Conducting Performance Appraisals
Objective <ul><li>The objective of this presentation is to provide ITA leaders with some key principles in conducting perf...
Determining Whether an Employee is Ratable <ul><li>An employee is  ratable  if he or she: </li></ul><ul><li>Worked at leas...
Interim Ratings…  <ul><li>When an Interim Rating Must be Completed: </li></ul><ul><li>After a detail, temporarily promotio...
Interim Ratings continued  <ul><li>Benefits of Interim Ratings: </li></ul><ul><li>To provide input from a departing superv...
Appraising Performance <ul><li>INPUT </li></ul><ul><li>Notes from progress reviews  </li></ul><ul><li>List of accomplishme...
The Appraisal Process  <ul><li>Supervisors and employees should start planning for the appraisal process approximately 30 ...
Pre-Appraisal Meeting  <ul><li>The purpose of the pre-appraisal meeting is to provide the employee an opportunity to meet ...
Drafting the Performance Appraisal <ul><li>After the pre appraisal meeting with the employee the Rating Official is prepar...
Level 3 Generic Performance Standards  from CD-430 Appendix A   <ul><li>Good, sound performance . </li></ul><ul><li>Qualit...
Level 4 Generic Performance Standards  from CD-430 Appendix A <ul><li>Unusually good performance .  </li></ul><ul><li>Work...
Level 5 Generic Performance Standards  from CD-430 Appendix A <ul><li>A level of  rare, high quality performance .  </li><...
Level 2 Generic Performance Standards  from CD-430 Appendix A <ul><li>Level of performance, while demonstrating  some posi...
Level 2 Generic Performance Standards  from CD-430 Appendix A <ul><li>Supervisor required to: </li></ul><ul><li>Contact Em...
Level 1 Generic Performance Standards  from CD-430 Appendix A   <ul><li>Quantity and quality of work are  not adequate  fo...
Level 1 Generic Performance Standards  from CD-430 Appendix A   <ul><li>Supervisor required to:  </li></ul><ul><li>If any ...
Performance Summary Rating  Performance  Element  Individual Weights  Element  Rating  (5, 4, 3, 2, 1)  Score  Customer Se...
Levels and Scoring Process  Level 5   470-500 Level 4   380-469 Level 3   290-379 Level 2 200-289 Level 1 100-199
The Performance Awards Process  Qualifying Summary Rating Ranges  Rating  Award Ranges (Percent of Base Pay Including Loca...
Rating/Approving Official meeting  <ul><li>After the Rating Official obtains the Approving Official’s signature on the per...
The Performance Appraisal Meeting  <ul><li>The formal performance appraisal meeting gives the Rating Official an opportuni...
If the employee is not satisfied with the Performance Appraisal  <ul><li>Informally: The employee provides written justifi...
Preparing for the New Performance Cycle  <ul><li>If you have a positive relationship with your subordinate, you can prepar...
Summary <ul><li>This presentation provided you with:  </li></ul><ul><li>How to determine whether an employee is ratable </...
Summary: DOC 5-Level Performance Management System  DOC 5-Level System Rating Officials must provide either an overall nar...
