HRR 430-PERFORMANCE MANAGEMENT

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HRR 430-PERFORMANCE MANAGEMENT

  1. 1. 1 MAY 1998 HRR 430 HUMAN RESOURCES OFFICE Human Resources Regulation 430 GEORGIA ARMY AND AIR NATIONAL GUARD 1 May 1998 PERFORMANCE MANAGEMENT GEORGIA NATIONAL GUARD TECHNICIAN PERFORMANCE APPRAISAL SYSTEM This regulation contains the regulatory requirements of the Georgia National Guard Technician Performance Appraisal System. It is consistent with the requirements of the Civil Service Reform Act of 1978 (Public Law 95-454), the Technician Act of 1968 (Public Law 90-486), Titles 5 of the Code of Federal Regulations (CFR) and Office of Personnel Management (OPM) directives. It contains general guidance to be used by managers and supervisors as an aid in appraising technician performance. Users of this publication are invited to send comments and suggested improvements on DA Form 2028 (Recommended Changes to Publications and Blank Forms) to: Human Resources Office ATTN: HRO-LRS P.O. Box 17965 Atlanta, GA 30316-0965 TABLE OF CONTENTS Paragraph Page PART I. GENERAL Coverage and Scope...............................................................A 1 Basic Requirements................................................................B 1 Definitions..............................................................................C 1 Responsibilities......................................................................D 3 Annual Performance Appraisal System Implementation......E 5 Submission of Rating.............................................................F 5 This regulation supersedes SPMR 430, 1 June 1992
  2. 2. 1 May 1998 HRR 430 Paragraph Page PART II. THE APPRAISAL PROCESS Performance Planning............................................................A 6 Requirements for Managers and supervisors.........................B 7 The Performance Appraisal...................................................C 7 Trial/Probationary Period Appraisals....................................D 8 Performance Appraisal While on Detail................................E 8 Postponement of Annual Performance Appraisals................F 8 Records..................................................................................G 9 Evaluating the Effectiveness of the Appraisal System..........H 9 PART III. PERSONNEL DECISIONS BASED ON PERFORMANCE APPRAISALS General...................................................................................A 10 Within Grade and Step Increases...........................................B 10 Rewards..................................................................................C 10 Reassignment, Reduction in Grade, or Removal...................D 10 Training..................................................................................E 10 Trial/Probationary Period Completion..................................F 10 Promotions.............................................................................G 11 PART IV. UNACCEPTABLE PERFORMANCE Actions Based on Unacceptable Performance.......................A 12 Requirements.........................................................................B 13 Unacceptable Performance Related to Alcohol or Drug Abuse .......................................................................C 13 Records..................................................................................D 13 PART V. APPEALS Establishing a State Review and Appeals Board...................A 14 Filing an Appeal.....................................................................B 14 Appeal Processing..................................................................C 14 Board Procedures...................................................................D 15 ii
  3. 3. HRR 430 1 May 1998 APPENDIX Page A. Identifying Critical Elements, Establishing Performance Standards, and Conducting the Appraisal 17 B. Guidelines for Appraising Managers and supervisors on Their Performance in EEO 23 C. Sample Letter and Format and Instructions for Completing Forms 25 C-1. Sample Notice of Written Decision Based on Unacceptable Performance 26 C-2. Instructions for Completing GA HRO Forms 430, 430-1, and 430-2 27 C-3. Performance Improvement Plan (PIP) Letter 36 D. Performance Feedback Timetable 39 E. Technician Appraisal System Flowchart 40 iii
  4. 4. HRR 430 1 May 1998 PART I. GENERAL A. COVERAGE AND SCOPE: This regulation establishes the performance appraisal system for all Georgia National Guard Technicians employed under the provisions of 32 U.S.C. 709, and is consistent with the requirements of the Civil Service Reform Act (CSRA) of 1978, Part 430 of the Office of Personnel Management (OPM) directives, and Code of Federal Regulations (CFR). Parts I through V of this regulation are mandatory requirements. Appendices A through E contain general guidance to be used by managers and supervisors to aid them in adequately appraising a technician’s performance. B. BASIC REQUIREMENTS: This regulation requires that: 1. Written performance standards and critical job elements be established for all positions. 2. Technicians be informed of their performance standards and critical job elements at the beginning and during each appraisal period. 3. Technicians be provided feedback during the appraisal period on how well they are progressing compared against the established performance standards. All performance feedback sessions will be recorded on GA HRO Form 430-2 and Supervisors Employee Brief. 4. The results of the performance appraisal be used as the basis for training, rewarding, reassigning, determining within grade and step increases, promotion, reduction in grade, removal, and as a basis for assisting technicians in improving unacceptable performance. 5. Actions to reassign, reduce in grade, or remove based on unacceptable performance be taken only after the technician has been given an advance prior thirty day written notice. 6. No predetermined statistical distributions be used that would prevent a fair appraisal based on established performance standards. 7. A State Review and Appeals Board be established to review and resolve disagreements over assigned appraisals. C. DEFINITIONS: 1. Appraisal: The continuing process by which the technician is informed of how his/her performance compares against established performance standards and results in a final performance appraisal at the end of the appraisal period. 2. Appraisal Period: The period of time, normally one year but not less than 120 days, for which the technician’s performance will be appraised. The appraisal period begins on the 1
  5. 5. 1 May 1998 HRR 430 first day of the month following the technician’s birth month and ends on the last day of their birth month. 3. Appraiser: The individual most responsible for the technician’s performance, establishing performance standards, counseling the technician on the critical and major elements of the job, and appraising the technician based on pre-established mutually understood performance standards. Normally, this is the technician’s immediate supervisor. 4. Critical Job Element: Any component of a technician’s job that is of sufficient importance that performance below the minimum standard established by management requires remedial action and denial of a within-grade increase, and may be the basis for removing or reducing the grade level of that technician. Such action may be taken without regard to performance on other components of the job. 5. Major Job Element: A major duty or responsibility of the technician’s job which, although important, is not considered critical in relation to other aspects of the job. 6. Overall Performance Appraisal: The appraisal assigned at the end of the appraisal period that describes the overall performance level of the technician based on performance in each individual job element. 7. Performance Feedback: Performance feedback will be provided to the technician using GA HRO FORM 430-2 to keep the technician informed of his/her performance. These performance feedback sessions will be conducted at three, six, and nine month intervals within the technician’s appraisal period, but may be used more often, if desired. 8. Performance Standard: A description of the level of achievement, including quality, quantity, and timeliness, necessary for satisfactory performance of the duties and responsibilities of the position. Whenever possible, standards for all technicians should be established at more than one appraisal level. 9. Reviewer: An individual in the technician’s chain of command who is the appraiser’s immediate supervisor. This individual may recommend personnel decisions and actions resulting from the appraisal. 10.Unacceptable Performance: When a technician fails to meet performance standards in one or more critical elements. 2
