FAA Performance Management https://employees.faa/employee_services/pay_perf/perf_management/

1. FAA Performance Management https://employees.faa.gov/employee_services/pay_perf/perf_management/

2. Superior Contribution Increase (SCI) Desk Guide https://employees.faa.gov/employee_services/pay_perf/perf_management/media/DG2004a.doc EXAMPLE OF A 12 MONTH PERFORMANCE CYCLE: https://employees.faa.gov/org/staffoffices/ahr/policy_guidance/hr_policies/hrpm/perform/perform_ref/percycle/ MANAGER INSTRUCTIONAL GUIDE https://employees.faa.gov/employee_services/pay_perf/perf_management/media/Manager%20Desk%20Guide%20-%20Final.doc EMPLOYEE INSTRUCTIONAL GUIDE https://employees.faa.gov/employee_services/pay_perf/perf_management/media/eigflightplan.doc /

3. ATO Reference Guide to Performance Management https://employees.faa.gov/employee_services/pay_perf/perf_management/ato_reference_guide Contribution Assessment Decision Aid (CADA) Human Resources Policy Manual (HRPM) COMP-2.4c: Annual Pay Changes In The Core Compensation Plan Superior Contribution Increase (SCI) for Air Traffic Organization Core Employees POWERPOINT Performance Management System (PMS) PM-9.1 IWR Article 108, Section 9 HROI - Employee Performance File System

4. NATCA NEA GUIDE TO PERFORMANCE MANAGEMENT

5. ATC PERFORMANCE CYCLE OCTOBER 1 – SEPTEMBER 30

6. FIVE ELEMENTS Performance Plan Check In Meeting (Optional) Mid Cycle Meeting Upward Feedback Performance Summary & SCI

7. PERFORMANCE PLAN Employees must receive a documented performance plan NLT than 30 days after start of cycle (NLT 11/1). It must be signed and dated. Manager Instructional Guide p20, ATO Reference Guide to Performance Management; PM 9.1 FLM’s are required to collaborate with employees when developing this plan. Manager Instructional Guide p13, ATO Reference Guide to Performance Management p4, p10. EXAMPLE OF A 12 MONTH PERFORMANCE CYCLE “October”, Questions and Answers on the Performance Management System p3 This “collaborative” meeting should take place in October EXAMPLE OF A 12 MONTH PERFORMANCE CYCLE “October”.

8. Your collaborative performance plan MUST include: • Clearly defined Outcomes and Expectations • Clear linkage to FAA and ATO goals • Position-essential training* ATO Reference Guide to Performance Management p9 *If an employee and his or her supervisor agree that the employee needs no training or developmental activities to meet the outcomes and expectations of his or her performance plan, the acknowledgment form mustbe signed. Guidance for Completing the Performance Management System Performance Documents

9. FLM’s are required to explain to you how your accomplishments will be measured ATO Reference Guide to Performance Management p8 Manager Instructional Guide p20

10. MID CYCLE MEETING A mid cycle meeting must occur WITHIN 30 DAYS of the middle of the cycle. Middle of cycle is April 1. (Must occur between March 1 and May 1) EXAMPLE OF A 12 MONTH PERFORMANCE CYCLE “Questions”

11. Collaboration is one of the PMS objectives. • DO NOT make this a “done deal” and present employee with a final draft • ATO Reference Guide to Performance Management

12. UPWARD FEEDBACK This should be done via an anonymous automated system in 9 months into cycle. “EXAMPLE OF A 12 MONTH PERFORMANCE CYCLE”, Manager Instructional Guide p36, Employee Instructional Guide, p16 ATO Reference Guide to Performance Mgmt p5, p7

13. THE PERFORMANCE SUMMARY/REVIEW A face to face performance review/evaluation meeting must occur within 30 days of end of cycle – NLT Oct 30. • It must be signed and dated. • It must be linked to the OUTCOMES and EXPECTATIONS provided in the original performance plan given at the beginning of the cycle. Note: You should request that your original PERFORMANCE PLAN be available to compare it to.

