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Performance Management Training for Supervisors


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Performance Management Training for Supervisors

  1. 1. Performance Management and Employee Recognition Training For Supervisors Revised August 2008
  2. 2. Performance Management
  3. 3. What Is Performance Management? <ul><li>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. </li></ul>
  4. 4. Performance Management Components Rewarding Rating Developing Monitoring Planning
  5. 5. Where Can I Find Performance Guidance? <ul><li>Agency Policy and Procedure (P&P) found: </li></ul><ul><li>Improved HRD website: </li></ul><ul><li>OPM Performance Management </li></ul><ul><li>Address: </li></ul><ul><li> </li></ul>
  6. 6. What Is A Performance Appraisal? <ul><li>A supervisory review and evaluation of an employee against an established set of performance standards </li></ul>
  7. 7. Why Appraise Employees? <ul><li>It’s the law! </li></ul><ul><li>Basis for HR actions (WGIs, awards, QSIs, probationary determinations, training, reassignment, promotion, removal, RIF placement) </li></ul><ul><li>To provide feedback </li></ul><ul><li>To modify or change behavior </li></ul><ul><li>To judge future job assignments and potential </li></ul><ul><li>To improve organizational effectiveness </li></ul>
  8. 8. Which Employees Receive Performance Appraisals? <ul><li>Refer to the “Coverage” statement in the agency’s Policy and Procedure </li></ul>
  9. 9. How Often Is Performance Appraised? <ul><li>Progress review is done mid-year </li></ul><ul><li>Rating of record is done at the end of the performance cycle </li></ul><ul><li>Informal feedback is provided continuously during the performance cycle </li></ul>
  10. 10. What Are The REE Performance Cycles? <ul><li>October 1 through September 30 </li></ul>
  11. 11. What Is The Minimum Appraisal Period? <ul><li>Plans should be in place for at least 90 days to receive an annual rating of record </li></ul><ul><li>Plans should be extended to meet the minimum appraisal period </li></ul>
  12. 12. What Is A Performance Plan? <ul><li>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 </li></ul>
  13. 13. When Are Performance Plans Established? <ul><li>Within 30 days of hire or position change </li></ul><ul><li>At the beginning of a rating cycle </li></ul><ul><li>When modification or change is needed </li></ul>
  14. 14. Is There A Performance Plan Form? <ul><li>AD-435A/B </li></ul><ul><li>Available in e-forms </li></ul>
  15. 15. How Are Performance Plans Developed? <ul><li>Using: </li></ul><ul><ul><li>Agency strategic plan or performance plan </li></ul></ul><ul><ul><li>National Program goals </li></ul></ul><ul><ul><li>work unit goals and objectives </li></ul></ul><ul><ul><li>major duties in the position description (PD) </li></ul></ul><ul><ul><li>established Agency policy </li></ul></ul>
  16. 16. How Are Performance Plans Developed? (Step 1) <ul><li>Review agency goals and objectives, and/or performance measures </li></ul>
  17. 17. How Are Performance Plans Developed? (Step 2) <ul><li>Cascade the agency’s goals to the work unit level, i.e. determine the work unit’s accomplishments that directly affect the agency’ goals </li></ul><ul><li>These goals should appear in the “alignment statement” </li></ul>
  18. 18. How Are Performance Plans Developed? (Step 3) <ul><li>Cascade the work unit’s goals to the individual employee level, i.e. determine individual accomplishments that support work unit goals </li></ul><ul><li>Individual accomplishments should be similar if not mimic the major duties in the PD </li></ul>
  19. 19. How Are Performance Plans Developed? (Step 4) <ul><li>Convert individual accomplishments to performance elements </li></ul><ul><li>Decide whether elements are critical or non-critical </li></ul>
  20. 20. What Is A Critical Element? <ul><li>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 </li></ul><ul><li>Not used to measure group performance, only work w/in the employee’s control </li></ul>
  21. 21. What Is A Non-Critical Element? <ul><li>An aspect of individual, team, or organizational performance exclusive of a critical element, that is used in assigning a summary level </li></ul>
  22. 22. How Do I Determine Whether An Element Should Be Critical? <ul><li>Consider: </li></ul><ul><ul><li>Major component of the work? </li></ul></ul><ul><ul><li>Address individual performance only? </li></ul></ul><ul><ul><li>Require a significant amount of time? </li></ul></ul><ul><ul><li>Consequences of performing unacceptably? </li></ul></ul><ul><ul><li>Statutory/Regulatory requirements? </li></ul></ul>