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ITA's Performance Management Process

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ITA's Performance Management Process

  1. 1. Conducting Performance Appraisals
  2. 2. Objective <ul><li>The objective of this presentation is to provide ITA leaders with some key principles in conducting performance appraisals using the Department’s 5-Level performance management system. </li></ul><ul><li>The information in this presentation includes: </li></ul><ul><li>How to determine whether an employee is ratable </li></ul><ul><li>Interim Ratings </li></ul><ul><li>Practical guidance on appraising performance </li></ul><ul><li>An overview of the performance appraisal process </li></ul>
  3. 3. Determining Whether an Employee is Ratable <ul><li>An employee is ratable if he or she: </li></ul><ul><li>Worked at least 120 days in one or more covered positions during the current performance rating cycle and </li></ul><ul><li>Occupied a covered position on the last day of the performance Rating cycle </li></ul><ul><li>An employee is not ratable if he or she: </li></ul><ul><li>Did not work at least 120 in one or more covered positions during the Rating cycle </li></ul><ul><li>Was placed on a Performance Improvement Plan (PIP) during the Rating cycle. </li></ul>
  4. 4. Interim Ratings… <ul><li>When an Interim Rating Must be Completed: </li></ul><ul><li>After a detail, temporarily promotion, or assignment which lasts at least 120 days </li></ul><ul><li>When an employee leaves a position after serving at least 120 days </li></ul><ul><li>When a supervisor leaves his/her position and an employee has been under a performance plan for 120 days </li></ul>
  5. 5. Interim Ratings continued <ul><li>Benefits of Interim Ratings: </li></ul><ul><li>To provide input from a departing supervisor to assist a new supervisor who is preparing a final Rating of record </li></ul><ul><li>To provide a final rating of record to an employee who changes positions during the last 120 days of the Rating period </li></ul><ul><li>To provide a final rating of record to an employee who moves more than once during the rating period </li></ul><ul><li>To provide appropriate performance credit for work performed on a detail or temporary promotion or assignment </li></ul>
  6. 6. Appraising Performance <ul><li>INPUT </li></ul><ul><li>Notes from progress reviews </li></ul><ul><li>List of accomplishments supplied by employee </li></ul><ul><li>Pre-appraisal meeting with employee </li></ul><ul><li>Approving Official’s signature on appraisal </li></ul><ul><li>OUTPUT </li></ul><ul><li>Completed Performance Appraisal </li></ul>
  7. 7. The Appraisal Process <ul><li>Supervisors and employees should start planning for the appraisal process approximately 30 days before the end of the performance appraisal cycle. </li></ul><ul><li>Both the employee and the supervisors have a role in the appraisal cycle. It is recommend that the supervisor: </li></ul><ul><li>Solicit a list of accomplishments aligned with critical elements and performance measures and metrics from the employee before writing the performance appraisal </li></ul><ul><li>Conduct a pre-appraisal meeting with the employee prior to the Rating Official presenting the appraisal to the Approving Official </li></ul>
  8. 8. Pre-Appraisal Meeting <ul><li>The purpose of the pre-appraisal meeting is to provide the employee an opportunity to meet with the Rating Official prior to the formal appraisal meeting. At this meeting, the employee may: </li></ul><ul><li>Present a self-assessment of his or her performance </li></ul><ul><li>Inform the Rating Official of aspects of the work of which the Rating Official may not be aware </li></ul>
  9. 9. Drafting the Performance Appraisal <ul><li>After the pre appraisal meeting with the employee the Rating Official is prepared to draft the employee’s performance appraisal and proposed award before they solicit final approval of the rating from the Approving Official. </li></ul>
  10. 10. Level 3 Generic Performance Standards from CD-430 Appendix A <ul><li>Good, sound performance . </li></ul><ul><li>Quality and quantity of work are those of a fully competent employee. </li></ul><ul><li>Performance level expected of the great majority of employees. </li></ul><ul><li>W ork product fully meet the requirements of the element. </li></ul><ul><li>W ork requires only minor revision . </li></ul><ul><li>Tasks are completed in an accurate, through and timely way. </li></ul><ul><li>T echnical skills and knowledge are applied effectively to specific job tasks. </li></ul><ul><li>Employee adheres to procedures and format requirements and follows necessary instructions from supervisors … </li></ul>
  11. 11. Level 4 Generic Performance Standards from CD-430 Appendix A <ul><li>Unusually good performance . </li></ul><ul><li>Work is consistently above average. </li></ul><ul><li>Work products rarely require even minor revision . </li></ul><ul><li>Thoroughness and accuracy of work are reliable . </li></ul><ul><li>Knowledge and skill the employee applies to this element are clearly above average, demonstrating problem-solving skills and insight into work methods and techniques . </li></ul><ul><li>Employee follows required procedures and supervisory guidance so as to take full advantage of existing systems for accomplishing the organization’s objectives … </li></ul>
