Performance Management Training for Supervisors

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  • 1. Performance Management and Employee Recognition Training For Supervisors Revised August 2008
  • 2. Performance Management
  • 3. 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.
  • 4. Performance Management Components Rewarding Rating Developing Monitoring Planning
  • 5. 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
  • 6. What Is A Performance Appraisal?
    • A supervisory review and evaluation of an employee against an established set of performance standards
  • 7. 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
  • 8. Which Employees Receive Performance Appraisals?
    • Refer to the “Coverage” statement in the agency’s Policy and Procedure
  • 9. 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
  • 10. What Are The REE Performance Cycles?
    • October 1 through September 30
  • 11. 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
  • 12. 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
  • 13. 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
  • 14. Is There A Performance Plan Form?
    • AD-435A/B
    • Available in e-forms
  • 15. 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
  • 16. How Are Performance Plans Developed? (Step 1)
    • Review agency goals and objectives, and/or performance measures
  • 17. 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”
  • 18. 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
  • 19. How Are Performance Plans Developed? (Step 4)
    • Convert individual accomplishments to performance elements
    • Decide whether elements are critical or non-critical
  • 20. 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
  • 21. 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
  • 22. 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?
  • 23. 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
  • 24. 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
  • 25. 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
  • 26. 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”
  • 27. 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
  • 28. 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
  • 29. 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?
  • 30. 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?
  • 31. 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
  • 32. Generic Performance Plans
    • Some agencies have developed generic performance plans
    • In most cases, plans cannot be modified
    • Specific goals may be added
  • 33. 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
  • 34. 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
  • 35. 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
  • 36. 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
  • 37. 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
  • 38. 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)
  • 39. 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
  • 40. 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?
  • 41. 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
  • 42. 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
  • 43. What Is “Exceeds Fully Successful” Performance?
    • Performance which consistently exceeds the performance standard established for the “Fully Successful” level
  • 44. 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?
  • 45. When Can I Discuss A Rating With An Employee?
    • After Reviewing Official approval and signature has been received
  • 46. 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
  • 47. 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
  • 48. 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
  • 49. 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
  • 50. 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
  • 51. What Responsibilities Do Employees Have?
    • Participate in the establishment of their performance plan
    • Ensure an understanding of what is expected, ask questions
    • Communicate and cooperate with management in the rating process
    • Provide written accomplishments
    • Prepare for reviews
  • 52. Any Tips?
    • Be a coach and mentor, help your employees succeed
    • Ensure an understanding of expectations
    • Formally request written accomplishments
    • Give employees time to prepare for reviews
    • Make appointments for performance discussions
    • Consider facts/results, not personalities and other subjective factors
    • Remember…communication is KEY!
  • 53. Employee Recognition
  • 54. What Does It Mean To Reward?
    • Providing incentives to and recognizing employees, individually and as members of groups, for their performance and contributions to the agency’s mission.
  • 55. Where Can I Find Employee Recognition Guidance?
    • USDA Guide for Employee Recognition,
    • www.usda.gov/da/employ/recog.htm
    • Improved HRD website: www.afm.ars.usda.gov/hrd/awards/index.htm
  • 56. What Are The Principles Of Recognition?
    • Be fair and equitable in the distribution of awards
    • Recognize specific achievements
    • Involve co-workers and customers in recognition decisions
    • Provide timely recognition
  • 57. What Are The Principles Of Recognition ? (Continued)
    • Emphasize group recognition
    • Use non-monetary recognition
    • Publicly recognize employees
    • Publicize recognition
    • Budget for employee recognition locally
  • 58. Who Is Eligible To Receive Recognition?
    • All employees are eligible for most types of recognition
    • Non-Federal persons are not eligible for monetary awards
    • Retired or separated Federal employees are eligible if contribution was made while employed
  • 59. What Are The Forms Of Employee Recognition?
    • Monetary Awards
    • Non-Monetary Awards
    • Length of Service Awards
    • Suggestion Awards
    • Special Awards Programs
  • 60. Monetary and Non-Monetary Awards
    • Refer to: www.afm.ars.usda.gov/hrd/awards/files/table-monetary-non-montary.pdf
  • 61. Length of Service
    • Recognition given for length of Federal service
    • Certificates and pins are provided for 10, 20, 25, 30, 40+ years
    • NASS provides certificates only
    • Provided by HRD
  • 62. Suggestion Award Program
    • Recognition for improvement in the efficiency and economy of government operations
    • Evaluated by subject matter experts
    • May be adopted, referred for further study, or rejected
    • Monetary or non-monetary recognition is given to adopted suggestions
    • Performance and Awards Staff administers program and provides forms
  • 63. Special Award Programs
    • Organization specific
    • Agency specific
    • USDA
    • Government-wide
    • Public/Foundation Sponsored
    • Performance and Awards Staff announces most
  • 64. Who Can Nominate For An Award?
    • Supervisors
    • Co-workers or peers
    • Customers
    • Supervisory/Fund holder approval required
  • 65. How Is An Award Amount Determined ?
    • Follow the Value and Benefits scales in the USDA Guide for Employee Recognition
    • Follow org policy
    • Consider past practice within the org
  • 66. What Documentation Is Required?
    • AD-287-2
    • Two levels of approval on AD-287-2
    • Written justification for all monetary awards, QSIs, and Time Off awards
  • 67. For Assistance Please Call The Performance and Awards Staff!!
    • Casandra Butler, Section Head, 301-504-1470
    • Theresa Bailey, HR Specialist (Performance) 301-504-1452
    • Charlene Brown, HR Assistant, 301-504-1523
    • Chevon Gibson, HR Specialist (Awards), 301-504-1552
    • Mary Oxner, HR Specialist (Awards), 301-504-1368
    • Suzanne Suchecki, HR Assistant, 301-504-1465
    • Address: GWCC, 5601 Sunnyside Avenue, Room 3-1290,
    • Beltsville, MD 20705-5107