  6. 6. HRR 430 1 May 1998 D. RESPONSIBILITIES: 1. Chief, National Guard Bureau: The Human Resources Office of the National Guard Bureau (NGB-HR) is responsible for the overall administration, improvement, and evaluation of the performance appraisal system. NGB-HR may require corrective action in those cases when any aspect of a State’s performance appraisal system is not in conformance with regulatory guidance and OPM directives. 2. Adjutant General: a. Establish responsibilities for the proper administration and operation of this appraisal system. b. Insure that all managers and supervisors are adequately trained in all aspects of performance evaluation under this system. c. Establish a State Review and Appeals Board to review and resolve complaints regarding assigned appraisals. d. Insure that when appropriate, managers and supervisors are appraised on their performance in furthering equal opportunity goals and objectives and appraising their subordinates. e. Insure that performance appraisals do not conform to any predetermined statistical distribution or other arbitrary controls that would prevent a fair evaluation of a technician’s performance. f. Insure that written performance standards are established for all technician positions including those serving in a trial/probationary period status. 3. Human Resources Office (HRO): a. Administer the performance appraisal system within the State. b. Provide advice and assistance to managers and supervisors during the appraisal process. c. Develop and conduct training necessary to insure that all technicians (and non-technicians involved in the appraisal process) are adequately trained in performance appraisal under this system. d. Notify managers and supervisors of due dates for technician performance appraisals. e. Review completed appraisals for timeliness, completeness, and conformance with the regulatory requirements of this system. 3
  7. 7. 1 May 1998 HRR 430 f. Designate an HRO staff member (excluding clerical staff) to be responsible for the appraisal system. g. Keep necessary records, evaluate the effectiveness of the program at state level, and bring to the attention of the Adjutant General those areas needing refinement or improvement. h. Ensure that necessary personnel actions or decisions based on the performance evaluation are administered. 1. Supervisor: a. In cooperation with their subordinate technicians, establish written performance standards and critical job elements for each position. These standards and critical job elements must be consistent with the duties and responsibilities covered in the technician’s position description. A copy of the established standards and critical job elements will be provided to the technician and the HRO. b. Personally inform technicians of the level of performance required for a satisfactory appraisal. c. Appraise performance on a continuing basis and keep technicians informed, at least quarterly, as to how their performance compares to the established standards, using GA HRO FORM 430-2 (See chart at Appendix D). d. Give guidance and assistance to each technician as necessary on how performance can be improved. e. Complete the annual performance appraisal in accordance with established standards and requirements. f. Coordinate the annual performance appraisal with the reviewer before discussion with the technician to avoid any surprises when the reviewer receives the official appraisal from the appraiser. 2. Reviewer: a. Assist supervisors in identifying critical elements and establishing performance standards. b. Review appraisals completed by subordinate supervisors to ensure the appraisals are accurate, fair, meaningful, and complete. c. Participate with appraisers to resolve any disagreements over critical elements, performance standards, or the technician’s performance appraisal. d. Approve or recommend personnel actions and decisions resulting from the performance appraisal in accordance with established procedures. 3. Technician: 4
  8. 8. HRR 430 1 May 1998 a. Participate in the development of performance standards and critical job elements. b. Advise supervisors of the need, if necessary, to revise performance standards and critical elements during the appraisal period. c. Request clarification of any element of the job or performance standard not clearly understood. d. Identify work problems and cooperate with the supervisor in resolving any problems, advise the supervisor on special factors and circumstances that should be considered in the appraisal process, and discuss objectives for improving job performance. e. Participate actively with the supervisor during discussions of performance throughout the appraisal period. E. ANNUAL PERFORMANCE APPRAISAL SYSTEM IMPLEMENTATION: 1. Supervisors will complete performance appraisals using Performance Appraisal Form GA HRO Form 430-1. The appraisal will be based on written performance standards and critical elements (GA HRO Form 430) furnished to the technician within 30 days of employment. 2. The annual appraisal period, which is normally one year, but no less than 120 days, will begin on the first day of the month following the technician’s birth month, and end on the last day of the birth month. 3. Closeout appraisals will be accomplished in accordance with the current Labor-Management Relations Agreement. F. SUBMISSION OF RATING: The appropriate reviewing official will forward performance appraisals to the HRO not later than the 20th of the month following the close of the rating period. 5
  9. 9. 1 May 1998 HRR 430 PART II. THE APPRAISAL PROCESS A. PERFORMANCE PLANNING: At the beginning of the appraisal period, each supervisor will, with technician participation, identify major/critical job element(s) and performance standards. Although technicians will participate in this process, the immediate supervisor will make final determinations with the concurrence of the reviewer. Performance standards need to be written as simple, objective, and precise as possible. Major/critical job elements, task/duty statements, and expected performance standards will be recorded on GA HRO Form 430. They should be updated to reflect significant changes in a position at anytime during the appraisal period. A completed copy of this form will be given to the technician at the beginning of the appraisal period, and as changes occur. 1. Identification of Major Job Elements: Identification of major job elements is accomplished through an analysis of the duties and responsibilities of each technician’s job. Organizational goals and objectives are first identified. Then, the major duties and responsibilities, including important project assignments that contribute to those goals and objectives and for which the technician will be held responsible, are specified. These are considered the major job elements. Sources of information that may be helpful in identifying major job elements are job descriptions, mission and functional statements, inspection reports, and locally developed performance requirements. As a minimum, the official position description will be used. Major job elements may be added, deleted, or changed in consultation with the subordinate technician during the appraisal period (See Appendix A). 2. Identification of Critical Elements: After the major elements have been identified, a determination must be made as to which of the elements are critical elements of the position. An asterisk (*) will be placed beside each element listed on GA HRO Form 430 identifying critical elements (See Appendix A). 3. Identification of Mandatory Element: Safety in the workplace is the responsibility of all technicians. As such, all performance standards will include a job element addressing the individual’s adherence to all appropriate safety standards, directives, and regulations. 4. Assign Element Value: A total of 100 percentage points will be distributed among the job elements. As a minimum, 60 percent of these points must be allotted to the critical job elements. The remaining points are then distributed among the other major job elements. The value assigned each element will be entered after the element description. 5. Developing the Task/Duty Statements: Once the major and critical job elements have been identified, the next step is to list the specific task/duty statements. The task/duty statements are used as support to indicate how a major or critical element will be achieved (See Appendix A). 6. Establishing Expected Performance Standards: When the task/duty statements have been recorded, the next step is to describe specific and separate expected performance standards 6