14. The performance review “Narrative Summary” must include: • An overall summary of an employee’s performance for the whole year • A review of an employee’s accomplishments based on the Outcome and Expectations outlined in the performance plan. (You should have your original performance plan with you). PM 9.1 “Documentation” • An employee should not be surprised by any information discussed during the evaluation meeting. ATO Reference Guide to Performance Management Page 36 • A supervisor should not raise issues WITHOUT DOCUMENTATION. ATO Reference Guide to Performance Management Page 58

15. THE SUPERIOR CONTRIBUTION INCREASE (SCI) The pool composition should be communicated to employees within the first two months of the fiscal year – (NLT Nov 30) SCI Desk Guide p9 *Pools are groupings of employees who perform similar work or who share the same job category. Every FLM is required to complete a CADA for SCI. Completion of this form is mandatory. Superior Contribution Increase (SCI) for Air Traffic Organization Core Employees POWERPOINT p12; SCI Desk Guide p11, p13; CADA Instructions. Employees should ask to see their CADA. They are required to show you this form. SCI Desk Guide p13, HROI - Employee Performance File System and A22S2 allows rep to review EPF.

16. Employees must be evaluated for SCI awards using specific criteria SCI Desk Guide p5, p14, A108S9 Employees must only be considered within their “Sphere of Influence” SCI Desk Guide p7

17. How and when will you be notified of your performance award? • After LOB/SO approval processes are completed, managers notify employees of results. • When SCI recipients are notified of the results of the actual assessment, it is likely that some employees will approach managers to inquire about the decisions. Managers should schedule a brief, private meeting with each eligible employee to discuss the results. • SCI Desk Guide p14

18. Access to Records Section IV, B (page 13) Disclosure and Record Keeping The Contribution Assessment Decision Aid and Employee Contribution Self- Assessment documents must be fully completed and retained in the employee’s performance folder for two years. These documents are discoverable; they are not private notes. They are subject to review by authorized parties to a dispute involving annual increase decisions. If a decision is challenged, the documents must be retained for the life of the challenge. Who are the “authorized parties” and how is a decision “challenged”? Employees have the right to see only their own results, not those of others. Others’ results may not be disclosed to employees. However, authorized third parties may be granted access during formal proceedings. SCI Desk Guide

19. Access to EPF's is limited to only those individuals whose official duties require access to and use of these records such as the supervisor, manager, or administrative person responsible for maintaining the EPF system. Employees and/or their designated representatives may also be provided monitored access. HROI Employee Performance File System

20. IWR A22, Section 3. Upon an employee’s written request, a true and certified copy of his/her OPF, EPF, Medical, Security, Training folder, or other DOT/FAA file and its contents, shall be forwarded to the address as requested by the employee, except for material restricted by law, rule or regulation. This shall be in electronic format or hard copy, at the election of the employee. This shall normally be accomplished within thirty (30) days of the receipt of the request, except when the folder is needed elsewhere for official Agency business. In those cases, the employee will be notified why the file was not available.

21. The End Slides 18 and beyond contain notes but are not part of the presentation

22. SCI INFORMATION STARTS HERE FROM Article 108, Section 9: • The Agency will identify which employees will receive an SCI using the criteria in the Agency’s Core Compensation Plan. The process for evaluating employees will include an opportunity for employees to provide input. • After the end of the performance year, management will assess the performance of each employee and make a final SCI determination. Based on the assessment, the SCI will be awarded in accordance with Agency directives

23. Superior Contribution Increase (SCI) Desk Guide https://employees.faa.gov/employee_services/pay_perf/perf_management/media/DG2004a.doc Page 5 - Superior Contribution Increase (SCI) Criteria Collaboration: Working with others to contribute to the productivity and success of the organization. Customer Service: Providing products and services that meet the needs of internal and/or external customers and which are sound and delivered on time. Impact on Organizational Success: Successfully setting priorities and completing work that directly affects the ability of his or her organization to meet its performance objectives and deliver high quality products and services.

24. Superior Contribution Increase (SCI) Desk Guide https://employees.faa.gov/employee_services/pay_perf/perf_management/media/DG2004a.doc Page 9: Note: For each SCI cycle, the pool composition should be communicated to employees within the first two months of the fiscal year.

