Performance Management and Employee Recognition Training For Supervisors Revised August 2008
What Is Performance Management? • It is the systematic process by which an agency involves its employees, as individuals and members of a group, in improving organizational effectiveness in the accomplishment of an agency’s mission and goals.
Where Can I Find Performance Guidance? • Agency Policy and Procedure (P&P) found:www.afm.ars.usda.gov/hrd/performance/pp-list.htm • Improved HRD website: www.afm.ars.usda.gov/hrd/performance/index.htm • OPM Performance Management Address: www.opm.gov/perform/index.htm
What Is A Performance Appraisal? • A supervisory review and evaluation of an employee against an established set of performance standards
Why Appraise Employees? • It’s the law! • Basis for HR actions (WGIs, awards, QSIs, probationary determinations, training, reassignment, promotion, removal, RIF placement) • To provide feedback • To modify or change behavior • To judge future job assignments and potential • To improve organizational effectiveness
Which Employees Receive Performance Appraisals? • Refer to the “Coverage” statement in the agency’s Policy and Procedure
How Often Is Performance Appraised? • Progress review is done mid-year • Rating of record is done at the end of the performance cycle • Informal feedback is provided continuously during the performance cycle
What Are The REE Performance Cycles? • October 1 through September 30
What Is The Minimum Appraisal Period? • Plans should be in place for at least 90 days to receive an annual rating of record • Plans should be extended to meet the minimum appraisal period
What Is A Performance Plan? • Describes the specific tasks an employee is expected to perform and how well the tasks must be accomplished to meet a desired level of performance
When Are Performance Plans Established? • Within 30 days of hire or position change • At the beginning of a rating cycle • When modification or change is needed
Is There A Performance Plan Form? • AD-435A/B • Available in e-forms
How Are Performance Plans Developed? • Using: • Agency strategic plan or performance plan • National Program goals • work unit goals and objectives • major duties in the position description (PD) • established Agency policy
How Are Performance Plans Developed? (Step 1) • Review agency goals and objectives, and/or performance measures
How Are Performance Plans Developed? (Step 2) • Cascade the agency’s goals to the work unit level, i.e. determine the work unit’s accomplishments that directly affect the agency’ goals • These goals should appear in the “alignment statement”
How Are Performance Plans Developed?(Step 3) • Cascade the work unit’s goals to the individual employee level, i.e. determine individual accomplishments that support work unit goals • Individual accomplishments should be similar if not mimic the major duties in the PD
How Are Performance Plans Developed?(Step 4) • Convert individual accomplishments to performance elements • Decide whether elements are critical or non-critical
What Is A Critical Element? • An assignment or responsibility so important that unacceptable performance in that element would result in a determination that the employee’s overall performance is unacceptable • Not used to measure group performance, only work w/in the employee’s control
What Is A Non-Critical Element? • An aspect of individual, team, or organizational performance exclusive of a critical element, that is used in assigning a summary level
How Do I Determine Whether An Element Should Be Critical? • Consider: • Major component of the work? • Address individual performance only? • Require a significant amount of time? • Consequences of performing unacceptably? • Statutory/Regulatory requirements?
Are There Required Elements? • Plans must include at least 3 but no more than 7 performance elements • At least one element must be non-critical • At least one critical element must focus on results • Supervisors must have a critical supervisory element • “Official” supervisors must have a separate critical EEO/CR element • “Official” supervisors must have measures or indicators of employee and/or customer/stakeholder feedback • At least one element must align with Agency and/or Mission Area goals and objectives. The performance plan must include at least one performance element linked to the strategic goals and objectives of the organization
Are There Required Elements?(Continued) • Non-Supervisors must have EEO/CR objectives incorporated in to a new or existing critical element • Agency-wide Peer Review (OSQR) objectives must be incorporated in ARS Cat 1 and Cat 4 scientist plans • Health and safety elements should be used where job related
How Are Performance Plans Developed?(Step 5) • For each element, think about which general measures are important, i.e. quality, quantity, timeliness, cost-effectiveness, or manner of performance • Determine how measures will be measured!! (i.e. numbers, observation, etc.) • Determine who will appraise the work and what factors they will look for
How Are Performance Plans Developed?(Step 6) • Thinking of measures, develop the standard(s) for each element • Standards are described at the “Fully Successful” level • They focus on results, outcomes, impact • Think about what performance would look like above and below “Fully Successful”
How Are Performance Plans Developed?(Step 7) • Determine what data to collect and the source of data for each performance element • Determine when to collect data • Consider data for mid-year reviews and for continuous feedback during cycle
How Are Performance Plans Developed?(Step 8) • Add specific goals • Used to add clarity and specificity to performance standards, especially generic • Tie back to org goals • Add to technical or mission critical elements • May or may not be synonymous with the “Fully Successful” standard – make employee aware • Need to be reasonable and attainable • Need to monitor during cycle
How Are Performance Plans Developed?(Checklist) • Are elements truly critical? • Are expectations clear, understandable, quantifiable, observable and/or verifiable? • Are standards reasonable and attainable? • Are standards challenging? Require effort? • Do the standards allow for some margin of error? • Are the standards fair? Comparable to others in like positions?