  10. 10. HRR 430 1 May 1998 for each of the supporting task/duty statements. The standards listed should describe what a technician must do to be appraised at the “satisfactory” level of performance. The performance standards described here should be realistic and attainable and should present a challenge to the technician. To attain this objective, performance standards need to be measurable and consistent with the grade level and duties of the position. When performance standards cannot be expressed in terms of quality, quantity, or timeliness, they may be stated in terms of expected results or manner or method of performance (See Appendix A). Any performance standard update requirements that reflect changes in major/ critical job elements of a position that occur during the appraisal period will be discussed with the technician and a copy furnished the HRO. Standards will especially change when position descriptions are revised because of mission change and new technology. If change in performance standards occur prior to the month the rating period ends, the performance rating will not be rendered until 120 days have elapsed. B. REQUIREMENTS FOR MANAGERS AND SUPERVISORS: 1. Critical elements and performance standards for managers and supervisors should reflect organizational as well as individual duties and responsibilities. Furthering equal employment opportunity (EEO) will be identified as a major or critical element for all technicians who are responsible for appraising the performance of one or more technicians. See Appendix B for guidelines on appraising performance in EEO. When applicable to the position, performance standards should be established to measure organizational accomplishments of managers and supervisors as well as individual performance. 2. Managers and supervisors will be held accountable in the appraisal process for organizational accomplishments, i.e., improvement in efficiency, productivity, and quality of work or service, including any significant reduction in paper work; cost efficiency; and other indications of the effectiveness, productivity, performance quality, and timely appraisal of the technicians for whom the manager or supervisor is responsible. Managers and supervisors who do not submit timely appraisals on their subordinates should be penalized in their appraisal under the SUPERVISION job element. 7
  11. 11. 1 May 1998 HRR 430 C. THE PERFORMANCE APPRAISAL: At the end of the appraisal period, the supervisor will review the technician’s performance in relation to the established standards of performance and place an “X” in the appropriate STANDARDS column. NOTE: Regardless of the overall numerical appraisal, an individual element standard of DOES NOT MEET on any critical element will result in an overall appraisal of unacceptable and remedial action will be required (See Part IV). 1 point......UNACCEPTABLE 2 points........MARGINAL 3 points........ACCEPTABLE 4 points.....EXCELLENT 5 points........OUTSTANDING D. TRIAL/PROBATIONARY PERIOD APPRAISALS: 1. New technicians must be carefully observed and appraised during the trial/probationary period to determine whether they have the qualities needed for permanent government service. During this period, supervisors should provide specific training and assistance to improve the technician’s work performance, if needed. 2. First level supervisors will provide a progress review prior to the ninth month on all trial/probationary employees. This review will be recorded on the Supervisors Employee Brief, and the supervisor must inform the technician how he/she is performing relative to their performance standards. Supervisors of technicians serving a trial/probationary period must, within 20 calendar days after the ninth month, submit through supervisory channels to the HRO a signed GA HRO Form 430-1. This evaluation is not considered an official performance appraisal for the purpose of appeal rights. The purpose of this evaluation is to determine whether the technician has the qualities needed for permanent government service. The immediate supervisor will indicate on GA HRO Form 430-1 whether the technician is to be retained or not retained. Blocks 1 through 5, block 9, and blocks 13 through 16 should be completed. If retention is not recommended, the HRO will then take appropriate action to remove the technician from federal service. No portion of this paragraph is to be interpreted as preventing or discouraging the initiation of a removal action for non-performance or misconduct at any time during this trial/probationary period. 3. A technician serving a trial/probationary period will not be given an official performance appraisal until after completing the required 12 months of federal service. After completing the 12 months of service, he/she would then be given an official performance appraisal in accordance with the established appraisal period. E. PERFORMANCE APPRAISAL WHILE ON DETAIL: When a technician has been officially detailed to another position with the same or different supervisor, for a period covering 60 to 120 days, written performance standards and critical job elements will be established for this position, and the technician’s performance while on the detail will be appraised. This additional appraisal will be considered, but may not raise or lower the overall performance appraisal. For details of longer periods, the additional appraisals will be 8
  12. 12. HRR 430 1 May 1998 given equal weight in determining the overall appraisal. GA HRO Form 430-1 will be used to record this appraisal. F. POSTPONEMENT OF ANNUAL PERFORMANCE APPRAISALS: Annual performance appraisals may be postponed for not more than 90 days in circumstances when the immediate supervisor has not had sufficient time to observe the technician’s performance in his/her present assignment because: (1) the supervisor or the technician is newly assigned; (2) the technician has not been performing the regularly assigned work because of extended details or absences; or (3) the technician’s performance is temporarily unacceptable because of illness, alcoholism, or drug abuse. This 90-day postponement may be extended if circumstances warrant. G. RECORDS: Official performance records are available for review by the technician concerned. These include, but are not limited to, performance standards, appraisals, certifications in connection with within-grade increases, incentive award determinations, merit promotion material, trial/probationary period certification, and other related personnel management documents. Any document that is used in support of a performance appraisal will be placed in a separate envelope and maintained in the technician’s Official Personnel Folder (OPF). During the processing phases of performance appraisals, only individuals directly in the technician’s chain of command and those with an official need to know in the performance of their assigned duties will be permitted to review performance appraisals. This applies even after the final action has been accomplished. H. EVALUATING THE EFFECTIVENESS OF THE APPRAISAL SYSTEM: The records and information outlined in paragraph G will be used to monitor the effectiveness of the appraisal system. The HRO is responsible for evaluating appraisal results to insure that the system is being implemented in accordance with this regulation. An evaluation should include but is not limited to: (1) timeliness and completeness of appraisal; (2) proper use of critical elements and performance standards; (3) insuring that appraisals are valid and not required to conform to any predetermined statistical distribution; and (4) insuring that recommended personnel actions are consistent with the overall appraisal assigned. This data will be used as necessary to refine and improve the State Performance Appraisal System. In addition, suggestions for improving this system should be brought to the attention of GA HRO. 9
  13. 13. 1 May 1998 HRR 430 PART III. PERSONNEL DECISIONS BASED ON PERFORMANCE APPRAISALS A. GENERAL: Appropriate consideration must be given to technician performance appraisals when making certain personnel decisions. At the end of the appraisal period (or anytime during the appraisal period), the appraiser will make recommendations involving the personnel actions or decisions listed in B through H below. The recommendations are subject to review by the next higher level supervisor. Appendix C contains a format which may be used for making recommendations on personnel decisions based on performance appraisals. B. WITHIN-GRADE AND STEP INCREASES: To be eligible for a within-grade increase (GS technicians) or a step increase (FWS technicians) overall performance must be at the acceptable level or higher. C. AWARDS: Technicians demonstrating an overall level of performance that exceeds the standards established for the position (above the acceptable level) may be recommended for monetary or honorary awards under the Technician Incentive Awards Program (See GA State Incentive Awards Regulation). D. REASSIGNMENT, REDUCTION IN GRADE, OR REMOVAL: See part IV. E. TRAINING: The performance evaluation process, including on-going discussions between the supervisor and the technician, may result in the identification of specific training needs. Recommendations for training should not be limited to the less than satisfactory performer, but to assist any technician in achieving a higher level of job performance and proficiency. Thus, recommended training may be remedial or developmental in nature. F. TRIAL/PROBATIONARY PERIOD COMPLETION: Information gained during the appraisal process will provide the necessary information to assist the supervisor in deciding whether or not to retain a technician beyond the trial/probationary period. A decision to terminate a technician may be proposed at any time during the trial/probationary period. 10