  12. 12. Level 5 Generic Performance Standards from CD-430 Appendix A <ul><li>A level of rare, high quality performance . </li></ul><ul><li>The quantity and quality of the employee’s work substantially exceeds Level 3 standards and rarely leaves room for improvement . </li></ul><ul><li>Impact of the employee’s work is of such significance that organizational objectives were accomplished that otherwise would not have been . </li></ul><ul><li>Accuracy and thoroughness of the employee's work on this element are exceptionally reliable . </li></ul><ul><li>Application of technical knowledge and skills goes beyond that expected for the position. </li></ul><ul><li>Employee significantly improves the work processes and products for which he or she is responsible. </li></ul><ul><li>Thoughtful adherence to procedures and formats, as well as suggestions for improvement in these areas , increase the employee's usefulness … </li></ul>
  13. 13. Level 2 Generic Performance Standards from CD-430 Appendix A <ul><li>Level of performance, while demonstrating some positive contributions to the organization, shows notable deficiencies. </li></ul><ul><li>It is below the level expected for the position , and requires corrective action . </li></ul><ul><li>Quantity, quality or timeliness of the employee’s work is less than Level 3 , jeopardizing attainment of the element’s objective ... </li></ul>
  14. 14. Level 2 Generic Performance Standards from CD-430 Appendix A <ul><li>Supervisor required to: </li></ul><ul><li>Contact Employee Relations </li></ul><ul><li>Develop a Plan to bring employee to Level 3 </li></ul><ul><li>PIP may be necessary in the future </li></ul>
  15. 15. Level 1 Generic Performance Standards from CD-430 Appendix A <ul><li>Quantity and quality of work are not adequate for the position. </li></ul><ul><li>Work products fall short of the requirement of the element. </li></ul><ul><li>They arrive late or often require major revision because they are incomplete or inaccurate in content. </li></ul><ul><li>Employee fails to apply adequate technical knowledge to complete the work of this element. </li></ul><ul><li>Either the knowledge applied cannot produce the needed products , or it produces technically inadequate products or results . </li></ul><ul><li>Lack of adherence to required procedures, instructions, and formats contributes to inadequate work products ... </li></ul>
  16. 16. Level 1 Generic Performance Standards from CD-430 Appendix A <ul><li>Supervisor required to: </li></ul><ul><li>If any critical element Level 1, Level 1 overall evaluation </li></ul>
  17. 17. Performance Summary Rating Performance Element Individual Weights Element Rating (5, 4, 3, 2, 1) Score Customer Service 30 3 90 Professional Effectiveness 30 4 120 Program Management 40 4 160 370 Total Score
  18. 18. Levels and Scoring Process Level 5 470-500 Level 4 380-469 Level 3 290-379 Level 2 200-289 Level 1 100-199
  19. 19. The Performance Awards Process Qualifying Summary Rating Ranges Rating Award Ranges (Percent of Base Pay Including Locality Payments) 470-500 points Level 5 Up to 10 percent 380-460 points Level 4 Up to 6 percent 290-379 points Level 3 Up to 3 percent
  20. 20. Rating/Approving Official meeting <ul><li>After the Rating Official obtains the Approving Official’s signature on the performance appraisal and award (if any) the rater is free to conduct the performance appraisal meeting with their employee. </li></ul><ul><li>Only after obtaining this approval may the Rating Official conduct the formal Performance Appraisal meeting. </li></ul>
  21. 21. The Performance Appraisal Meeting <ul><li>The formal performance appraisal meeting gives the Rating Official an opportunity to communicate the final Rating to the employee. </li></ul><ul><li>The employee and the Rating Official sign and date the Performance Management Record </li></ul><ul><li>The Rating Official gives the employee a copy of the signed Rating. </li></ul><ul><li>Employees must be rated within 30 days of the end of the fiscal year. </li></ul>
  22. 22. If the employee is not satisfied with the Performance Appraisal <ul><li>Informally: The employee provides written justification to the supervisor on why they should be given a higher rating. </li></ul><ul><li>Formally: if the informal process doesn’t work they may file a grievance within 15 calendar days. </li></ul>
  23. 23. Preparing for the New Performance Cycle <ul><li>If you have a positive relationship with your subordinate, you can prepare the new performance plan at the same time that you complete the performance appraisal. </li></ul><ul><li>If the relationship is not positive, it would be wise to conduct the appraisal and planning steps at two different times. </li></ul><ul><li>New performance plans must be in place and signed by the approving official, rating official, and employee within 60 days of the beginning of the Fiscal Year. </li></ul>
  24. 24. Summary <ul><li>This presentation provided you with: </li></ul><ul><li>How to determine whether an employee is ratable </li></ul><ul><li>Guidance on Interim Ratings </li></ul><ul><li>An overview of performance appraisal and </li></ul><ul><li>Practical guidance on appraising performance </li></ul>
  25. 25. Summary: DOC 5-Level Performance Management System DOC 5-Level System Rating Officials must provide either an overall narrative justification of the summary Rating or a written justification for each element rated, and may do both. An element rated Level at Level 2 or 1 requires a written justification. Ratings are required when employee has spent 120 days in a position

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