25. Superior Contribution Increase (SCI) Desk Guide https://employees.faa.gov/employee_services/pay_perf/perf_management/media/DG2004a.doc Page 10: Assessment Guidelines It is critical that supervisors and managers who make recommendations and decisions be at a level close enough to employees to be personally knowledgeable of their contributions. Each employee who is eligible for an annual increase must be assessed.

26. Superior Contribution Increase (SCI) Desk Guide https://employees.faa.gov/employee_services/pay_perf/perf_management/media/DG2004a.doc Decisions on the amount of each employee’s annual increase must be based on the assessment. The employee’s “sphere of influence” must be considered in making assessments.

27. Superior Contribution Increase (SCI) Desk Guide https://employees.faa.gov/employee_services/pay_perf/perf_management/media/DG2004a.doc An employee’s self-assessment, if completed, must be considered prior to the completion of the CADA. Managers should not discuss assessments or recommendations with employees until final LOB/SO decisions have been made.

28. Contribution Assessment Decision Aid (CADA) The CADA is contained in Appendix C of the Superior Contribution Increase Process Desk Guide and found here: https://employees.faa.gov/employee_services/pay_perf/perf_management/med ia/CADA2004b.DOC

29. The CADA instructions state: Read the criteria. Each criterion contains specific questions that you will consider when making SCI recommendations and decisions. Consider the employee’s contributions in the areas identified. After reading the criteria, complete the narrative section on the last page. Summarize the employee’s contributions as instructed.

30. Human Resources Policy Manual (HRPM) COMP-2.4c: Annual Pay Changes In The Core Compensation Plan SCI The process for evaluating employees for the SCI component of the annual pay increase will include a Contribution Assessment Decision Aid and other tools, and an employee input capability. SCI decisions will be made at the lowest practical levels, so that to the greatest extent possible, decision-makers will be personally familiar with the employee contributions

31. Superior Contribution Increase (SCI) for Air Traffic Organization Core Employees FAA Powerpoint Presentation: Rating cycle runs 10/01 – 09/30 Annual pay increase (SCI) recommendations due October/November OSI/SCI payouts occur in January

32. FRONT LINE MANAGERS RESPONSIBILITIES BEGINNING OF CYCLE Meet separately with each covered employee and discuss: Annual SCI pay decision process. Brief employee and provide SCI criteria. Advise that you’ll monitor their progress throughout the assessment period.

33. Although not mandatory, strongly encourage the use of the Employee Contribution Self-Assessment. • Form located at website address: http://www.employees.faa.gov/jobs_pay/pay/pay_plans/core_comp_plan/annual_increases/media/SA2004b.DOC • Inform employees they can use this form to summarize all the SCI criteria into one narrative.

34. END OF CYCLE Must complete a Contribution Assessment Decision Aid (CADA) on all eligible employees. Remember to encourage self-assessment input from each employee.

35. Use only the CADA form dated 2004. This form can be located at: http://www.employees.faa.gov/jobs_pay/pay/pay_pl ans/core_comp_plan/annual_increases/media/CAD A2004b.DOC When applicable, solicit feedback from losing manager.

36. Ensure SCI recommendations for all your employees are forwarded to the next level in accordance with internal timeframes set by Service Area. CADA must be specific enough to support and validate recommendations. This seems to indicate that FLM’s only provide “recommendations”. This seems to contradict the following: Human Resources Policy Manual (HRPM) COMP-2.4c which states: SCI decisions will be made at the lowest practical levels, so that to the greatest extent possible, decision- makers will be personally familiar with the employee contributions.

37. And SCI Desk Guide, page 10 which states: It is critical that supervisors and managers who make recommendations and decisions be at a level close enough to employees to be personally knowledgeable of their contributions

38. TYPICAL TIMELINE TO CLOSE OUT YEAR SEPT/OCT EMPLOYEES SUBMIT SELF-ASSESSMENT (OPTIONAL). MANAGERS PREPARE CADA’S. (REMINDER: IF APPLICABLE, LOSING MANAGER MUST PRESENT SUMMARY/OR PROVIDEINPUT TO GAINING MANAGER.)