  14. 14. HRR 430 1 May 1998 G. PROMOTIONS: The performance appraisal will provide useful information for making merit promotion decisions. Past performance should only be considered when the technician’s current job and the one for which he/she is being considered have common job related elements for which the appraisal would be useful. Less than satisfactory performance in his/her current job does not necessarily mean the technician could not perform at a higher level in another job with different duties and responsibilities. However, in no case should a technician whose current performance is less than satisfactory be recommended for promotion in his/her current position. 11
  15. 15. 1 May 1998 HRR 430 PART IV. UNACCEPTABLE PERFORMANCE A. ACTIONS BASED ON UNACCEPTABLE PERFORMANCE: Technicians will be periodically reminded of the critical job elements and expected performance standards for their positions. Technicians will also be informed when their performance is unacceptable in any element of the job. 1. Technicians will be assisted in improving areas of unacceptable performance by counseling, increased supervisory assistance, additional training, etc. The technician will be afforded a reasonable opportunity (60 to 90 calendar days) to improve such performance to an acceptable level. The supervisor will draft a Performance Improvement Plan (PIP) and coordinate the letter with the HRO prior to issuance, (Reference Appendix A). The letter will outline the following requirements: a. Specific job performance deficiencies in each job element of the performance standard. b. What will be required of the technician to improve performance to an acceptable level. c. Specify an opportunity period (60 to 90 calendar days) from the date of the letter for the technician to improve and the penalty for non-progress. d. An offer of the Employee Assistance Program and HRO point of contact. 2. During the opportunity period, follow-up guidance and counseling and/or additional training may be required. This information will be recorded on the Supervisor’s Employee Brief for the employee. If performance continues to be unacceptable when the opportunity period lapses, the supervisor will draft a reduction to a lower grade or a removal notice in accordance with Appendix C. The draft will be forwarded through selecting official channels to the HRO for specificity, regulatory, and procedural review. Upon HRO approval, the first level supervisor will issue the notice to the technician. In an unacceptable performance case, there is no proposed notice of adverse action issued as in misconduct cases. 3. If the technician’s performance in any critical element continues to be unacceptable despite efforts by the supervisor or manager to improve performance, the technician must be further reduced in grade (demoted) or removed from employment. Before initiating an action to reduce in grade or remove a technician based on unacceptable performance, consideration should be given to reassignment to another vacant position for which the supervisor feels the technician is qualified. No action based on unacceptable performance may be taken until critical job elements and performance standards have been identified in writing, the technician has been given a copy of these standards, and the technician has been given an opportunity to improve his/her performance. 12
  16. 16. HRR 430 1 May 1998 B. REQUIREMENTS: An action to reduce in grade or remove from employment may be initiated anytime by the technician’s supervisor if the technician’s performance continues to be unacceptable in one or more critical job elements. The supervisor does not need to wait until the end of the appraisal period to initiate these actions. A technician against whom such an action is planned is entitled to: 1. A minimum 30-day advance written notice of the action to be taken (reduction in grade or removal), which identifies the critical job element(s) and instances of unacceptable performance on which the action is based. This written notice must be concurred with by an official who is in a higher position than the immediate supervisor (this requirement does not apply when the action is being taken by The Adjutant General). This is not a proposed notice, but is to be considered as a final notice of the action to be taken because the technician would have received adequate assistance and time to improve performance. 2. An opportunity to answer orally or in writing to the supervisor or appeal to the State Review and Appeals Board. The effective date of separation or a reduction in a grade may be extended awaiting the final decision of the Appeals Board. 3. If a technician submits a request to his/her supervisor to change an unacceptable performance appraisal, the supervisor will carefully review this information and advise the technician in writing whether the unacceptable performance appraisal is sustained or will be changed. A request submitted to the State Review and Appeals Board will be processed in accordance with instructions in Part V. C. UNACCEPTABLE PERFORMANCE RELATED TO ALCOHOL OR DRUG ABUSE: Unacceptable performance related to alcoholism or drug abuse must be processed in accordance with TPS 792-2. D. RECORDS. 1. Action Taken: When such an action is taken against a technician, all relevant documentation will be placed in an envelope and filed in the technician’s OPF. 2. Action Not Taken: When an action is not taken, all documentation relating to the unacceptable performance appraisal will be assembled and placed in an envelope and filed in the technician’s OPF. If the technician’s performance continues to be acceptable for a period of one year from the date the original action was initiated, the contents of the entire envelope must be destroyed and any entries or other notations of unacceptable performance must be removed from all records. 13
  17. 17. 1 May 1998 HRR 430 PART V. APPEALS A. ESTABLISHING A STATE REVIEW AND APPEALS BOARD: The Adjutant General will establish a State Review and Appeals Board consisting of three members to provide an impartial review on performance appraisal appeals. Members serving on this board cannot be in the chain of command of the technician who is filing an appeal and should not be in a lower graded position than the technician appealing. The technician is entitled to representation during the board process. Representation on this board may be a matter for negotiation with labor organizations holding exclusive recognition. B. FILING AN APPEAL: 1. A technician desiring to file an appeal of a performance appraisal, other than for unacceptable performance, may file an appeal to the State Review and Appeals Board no later than 30 calendar days after the technician receives the appraisal. 2. A technician desiring to file an appeal based on unacceptable performance must submit their request within the 30-day advance written notice period outlined in Part IV(B)(1). 3. In reviewing performance appraisal appeals including unacceptable performance, the board by majority vote will recommend that the Adjutant General change the appraisal as requested by the technician or sustain the appraisal without change. When reviewing unacceptable performance appraisals, the board will only be concerned with the performance appeal; it will not review the personnel action taken as a result of an unacceptable appraisal. All members of the board must be present at all times during the hearings, and must participate in proposing a recommendation. 4. The Adjutant General will render the final decision. A technician has no appeal rights beyond the Adjutant General on these matters. C. APPEAL PROCESSING: An appeal will be faxed or submitted to: Chairperson, State Review and Appeals Board Human Resources Office P.O. Box 17965 Atlanta, GA 30316-0965 FAX (404) 624-6262 14