  23. 23. Are There Required Elements? <ul><li>Plans must include at least 3 but no more than 7 performance elements </li></ul><ul><li>At least one element must be non-critical </li></ul><ul><li>At least one critical element must focus on results </li></ul><ul><li>Supervisors must have a critical supervisory element </li></ul><ul><li>“ Official” supervisors must have a separate critical EEO/CR element </li></ul><ul><li>“ Official” supervisors must have measures or indicators of employee and/or customer/stakeholder feedback </li></ul><ul><li>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 </li></ul>
  24. 24. Are There Required Elements? (Continued) <ul><li>Non-Supervisors must have EEO/CR objectives incorporated in to a new or existing critical element </li></ul><ul><li>Agency-wide Peer Review (OSQR) objectives must be incorporated in </li></ul><ul><li>ARS Cat 1 and Cat 4 scientist plans </li></ul><ul><li>Health and safety elements should be used where job related </li></ul>
  25. 25. How Are Performance Plans Developed? (Step 5) <ul><li>For each element, think about which general measures are important, i.e. quality, quantity, timeliness, cost-effectiveness, or manner of performance </li></ul><ul><li>Determine how measures will be measured!! (i.e. numbers, observation, etc.) </li></ul><ul><li>Determine who will appraise the work and what factors they will look for </li></ul>
  26. 26. How Are Performance Plans Developed? (Step 6) <ul><li>Thinking of measures, develop the standard(s) for each element </li></ul><ul><li>Standards are described at the “Fully Successful” level </li></ul><ul><li>They focus on results, outcomes, impact </li></ul><ul><li>Think about what performance would look like above and below “Fully Successful” </li></ul>
  27. 27. How Are Performance Plans Developed? (Step 7) <ul><li>Determine what data to collect and the source of data for each performance element </li></ul><ul><li>Determine when to collect data </li></ul><ul><li>Consider data for mid-year reviews and for continuous feedback during cycle </li></ul>
  28. 28. How Are Performance Plans Developed? (Step 8) <ul><li>Add specific goals </li></ul><ul><li>Used to add clarity and specificity to performance standards, especially generic </li></ul><ul><li>Tie back to org goals </li></ul><ul><li>Add to technical or mission critical elements </li></ul><ul><li>May or may not be synonymous with the “Fully Successful” standard – make employee aware </li></ul><ul><li>Need to be reasonable and attainable </li></ul><ul><li>Need to monitor during cycle </li></ul>
  29. 29. How Are Performance Plans Developed? (Checklist) <ul><li>Are elements truly critical? </li></ul><ul><li>Are expectations clear, understandable, quantifiable, observable and/or verifiable? </li></ul><ul><li>Are standards reasonable and attainable? </li></ul><ul><li>Are standards challenging? Require effort? </li></ul><ul><li>Do the standards allow for some margin of error? </li></ul><ul><li>Are the standards fair? Comparable to others in like positions? </li></ul>
  30. 30. How Are Performance Plans Developed? (Checklist – Cont’d) <ul><li>Are standards applicable? Can they really be used to appraise performance? </li></ul><ul><li>Is data available to measure each standard and is it easily managed? </li></ul><ul><li>Are standards set too high? Can an employee exceed them? </li></ul>
  31. 31. May Employees Develop Their Own Plan? <ul><li>Employee/Supervisor develop plan together </li></ul><ul><li>Employee draft plan and/or specific goals </li></ul><ul><li>Employee provide feedback on plan and/or specific goals </li></ul><ul><li>Group of employees develop plan </li></ul><ul><li>But , final authority rests with the rating and reviewing official </li></ul>
  32. 32. Generic Performance Plans <ul><li>Some agencies have developed generic performance plans </li></ul><ul><li>In most cases, plans cannot be modified </li></ul><ul><li>Specific goals may be added </li></ul>
  33. 33. What If Employees Disagree With Their Performance Plan? <ul><li>Consider the employee’s issue </li></ul><ul><li>Employee must perform under plan </li></ul><ul><li>Content and substance of performance plan is not grievable </li></ul><ul><li>Signing the AD-435A does not mean an employee agrees with plan </li></ul>
  34. 34. How Is A Mid-Year Review Done? <ul><li>Feedback should be specific - suggest element-by-element discussion </li></ul><ul><li>Verify accuracy of plan </li></ul><ul><li>Discuss progress with goals/IDP and adjust/update if necessary </li></ul><ul><li>Identify performance requiring corrective action </li></ul><ul><li>Initial AD-435A </li></ul>
