM website at http://ohcm.gsfc.nasa.gov/performance/home.htm and click on the Employee Performance File (EPF) Maintenance and Review Procedures link to acquire helpful documents.

A35: What training is available on EPCS processes (i.e. planning, monitoring, developing, assessing, and rewarding employee performance)?

Available training offerings include:

• NASA EPCS SATERN Tutorial, which covers the stages of the performance management process and the requirements of the program (access it at: https://satern.nasa.gov/elms/learner/login.jsp
• Supervisory Brown-Bag Lunch & Learn Sessions covering specific performance process stages, call (301)286-7283 for more information;
• Supervisory coaching on maximizing performance, call (301)286-3092 for more information;
• Goddard instructor-led performance management training, call (301)286-4998 for more information;
• New supervisors orientation, call (301)286-8319;
• Alternative performance management training sources (e.g. NASA Skillsoft e-learning, GSFC Learning Center DVDs, CD-ROMs, videos, audio and computer-based training, Agency-external training, and books and articles), call (301)286-8052.