  18. 18. HRR 430 1 May 1998 The appeal will be in writing and will contain, as a minimum, the following information: 1. Name of technician. 2. Position, title, pay plan, occupational series, grade, organization, and location assigned. 3. Identification of performance appraisal being appealed (attach copy of appraisal). 4. Information as to why the technician feels the appraisal should be changed. 5. Date technician acknowledged performance appraisal from first level supervisor. When all the necessary information is not available, the technician should submit what is available, and state why the other information is not available. D. BOARD PROCEDURES: The technician, the technician’s representative (if desired by the technician), the immediate supervisor, and the representative of the Adjutant General will submit information the board deems pertinent. Such information may be presented orally, by presentation of witnesses, or in writing. In the submission of evidence, both oral and written information may be submitted to reach a decision, as long as the technician, the technician’s representative, and the representative of the Adjutant General are given the opportunity to hear, examine, and reply to the information submitted by the other parties, and are given an opportunity to question the witnesses. The board may not use any written information to provide a recommendation until the technician, the technician’s representative (if any), and the representative of the Adjutant General have had an opportunity to examine and reply to it. Board members must serve as impartial judges and review each case objectively. They must give consideration to the merits of each case and secure all necessary information. The board may not receive or consider information not directly related to the matter being considered. All information and discussions by board members during proceedings will remain confidential and not be disclosed in any manner. Within 15 calendar days, the board will review and submit their recommendations directly to the Adjutant General with an information copy to the HRO, Attn: Labor Relations Specialist (LRS). 15
  19. 19. 1 May 1998 HRR 430 OFFICIAL WILLIAM P. BLAND, JR. Maj Gen, GA ANG The Adjutant General JIMMY L. DAVIS, JR. Colonel, GA ANG Director of Human Resources DISTRIBUTION A Plus: 1600 1 - ea. Tech Supv I - ea Technician 3 - GA ACT 16
  20. 20. HRR 430 1 May 1998 APPENDIX A IDENTIFYING CRITICAL ELEMENTS, ESTABLISHING PERFORMANCE STANDARDS AND CONDUCTING THE APPRAISAL A-1. OVERVIEW: The appraisal process is more than a once-a-year meeting between supervisor and technician during which performance over the past year is evaluated and recorded on an appraisal form. The Georgia National Guard Technician Performance Appraisal System requires that the supervisor and subordinate jointly, at the beginning of the appraisal period, review the requirements of the technician’s job, identify major and critical job elements, and establish job related expectations of performance (performance standards). During the appraisal period, the technician should be kept informed, at least quarterly, as to how he or she is doing in regards to the established expectations using GA HRO Form 430-2. Thus, the overall performance appraisal (rating) should be no surprise to the technician. The major components of the appraisal process are as follows: 1. Reviewing the Job: The technician’s job and organization or mission requirements are reviewed and major/critical job elements and task/duty statements for each major/critical element established. 2. Setting Performance Standards: Specific expected results are identified for each major/critical element of the job. 3. Communicating the Performance Standards: Each technician should understand exactly what is expected of him or her during the appraisal period. This necessitates a periodic review, at LEAST quarterly, of the technician’s performance and a discussion of how he/she is performing in regards to the previously agreed upon performance standards. 4. Appraising Technician Performance: At the end of the appraisal period, performance is discussed with the technician, and the final evaluation (rating) is entered on the appraisal form. A-2. STEPS FOR SETTING PERFORMANCE STANDARDS: STEP 1: IDENTIFYING MAJOR AND CRITICAL JOB ELEMENTS AND SPECIFIC TASKS AND DUTIES OF EACH ELEMENT. 1. Gathering Information: The technician’s position description should be the basic source of information for identifying major and critical elements of the job. From this and the supervisor’s knowledge of workload priorities and mission requirements, the major elements of the job can be identified. Job elements are the measurable and observable results or end products of the job and not the steps or activities taken to achieve them. 17
  21. 21. 1 May 1998 HRR 430 2. Listing the Major Elements of the Job: After the technician’s significant areas of responsibility (MAJOR JOB ELEMENTS) have been identified, they should be annotated on GA HRO Form 430. Assign an element percentage value to each listed individual job element. Supervisors may wish to use a copy of the appraisal form as a worksheet. 3. Assuring Suitability of Job Elements: To assure that job elements are suitable, supervisors should be able to answer yes to the following questions: a. Are the elements all-inclusive and understandable? b. Is the total job covered? c. Are the elements objective? d. Do they refer to measurable outcomes as opposed to “trait ratings” (e.g., cooperative, 1. resourceful, etc.)? e. Do the elements refer to work activity under the technician’s control? f. Are the elements appropriate for the technician’s series and grade? g. Are the elements clear and specific? h. Are the elements derived from the overall mission of the organization? i. Are they compatible with and supportive of results assigned to other organizations in your directorate or branch? 4. Determining Critical Elements: Once the major job elements have been identified and listed, an asterisk should designate those critical elements that are absolutely necessary for completing the job. A critical element of the job is one that is so significantly important that performance below the minimum established standard for that job element outweighs acceptable or better performance on other elements of the job and requires remedial action and denial of a within-grade increase. It may be the basis for removing or reducing the grade level of the employee. 5. Assuring Critical Elements are Critical: As a means of checking whether critical elements are really critical, supervisors should be able to answer yes to the following questions: a. Are you willing to recommend the removal or demotion of the technician if the performance standard for this element is not met? b. Will substandard performance of this element really affect mission accomplishment? c. Is this element really attainable by the technician? d. Is this element within the technician’s control? 18
  22. 22. HRR 430 1 May 1998 e. Is there at least one critical element established for this job? 6. Determining Task/Duty Statements: After the technician’s major and critical job elements have been established, the specific tasks and duties required to accomplish the job elements should be grouped together by the major elements they support and listed under the column for Task/Duty Statements. STEP 2: ESTABLISHING PERFORMANCE STANDARDS. 1. Purpose: Performance standards are a narrative description of the level of achievement for satisfactory performance in a particular major/critical job element. In other words, they express how well the major/critical element is to be performed. Performance standards should be objective and measurable and should enable the user to accurately evaluate performance in terms of some end product or outcome. They should describe the satisfactory level of performance that will fully satisfy the supervisor’s expectations and allow for successful completion of that part of the organization’s function and goals for which that particular job is responsible. 2. Ways of expressing performance standards: a. Quality of Work: A standard measuring the quality of a task tells how well a task must be performed and is expressed in terms of accuracy, appearance, usefulness, and effectiveness. A quality standard may be expressed as an error rate, such as the number or percentage of errors allowable per unit of work, or as general results to be achieved (if numeral rates are not possible). An example is: “X percent of reports submitted are accepted without revision.” b. Quantity of Work: This type of standard describes how much work is to be completed within a given time period. An example is: “Conducts X surveys per Y period.” c. Timeliness: This type of standard describes “when”, “how soon”, and “within what period” work is to be completed. An example is: “All suggestions evaluated within X days after receipt.” d. Expected Results: This type of standard describes a specific result to be obtained, and often uses phrases such as “in order that,” “as shown by,” etc. An example is: “Decisions on supply needs are made with sufficient accuracy that no supply item remains in short supply more than X days.” e. Manner of Performance: This type of standard is used for positions in which personal contacts are an important factor, or when an employee’s personal attitude, mannerisms, and behavior have an effect on performance. An example is: “Speaks clearly with sufficient volume to be understood by persons attending briefings.” f. Method of Doing: This type of standard is used when there is a set procedure for accomplishing a task and when the use of other than the prescribed procedure would be unacceptable. An example is: “Forms completed in accordance with office directives.” 19