How Are Performance Plans Developed?(Checklist – Cont’d) • Are standards applicable? Can they really be used to appraise performance? • Is data available to measure each standard and is it easily managed? • Are standards set too high? Can an employee exceed them?
May Employees Develop Their Own Plan? • Employee/Supervisor develop plan together • Employee draft plan and/or specific goals • Employee provide feedback on plan and/or specific goals • Group of employees develop plan • But, final authority rests with the rating and reviewing official
Generic Performance Plans • Some agencies have developed generic performance plans • In most cases, plans cannot be modified • Specific goals may be added
What If Employees Disagree With Their Performance Plan? • Consider the employee’s issue • Employee must perform under plan • Content and substance of performance plan is not grievable • Signing the AD-435A does not mean an employee agrees with plan
How Is A Mid-Year Review Done? • Feedback should be specific - suggest element-by-element discussion • Verify accuracy of plan • Discuss progress with goals/IDP and adjust/update if necessary • Identify performance requiring corrective action • Initial AD-435A
How Is A Rating of Record Done? • Use form AD-435P and NASS-435P available on e-forms • Specific element-by-element discussion • Discuss accomplishment of goals/IDP • Get appropriate organization concurrences • Consult your ER Specialist for cases involving poor performance
How Is A Rating of Record Done? (Continued) • Complete within agency, area and union timeframes • Praise and reward employee for good performance and accomplishments • Establish performance plan for next performance cycle
Should I Monitor Performance Any Other Time? • Monitor and provide feedback often during the performance cycle • Performance should never be a surprise • Discuss performance if and when it falls below current rating
What Is Considered In A Rating Of Record? • Supervisor’s own observations of performance • Feedback from customers, partners, co-workers, subordinates, etc. • Employee written accomplishments (Supervisors should request)
Why Prepare Accomplishment Reports? • Serves as a reminder to both the employee and supervisor of individual accomplishments during a performance cycle • Used to develop and support appraisals • Leads to a more objective, effective appraisal of performance
How Are Accomplishment Reports Written? • Limit to 2 pages, if possible • Arrange by performance element • Describe the accomplishment • Describe the impact, result or outcome of the accomplishment • Did it enhance a work process? • Did it have an impact on a customer? • Did it help the org achieve it’s goals?
How Are Accomplishment Reports Written? (Continued) • Use your performance plan as a guide • Use “I” statements • Use action verbs • Refer to activity/status reports, calendars, previous accomplishment reports, etc. • Avoid laundry lists • Follow your organization’s policy (some require a description of how standard is exceeded) • Proof report
What Is “Fully Successful” Performance? • It is good performance! • The expected level of performance; work performed at this level is of good quality, the expected quantity, and is accomplished within established deadlines or time frames • Supervisors should communicate this definition
What Is “Exceeds Fully Successful” Performance? • Performance which consistently exceeds the performance standard established for the “Fully Successful” level
What Is The Role Of The Reviewing Official? • Reviews performance expectations • Fair, equitable, reasonable, achievable, objective, consistent within the org? • Reviews performance ratings • Fair, objective, consistent within org? • Reviews the distribution of awards • Fair, objective, based on true accomplishments, value, consistent within org?
When Can I Discuss A Rating With An Employee? • After Reviewing Official approval and signature has been received
What If Performance Is Marginal? • Identify deficiencies • Notify your ER Specialist • Inform employee • Consider closer supervision,on-the-job training, formal training, mentoring, the Employee Assistance Program
What If Performance Is Unacceptable? • Identify deficiencies • Notify your ER Specialist • Inform the employee • Offer assistance • Performance Improvement Plan (PIP) • Failure to improve may result in further action
Is A Rating Of Record Grievable? • Bargaining unit employees follow procedures in the Labor Management agreement • Non-bargaining unit employees and those bargaining unit employees not covered under a Labor Management agreement, follow the grievance procedures in P&P 463.2, Administrative Grievance System • Contact your ER Specialist
What Responsibilities Do Supervisors Have? • Develop performance plans/specific goals with employee involvement • Communicate performance expectations • Monitor and provide feedback during the year • Conduct mid-year reviews and annual ratings of record
What Responsibilities Do Supervisors Have? (Continued) • Deal with poor performance when noticed and before the end of a probationary period • Consult/Notify ER Specialist of poor performance • Praise and reward performance