39. OCT SCI TEAM SENDS OUT THE EMPLOYEE SPREADSHEETS TO SERVICE UNITS. OCT EACH EMPLOYEE’S MANAGER DEVELOPS SCI RECOMMENDATIONS AFTER COMPLETING CADA’S ON EACH EMPLOYEE. EARLY NOV RECOMMENDATIONS SUBMITTED TO THE APPROPRIATE DIRECTOR/MANAGER. (ACTUAL DATE DETERMINED BY VP ORGANIZATION

40. EARLY DEC • ATO RECOMMENDATIONS ARE SUBMITTED TO THE DEPUTY ADMINISTRATOR AND ADMINISTRATOR FOR APPROVAL. • DEC/JAN • ONCE THE DEPUTY ADMNISTRATOR APPROVES THE RESULTS OF THE ANNUAL PAY INCREASE PROCESS, CORE COMPENSATION EMPLOYEES CAN BE INFORMED OF THEIR INDIVIDUAL SCI RATING AND PAY OUT. • JAN • OSI/SCI PAYOUTS

41. EXAMPLE OF A 12 MONTH PERFORMANCE CYCLE: https://employees.faa.gov/org/staffoffices/ahr/policy_guidance/hr_policies/hrpm/perform/perform_ref/percycle/

42. OCTOBER Performance Plan jointly developed for upcoming year DECEMBER Check-in meeting (Requested by employee) JULY Employees supply upward feedback, through an anonymous automated system, which goes directly to the supervisor. Did the mid-cycle meeting take place within 30 days of the middle of the performance cycle?

43. FROM MANAGER INSTRUCTIONAL GUIDE https://employees.faa.gov/employee_services/pay_perf/perf_managem ent/media/Manager%20Desk%20Guide%20-%20Final.doc October -- Development of the Performance Plan (Initial Meeting): You and your employees jointly develop their performance plan, which includes performance standards and developmental activities. NOTE: Should there be a difference of opinion as to the content of a performance standard, you as the supervising manager make the final decision.

44. December – Check-in Meeting: You or one of your employees may initiate a check-in meeting to make modifications to the performance plan. Sometimes, because of such things as shifting workloads, resources, and personal situations, a plan may need to be adjusted. Modifications are encouraged in order to keep the performance plan(s) understandable and meaningful.

45. April – Mid-Cycle Meeting: This includes face-to- face feedback and dialogue between you and each of your employees. Keep in mind that the employees will have opportunities to provide self- assessments. It may be a good idea for you to solicit these assessments prior to the meetings so that part of each discussion can address how an employee feels about his/her performance during the first half of a cycle.

46. July – Upward Feedback: Employee to Supervising Manager: Each of your employees will have opportunities to provide anonymous upward feedback to you on how they perceive that you are carrying out your performance management responsibilities. The questions that are provided for this purpose are closed ended and deal with compliance and effectiveness. You do not have to share the upward feedback with your manager.

47. Supervising Manager to Manager: You will have opportunities to provide upward feedback to your manager regarding any resources, guidance, and support that you need to carry out your PMS responsibilities.

48. October – Performance Summary: For each employee you consolidate in written form his or her accomplishments throughout the performance cycle by summarizing formal feedback that was given throughout the cycle, and highlighting developmental activities that were undertaken by the employee. You communicate performance summaries in a face-to-face meeting. Similar to the mid-cycle meeting, the employee will have the opportunity to provide a self-assessment. Again, it may be a good idea to solicit these assessments adequately in advance for consideration when preparing the performance summary

49. Ongoing – Monitoring, Feedback, and Recognition: An effective performance management tool is one in which a supervisor engages in periodic, informal discussions, provides feedback, and provides developmental and recognition activities to reinforce his or her employee’s performance or initiate formal corrective action if necessary. You as the supervisor play a critical role in making the system a continuous monitoring/feedback/recognition/performance improvement process.

50. NOTE: Individual LOBs and SOs may adopt different performance cycles, but the sequencing and spacing of PMS activities must remain the same.