  23. 23. 1 May 1998 HRR 430 3. Assuring Completeness of Prepared Standards: To assure completeness of prepared standards, supervisors should be able to answer yes to the following questions: a. Are tasks clearly and simply stated and do they cover all critical elements/major duties? b. Do standards clearly state how well (quality), how soon (timeliness), and in what manner each task should be performed? c. Where feasible, are work units used, and do they allow a reasonable margin or tolerance? d. Do standards truly reflect satisfactory performance? Are they attainable? Can they be exceeded? e. Will adequate performance as shown in the standards produce the required results? f. Do standards clearly reflect management’s requirements in terms of observance of rules and regulations and safety responsibilities? g. Do standards show how much and how well the technician is expected to do without using qualifying statements such as “knows,” “is able to,” “processes?” h. Are standards written so that unacceptable performance can be clearly identified and remedial action justified? i. Are standards written so that outstanding or excellent performance can be clearly distinguished from satisfactory performance and an incentive award nomination substantiated? j. Were all tasks and standards discussed with the technicians before arriving at a decision? Have the standards been discussed with the next level of supervision to insure that they are in line with other office or unit of the organization? k. Do standards for supervisory jobs reflect such required factors as leadership, decision making, planning and organizing, managing positions, selecting and assigning technicians, training/ developing subordinates, using incentives, maintaining technician management communications, administering constructive discipline, administering leave, and promoting safety? A-3. CONDUCTING THE APPRAISAL: 1. Performance Feedback: Supervisors should frequently praise and encourage technicians who are meeting objectives, and assist technicians who are not. Supervisors should never wait until the formal performance appraisal (end of rating period) to advise a technician that performance was not acceptable; the technician should be advised of a problem as soon as the supervisor is aware of one. Here are a few general rules for performance feedback sessions: 20
  24. 24. HRR 430 1 May 1998 a. Focus Discussion on Behavior Rather Than the Person: It is important that supervisors discuss the technician’s performance rather than the personal character of the technician. b. Focus Discussion on Observations Rather Than Opinions: Observations refer to what you can see or hear in the behavior of the technician (“You hesitated for several minutes before making your presentation” as compared to the opinion that “You don’t seem to know your subject”). Opinions and/or conclusions about a technician contaminate observations, thus clouding the feedback. When an opinion is offered, and it may be valuable to do this sometimes, it is important that it be identified as an opinion. c. Focus Discussion on What Was Done Rather Than Why It Was Done: When you relate the discussion to the “how,” “when,” or “what” was done, it is related to observable behavior. If you relate the discussion to why things were done, discussion goes from the observable to bringing up questions of motive or intent, which can lead to hard feelings. Supervisors should always give feedback based on the observed actions and not on the assumed intent. d. Focus Discussions on Behavior Related to a Specific Situation, Rather than the “Here and Now”: Everything people do is related in some way to time and place. Discussions will be most meaningful if you give the feedback as soon as the performance is observed and tie it to the specific situation observed. e. Focus Discussion on the Sharing of Ideas and Information : By sharing ideas and information, the supervisor leaves the technician free to decide how to use the ideas in light of his or her own objectives. On the other hand, when the supervisor gives advice, the technician is advised what to do with the information. In effect, the technician’s freedom to determine the right or appropriate course of action is taken away. If the technician is able to choose his or her own proper course of action (i.e., “ownership”), more commitment to achieving success will usually result. f. Focus Performance Appraisal Discussion at the Appropriate Time: Because receiving and using feedback may involve possible emotional reactions, it is important for the supervisor to be sensitive to the right time and place to give an evaluation. Excellent performance information given at an inappropriate time may do more harm than good. 2. Performance Appraisal Discussion: The goal of the performance appraisal discussion is a mutual understanding of actual performance results by the technician (in comparison with the supervisor’s expectations as stated in the established standards) and actions for future improvement. These include specific efforts to improve performance in areas of identified weakness, identification of training and developmental activities, both short-term and long- term, to remedy deficiencies and/or expand skills and knowledge for career growth, and review of job elements and performance standards to insure currency and to establish performance goals for the next year. There are four basic requirements for a successful performance appraisal discussion: 21
  25. 25. 1 May 1998 HRR 430 a. Adequate Preparation: This should be a natural result of the performance appraisal process and the establishment of a record of performance history throughout the appraisal period. b. Adequate Time: The discussion should be scheduled in advance, far enough ahead to enable the employee to be adequately prepared for the discussion. Also, there should be sufficient time allotted for the meeting so that an unhurried discussion can take place. Remember, the outcome of this meeting could be very important to the employee’s career. c. Privacy: The only persons present at the discussion should be the supervisor and the technician being rated. The supervisor should insure that there are no interruptions to the meeting. d. Objectivity: Clearly, no one is or can be absolutely objective, but the use of well- developed performance standards should greatly aid the supervisor in this regard. The greater the degree of objectivity in the appraisal, the greater the degree of acceptance by the technician. Knowledge of the performance objectives to be achieved and of current performance in comparison with desired performance objectives will enhance objectivity. 3. Accomplishing the Official Annual Performance Appraisal: The first step for the technician’s supervisor in accomplishing the official annual performance appraisal (rating) is to draft the information that will appear on the appraisal form (GA HRO Form 430-1). Next, it is a good idea for the supervisor to discuss the appraisal with the reviewer (next level supervisor) before discussing it with the technician. This will give the supervisor an opportunity to obtain input from the reviewer, who may have a different and broader perspective. This will provide a chance to settle any differences of opinion that may exist. Lastly, the supervisor should discuss the formal rating with the technician with the goals of arriving at a mutual understanding of supervisory expectations, the level of accomplishment attained by the employee, and future actions for improvement. At this point, the supervisor should have sufficient information to provide the finishing touches to the appraisal by completing GA HRO Form 430-1. Any comments listed on the appraisal form should accurately reflect the results of the technician’s performance and will be used to attain the final performance rating. 22