  35. 35. How Is A Rating of Record Done? <ul><li>Use form AD-435P and NASS-435P available on e-forms </li></ul><ul><li>Specific element-by-element discussion </li></ul><ul><li>Discuss accomplishment of goals/IDP </li></ul><ul><li>Get appropriate organization concurrences </li></ul><ul><li>Consult your ER Specialist for cases involving poor performance </li></ul>
  36. 36. How Is A Rating of Record Done? (Continued) <ul><li>Complete within agency, area and union timeframes </li></ul><ul><li>Praise and reward employee for good performance and accomplishments </li></ul><ul><li>Establish performance plan for next performance cycle </li></ul>
  37. 37. Should I Monitor Performance Any Other Time? <ul><li>Monitor and provide feedback often during the performance cycle </li></ul><ul><li>Performance should never be a surprise </li></ul><ul><li>Discuss performance if and when it falls below current rating </li></ul>
  38. 38. What Is Considered In A Rating Of Record? <ul><li>Supervisor’s own observations of performance </li></ul><ul><li>Feedback from customers, partners, co-workers, subordinates, etc. </li></ul><ul><li>Employee written accomplishments (Supervisors should request) </li></ul>
  39. 39. Why Prepare Accomplishment Reports? <ul><li>Serves as a reminder to both the employee and supervisor of individual accomplishments during a performance cycle </li></ul><ul><li>Used to develop and support appraisals </li></ul><ul><li>Leads to a more objective, effective appraisal of performance </li></ul>
  40. 40. How Are Accomplishment Reports Written? <ul><li>Limit to 2 pages, if possible </li></ul><ul><li>Arrange by performance element </li></ul><ul><li>Describe the accomplishment </li></ul><ul><li>Describe the impact, result or outcome of the accomplishment </li></ul><ul><ul><li>Did it enhance a work process? </li></ul></ul><ul><ul><li>Did it have an impact on a customer? </li></ul></ul><ul><ul><li>Did it help the org achieve it’s goals? </li></ul></ul>
  41. 41. How Are Accomplishment Reports Written? (Continued) <ul><li>Use your performance plan as a guide </li></ul><ul><li>Use “I” statements </li></ul><ul><li>Use action verbs </li></ul><ul><li>Refer to activity/status reports, calendars, previous accomplishment reports, etc. </li></ul><ul><li>Avoid laundry lists </li></ul><ul><li>Follow your organization’s policy (some require a description of how standard is exceeded) </li></ul><ul><li>Proof report </li></ul>
  42. 42. What Is “Fully Successful” Performance? <ul><li>It is good performance! </li></ul><ul><li>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 </li></ul><ul><li>Supervisors should communicate this definition </li></ul>
  43. 43. What Is “Exceeds Fully Successful” Performance? <ul><li>Performance which consistently exceeds the performance standard established for the “Fully Successful” level </li></ul>
  44. 44. What Is The Role Of The Reviewing Official? <ul><li>Reviews performance expectations </li></ul><ul><ul><li>Fair, equitable, reasonable, achievable, objective, consistent within the org? </li></ul></ul><ul><li>Reviews performance ratings </li></ul><ul><ul><li>Fair, objective, consistent within org? </li></ul></ul><ul><li>Reviews the distribution of awards </li></ul><ul><ul><li>Fair, objective, based on true accomplishments, value, consistent within org? </li></ul></ul>
  45. 45. When Can I Discuss A Rating With An Employee? <ul><li>After Reviewing Official approval and signature has been received </li></ul>
  46. 46. What If Performance Is Marginal? <ul><li>Identify deficiencies </li></ul><ul><li>Notify your ER Specialist </li></ul><ul><li>Inform employee </li></ul><ul><li>Consider closer supervision,on-the-job training, formal training, mentoring, the Employee Assistance Program </li></ul>
  47. 47. What If Performance Is Unacceptable? <ul><li>Identify deficiencies </li></ul><ul><li>Notify your ER Specialist </li></ul><ul><li>Inform the employee </li></ul><ul><li>Offer assistance </li></ul><ul><li>Performance Improvement Plan (PIP) </li></ul><ul><li>Failure to improve may result in further action </li></ul>
  48. 48. Is A Rating Of Record Grievable? <ul><li>Bargaining unit employees follow procedures in the Labor Management agreement </li></ul><ul><li>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 </li></ul><ul><li>Contact your ER Specialist </li></ul>
  49. 49. What Responsibilities Do Supervisors Have? <ul><li>Develop performance plans/specific goals with employee involvement </li></ul><ul><li>Communicate performance expectations </li></ul><ul><li>Monitor and provide feedback during the year </li></ul><ul><li>Conduct mid-year reviews and annual ratings of record </li></ul>
  50. 50. What Responsibilities Do Supervisors Have? (Continued) <ul><li>Deal with poor performance when noticed and before the end of a probationary period </li></ul><ul><li>Consult/Notify ER Specialist of poor performance </li></ul><ul><li>Praise and reward performance </li></ul>