  26. 26. HRR 430 1 May 1998 APPENDIX B - GUIDELINES FOR APPRAISING SUPERVISORS AND MANAGERS ON THEIR PERFORMANCE IN EEO Performance standards for furthering equal employment opportunity will be appropriate to the technician’s position and should be stated in terms of visible affirmative efforts. Therefore, the following guidelines should be used when appraising managers and supervisors on their performance in EEO: 1. Has the manager / supervisor communicated to all subordinates in writing his/her commitment to EEO and what is expected from each member of the work force? 2. Has the manager / supervisor discussed the State EEO Affirmative Action Plan with subordinates and solicited recommendations for implementation, modification, or improvements? 3. What specific actions has the manager / supervisor taken to identify and eliminate barriers to the employment and advancement of minorities and women? 4. Does the managers/supervisors have a written plan, including goals and timetables, to address identified problem areas within his / her work force? 5. Has the manager/supervisor conducted a survey among the work force to identify those unused/underused mission-related skills that would qualify the technician for a higher level position or a position with known potential for advancement? 6. Does the manager / supervisor maintain a current file of the unused / underused skills among the work force? 7. Does a review of the managers/supervisor’s decisions relative to selection, training, and awards indicate that full consideration is being given to all employees, including minorities and women? 8. What actions has the manager / supervisor taken to provide upward mobility opportunities for eligible technicians in the work force? 9. Has the manager / supervisor insured that the complaints processing poster (NGB Form 713- 4) has been posted on the bulletin board? 10. What specific affirmative steps, including setting a personal example, has the manager / supervisor taken to assure the acceptance of all technicians, including minorities and women? 23
  27. 27. 1 May 1998 HRR 430 11. Does the manager/supervisor maintain records that show formal EEO training of all subordinate managers/supervisors including both initial and updated orientation? 12. Does the record indicate that the manager/supervisor assign like penalties for like offenses regardless of race, color, religion, sex, national origin, age, or other non-merit factors? 24
  28. 28. HRR 430 1 May 1998 APPENDIX C - SAMPLE LETTER AND FORMAT AND INSTRUCTIONS FOR COMPLETING FORMS This Appendix contains a sample notice of decision based on unacceptable performance and instruction for completing GA HRO Forms 430, 430-1 and 430-2. 25
  29. 29. 1 May 1998 HRR 430 C-1. SAMPLE NOTICE OF WRITTEN DECISION BASED ON UNACCEPTABLE PERFORMANCE Appropriate Letterhead SUBJECT: Decision to Remove/Reduce in Grade (Unacceptable Performance) TO: (Name, organization) 1. On 1 January 19XX, you and I established written performance standards and identified critical job elements for your position of aircraft mechanic, WG-0000-00. At that time, you signed GA HRO Form 430 indicating that you and I had discussed these standards and critical elements. 2. On 2 March 19XX, I informed you orally and in writing that your performance regarding critical element No. X was unacceptable because you had failed to (list here specific instances of unacceptable performance on which this action is based). On 16 March 19XX, I provided you with specific written instructions on how to improve your performance on this critical job element. 3. Despite counseling and on-the-job-training, your performance in this critical job element continues to be unacceptable. Therefore, effective on (date), you will be terminated from your employment as an aircraft mechanic. 4. During this notice period, you may answer this notice personally to me within ten (l0) workdays, or you may appeal the unacceptable performance appraisal to the State Review and Appeals Board. Should you answer to me or appeal to the board, you will be given a final determination within X days. 5. Unless your official performance appraisal of unacceptable is changed by me or the board, you will be terminated on the date shown in paragraph 3, unless an extension has been granted. (Signature and Identification) 26
  30. 30. HRR 430 1 May 1998 C-2. INSTRUCTIONS FOR COMPLETING GA HRO Forms 430, 430-1, AND 430-2 GA HRO Form 430 PERFORMANCE STANDARDS AND CRITICAL ELEMENTS FORM Blocks 1 through 4: Self-explanatory. Block 5: a. Enter the major job elements and the task/duty statements from the technician’s position description, mission/functional statements, or locally developed performance requirements. This information will describe how the major and critical job elements will be achieved. Identify critical elements with an asterisk. NOTE: Some jobs will not, in all cases, require a task/duty statement due to the nature of the job. In these situations, the job element listed will serve the same purpose. b. Enter the element value assigned to each job element. A total of 100 percentage points will be distributed among the job elements. As a minimum, 60% of these points must be allotted to the critical job elements. The remainder of the points is then distributed among the non-critical job elements. For example, if you listed 5 job elements, and element was identified as critical, this critical element would be awarded at least 60% of the 100 percentage points, and the remainder would be distributed among the other 4 elements. Using this same example, but you have identified elements 1 and 2 as being critical, you may decide that element 1 is more critical than element 2; therefore, you assign 35 points to element 1 and 25 points to element 2. The remainder of the 40 percentage points would be distributed among the other 3 elements. Block 6: Enter specific and separate expected performance standards for each of the supporting task/duty statements listed in Block 5. If a task/duty statement was not listed in Block 5, enter here the expected performance standard for the job element(s) listed. Block 7: After the expected performance standards have been recorded in Block 6, the supervisor (appraiser) and the technician will sign the form. The reviewer is only required to sign when there is a disagreement between the supervisor and the technician regarding the written standards and critical or major job elements, or when the technician refuses to sign. The technician’s signature on this form indicates only that he or she has discussed the performance standards and critical elements with the supervisor. It does not constitute agreement. The technician and the HRO are provided copies of this form at the time it is signed and dated. Blocks 8 and 9: Self-explanatory. 1. NAME 2. TITLE AND GRADE 3. ORGANIZATION 4. APPRAISAL PERIOD FROM: TO: 27
  31. 31. 1 May 1998 HRR 430 * Denotes critical job elements. 5. JOB ELEMENTS AND TASK/DUTY 6. EXPECTED PERFORMANCE STATNDARDS STATEMENTS ELEMENT # % GA HRO Form 430, MAY 98 PERFORMANCE STANDARDS AND CRITICAL ELEMENTS 28
  32. 32. HRR 430 1 May 1998 7. SIGNATURE: 8. TITLE 9. DATE APPRAISER: TECHNICIAN: REVIEWER: Technician’s signature on this form indicates only that the performance standards and critical job elements have been discussed with the supervisor. It does not constitute agreement with the established elements and standards. HRO Form 430, MAY 98 (Reverse) PERFORMANCE STANDARDS AND CRITICAL ELEMENTS 29
  33. 33. 1 May 1998 HRR 430 GA HRO FORM 430-1 PERFORMANCE APPRAISAL Blocks 1 through 5: Self-explanatory. Block 6: a. Enter the job element number and/or task/duty statement from block 5 of GA HRO Form 430. b. Enter the percentage value assigned to each job element. Block 7: Enter specific and separate expected performance standards for each of the supporting task/duty statements listed in Block 6. If a task/duty statement was not listed in Block 6, enter the expected performance standard for the job element(s) listed. Block 8: Place an X in the standards column that most accurately identifies the technician’s performance. Block 9: Check appropriate box. If retention is not recommended, furnish HRO with specific reasons why. Block 10: Enter here the overall rating of the technician’s performance. Block 11: The appraiser enters any additional information, comments, or recommendations. A comment is required for an element rating in which the technician does not meet the standard or when there is an overall rating of 1, 2, or 5. Block 12: The technician enters any comments or feedback concerning the appraisal. Block 13: The technician initials the applicable box. If the “No” block is initialed, the appraiser must attach a separate, written letter of explanation. Blocks 14 through 16: Self-explanatory. 30
  34. 34. HRR 430 1 May 1998 1. NAME 2. TITLE AND GRADE 3. ORGANIZATION 4. TYPE OF APPRAISAL 5. APPRAISAL PERIOD OFFICIAL DETAIL FROM: TO: 8. STANDARDS * Denotes critical job elements. Job element must be written exactly as shown on GA HRO Form 430. Comments must be submitted in bullet format. DOES NOT MEETS EXCEEDS MEET 6. JOB ELEMENTS AND TASK / DUTY 7. EXPECTED PERFORMANCE STANDARDS STATEMENTS ELEMENT # % GA HRO Form 430-1 , MAY 98 PERFORMANCE APPRAISAL 31
  35. 35. 1 May 1998 HRR 430 9. TRIAL/PROBATIONARY PERIOD RECOMMEND RETENTION DO NOT RECOMMEND RETENTION 1 2 3 4 5 10. OVERALL: UNACCEPTABLE MARGINAL SATISFACTORY EXCELLENT OUTSTANDING 11. APPRAISER’S COMMENTS: (Required for any “does not meet standards” or an overall rating of 1, 2 or 5) 12. TECHNICIAN’S COMMENTS: 13. RECEIVED QUARTERLY FEEDBACK? (Technician initial appropriate box) YES_______ NO _______ (A letter of explanation must be attached to this form) 14. SIGNATURE: 15. TITLE: 16. DATE: APPRAISER: TECHNICIAN: REVIEWER: GA HRO Form 430-1, MAY 98 (Reverse) PERFORMANCE APPRAISAL 32
  36. 36. HRR 430 1 May 1998 GA HRO FORM 430-2 QUARTERLY FEEDBACK Blocks 1 through 4: Self-explanatory. Block 5: Enter bullet statements to correspond with HRO FORM 430. Block 6: Place an X in the standards column that most accurately identifies the technician’s performance. Blocks 7, 9, 11, 13, 15, and 17: Enter bullet comments regarding appropriate attribute blocks. Comments are required for any “ does not meet standards “ responses. Blocks 8, 10, 12, 14 and 16: Place an X in the standards column that most accurately identifies the technician’s skills/qualities. Blocks 18 and 19: Appraiser and technician enter any comments they feel appropriate. Block 20 and 21: Self-explanatory. 33
  37. 37. 1 May 1998 HRR 430 1. NAME 2. TITLE AND GRADE 3. ORGANIZATION 4. FEEDBACK PERIOD - FROM: TO: 6. STANDARDS 5. JOB ELEMENTS (* Denotes critical element) DOES NOT MEET MEETS EXCEEDS #1. #2. #3. #4. #5. #6. #7. #8. #9. #10. 7. COMMENTS: ( Required for any “Does not meet standards” responses) 8. LEADERSHIP SKILLS DOES NOT MEET MEETS EXCEEDS Set and enforces standards Works well with others Fosters teamwork Displays initiative Confident in own ability 9. COMMENTS: 10. PROFESSIONAL QUALITIES DOES NOT MEET MEETS EXCEEDS Exhibits loyalty, discipline, dedication, integrity and honesty Adheres to established standards Accepts personal responsibility Is fair and objective 11. COMMENTS: GA HRO Form 430-2, MAY 98 PERFORMANCE FEEDBACK WORKSHEET 34
  38. 38. HRR 430 1 May 1998 12. PROFESSIONAL QUALITIES DOES NOT MEET MEETS EXCEEDS Demonstrates ability to plan Coordinates actions Schedules effectively Uses resources effectively and efficiently Meets suspenses 13. COMMENTS: 14. JUDGMENT AND DECISIONS DOES NOT MEET MEETS EXCEEDS Makes timely and accurate decisions Emphasizes logic in decision making Retains composure in stressful situations Recognizes opportunities Requires minimal supervision 15. COMMENTS: 16. COMMUNICATION SKILL DOES NOT MEET MEETS EXCEEDS Listening Speaking Writing 17. COMMENTS: 18. APPRAISER’S COMMENTS: 19. TECHNICIAN’S COMMENTS: 20. SIGNATURE: 21. DATE: APPRAISER: I certify receipt and understanding of this feedback. TECHNICIAN: GA HRO Form 430-2, MAY 98 (Reverse) PERFORMANCE FEEDBACK WORKSHEET 35
  39. 39. 1 May 1998 HRR 430 C-3. PERFORMANCE IMPROVEMENT PLAN (PIP) LETTER APPROPRIATE OFFICE SYMBOL Date MEMORANDUM FOR: SUBJECT: Performance Improvement Plan 1 . All elements of your Job Performance Standards were discussed with you on (date). Based on the information contained in paragraph 2 below, your performance in the following elements is unacceptable: a. Training - Critical Element b. Administration - Critical Element 2. Specific instances of unacceptable performance are as follows: a. Training. (1) Task/Duty Statement l(a)and l(b): The higher headquarters inspection conducted on 2-4 Nov 19XX resulted in the Operations Training Program and Academic Testing receiving Marginal and Unsatisfactory ratings, respectively. See Inspection Report, page B-1. (2) Task/Duty Statement 1(d): The report identified that of those members performing SUTS, minimal documentation could be located to indicate make-up of missed UTA academics or training. See Inspection Report, page B-1. (3) Task/Duty Statement l(e): On 22 Jan 19XX, you were performing as a Weapons Controller Technician. Your unfamiliarity with local procedures resulted in a potentially dangerous flying safety problem. As a result of your own unfamiliarity with local procedures, you were unable to ensure that the Operations Weapons personnel were thoroughly familiar with local procedures. b. Administration (1) Task/Duty Statement 2(a): Publications are not being posted in a timely manner. Documents are not always readily available. (2) Task/Duty Statement 2(b): Classified files are not up-to-date. These files contain outdated or improperly marked material. See Inspection Report 9-15 Aug XX, page B-2. 36
  40. 40. HRR 430 1 May 1998 (3) Task/Duty Statement 2(f): Operations reports are not being forwarded IAW existing directives; in particular, the Weapons and Tactics Semiannual Report and the Intelligence Quarterly Training Report, both of which were due in Dec 19XX. Even though guard members are the functional managers in some areas, you are specifically tasked by element 2(f) to prepare all operations reports. 3. The above paragraphs discuss specific deficiencies that contribute to your current unacceptable performance. You should perform the following to correct your performance deficiencies: a. Training: (1) Become a guiding force in the Operations Training Program. Identify major problem areas and correct them. Develop, implement, and maintain a viable Operations Training Program. Reference Task/Duty Statements 1(a) and 2(b). (2) Insure personnel performing SUTAs receive the proper training and it is documented. Reference Task/Duty Statement 1(d). (3) Insure you become thoroughly familiar with local procedures, to include all regulations. As a full-time technician, I expect you to be the most knowledgeable individual in the Operations Section and be able to provide guard members with the required information. Reference Task/Duty Statement 1(e). b. Administration: (1) Insure publications are expeditiously posted and/or filed within four workdays of receipt. Reference Task/Duty Statement 2(a). (2) Insure all classified publications are up-to-date and maintained as such. This includes, but is not limited to, filing, proper destruction, and proper marking. 4. All of the above items will assist you in becoming proficient and the expert in the Operations section a technician is expected to be. I will give you a reasonable opportunity period (specify date within 60 to 90 days) from the date of this letter for you to improve your performance to a acceptable level in critical elements 1 and 2. Failure to do so could result in an unacceptable performance rating and lead to your removal. 37
  41. 41. 1 May 1998 HRR 430 5. Should personal problems be contributing to your unacceptable performance, the Employee Assistance Program (EAP) is available to you for consultation and appropriate referral. If you should desire assistance with your problems, you should contact the State Program Coordinator at HRO. Signature of first level Supervisor I acknowledge receipt of this letter of unacceptable performance. __________________________________________ __________________ Signature of Technician and Date 38
  42. 42. HRR 430 1 May 1998 APPENDIX D - PERFORMANCE APPRAISAL PROCESS QUARTERLY FEEDBACK TIMETABLE BIRTH MONTH 1st FEEDBACK 2nd FEEDBACK 3rd FEEDBACK JANUARY APRIL JULY OCTOBER FEBRUARY MAY AUGUST NOVEMBER MARCH JUNE SEPTEMBER DECEMBER APRIL JULY OCTOBER JANUARY MAY AUGUST NOVEMBER FEBRUARY JUNE SEPTEMBER DECEMBER MARCH JULY OCTOBER JANUARY APRIL AUGUST NOVEMBER FEBRUARY MAY SEPTEMBER DECEMBER MARCH JUNE OCTOBER JANUARY APRIL JULY NOVEMBER FEBRUARY MAY AUGUST DECEMBER MARCH JUNE SEPTEMBER 39
  43. 43. 1 May 1998 HRR 430 APPENDIX E: TECHNICIAN APPRAISAL SYSTEM FLOW CHART Employee Appraisal Closes Last Day of Birth Month Supervisor Processes Justification for Non- and Forwards to HRO by Completion Provides 20th Day of Month After Suspense Date for Birth Month Completion Accomplished YES NO HRO Processes and PDS 30 Day Suspense Letter Input and File in to Selecting Official Employee Performance File YES Appraisal Submitted Appropriate Corrective Action Rendered 2ND 30 Day Notice Sent to Selecting Official NO Justification for Non- Compliance Sent to CG Air or Army YES Appraisal Submitted 3rd 30 Day Notice Received From CG Air NO or Army 40

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