  51. 51. What Responsibilities Do Employees Have? <ul><li>Participate in the establishment of their performance plan </li></ul><ul><li>Ensure an understanding of what is expected, ask questions </li></ul><ul><li>Communicate and cooperate with management in the rating process </li></ul><ul><li>Provide written accomplishments </li></ul><ul><li>Prepare for reviews </li></ul>
  52. 52. Any Tips? <ul><li>Be a coach and mentor, help your employees succeed </li></ul><ul><li>Ensure an understanding of expectations </li></ul><ul><li>Formally request written accomplishments </li></ul><ul><li>Give employees time to prepare for reviews </li></ul><ul><li>Make appointments for performance discussions </li></ul><ul><li>Consider facts/results, not personalities and other subjective factors </li></ul><ul><li>Remember…communication is KEY! </li></ul>
  53. 53. Employee Recognition
  54. 54. What Does It Mean To Reward? <ul><li>Providing incentives to and recognizing employees, individually and as members of groups, for their performance and contributions to the agency’s mission. </li></ul>
  55. 55. Where Can I Find Employee Recognition Guidance? <ul><li>USDA Guide for Employee Recognition, </li></ul><ul><li> </li></ul><ul><li>Improved HRD website: </li></ul>
  56. 56. What Are The Principles Of Recognition? <ul><li>Be fair and equitable in the distribution of awards </li></ul><ul><li>Recognize specific achievements </li></ul><ul><li>Involve co-workers and customers in recognition decisions </li></ul><ul><li>Provide timely recognition </li></ul>
  57. 57. What Are The Principles Of Recognition ? (Continued) <ul><li>Emphasize group recognition </li></ul><ul><li>Use non-monetary recognition </li></ul><ul><li>Publicly recognize employees </li></ul><ul><li>Publicize recognition </li></ul><ul><li>Budget for employee recognition locally </li></ul>
  58. 58. Who Is Eligible To Receive Recognition? <ul><li>All employees are eligible for most types of recognition </li></ul><ul><li>Non-Federal persons are not eligible for monetary awards </li></ul><ul><li>Retired or separated Federal employees are eligible if contribution was made while employed </li></ul>
  59. 59. What Are The Forms Of Employee Recognition? <ul><li>Monetary Awards </li></ul><ul><li>Non-Monetary Awards </li></ul><ul><li>Length of Service Awards </li></ul><ul><li>Suggestion Awards </li></ul><ul><li>Special Awards Programs </li></ul>
  60. 60. Monetary and Non-Monetary Awards <ul><li>Refer to: </li></ul>
  61. 61. Length of Service <ul><li>Recognition given for length of Federal service </li></ul><ul><li>Certificates and pins are provided for 10, 20, 25, 30, 40+ years </li></ul><ul><li>NASS provides certificates only </li></ul><ul><li>Provided by HRD </li></ul>
  62. 62. Suggestion Award Program <ul><li>Recognition for improvement in the efficiency and economy of government operations </li></ul><ul><li>Evaluated by subject matter experts </li></ul><ul><li>May be adopted, referred for further study, or rejected </li></ul><ul><li>Monetary or non-monetary recognition is given to adopted suggestions </li></ul><ul><li>Performance and Awards Staff administers program and provides forms </li></ul>
  63. 63. Special Award Programs <ul><li>Organization specific </li></ul><ul><li>Agency specific </li></ul><ul><li>USDA </li></ul><ul><li>Government-wide </li></ul><ul><li>Public/Foundation Sponsored </li></ul><ul><li>Performance and Awards Staff announces most </li></ul>
  64. 64. Who Can Nominate For An Award? <ul><li>Supervisors </li></ul><ul><li>Co-workers or peers </li></ul><ul><li>Customers </li></ul><ul><li>Supervisory/Fund holder approval required </li></ul>
  65. 65. How Is An Award Amount Determined ? <ul><li>Follow the Value and Benefits scales in the USDA Guide for Employee Recognition </li></ul><ul><li>Follow org policy </li></ul><ul><li>Consider past practice within the org </li></ul>
  66. 66. What Documentation Is Required? <ul><li>AD-287-2 </li></ul><ul><li>Two levels of approval on AD-287-2 </li></ul><ul><li>Written justification for all monetary awards, QSIs, and Time Off awards </li></ul>
  67. 67. For Assistance Please Call The Performance and Awards Staff!! <ul><li>Casandra Butler, Section Head, 301-504-1470 </li></ul><ul><li>Theresa Bailey, HR Specialist (Performance) 301-504-1452 </li></ul><ul><li>Charlene Brown, HR Assistant, 301-504-1523 </li></ul><ul><li>Chevon Gibson, HR Specialist (Awards), 301-504-1552 </li></ul><ul><li>Mary Oxner, HR Specialist (Awards), 301-504-1368 </li></ul><ul><li>Suzanne Suchecki, HR Assistant, 301-504-1465 </li></ul><ul><li>Address: GWCC, 5601 Sunnyside Avenue, Room 3-1290, </li></ul><ul><li>Beltsville, MD 20705-5107 </li></ul>