Performance Management and Employee Recognition Training

1
Performance Management and Employee Recognition
Training

• For Supervisors
• Revised August 2008

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Performance Management
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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
  agencys mission and goals.

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Performance Management Components
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Where Can I Find Performance Guidance?

• Agency Policy and Procedure (PP) found
  www.afm.ars.usda.gov/hrd/performance/pp-list.htm
• Improved HRD website www.afm.ars.usda.gov/hrd/pe
  rformance/index.htm
• OPM Performance Management
• Address
• www.opm.gov/perform/index.htm

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What Is A Performance Appraisal?

• A supervisory review and evaluation of an
  employee against an established set of
  performance standards

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Why Appraise Employees?

• Its 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

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Which Employees Receive Performance Appraisals?

• Refer to the Coverage statement in the agencys
  Policy and Procedure

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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

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What Are The REE Performance Cycles?

• October 1 through September 30

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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

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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

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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

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Is There A Performance Plan Form?

• AD-435A/B
• Available in e-forms

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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

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How Are Performance Plans Developed? (Step 1)

• Review agency goals and objectives, and/or
  performance measures

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How Are Performance Plans Developed? (Step 2)

• Cascade the agencys goals to the work unit
  level, i.e. determine the work units
  accomplishments that directly affect the agency
  goals
• These goals should appear in the alignment
  statement

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How Are Performance Plans Developed? (Step 3)

• Cascade the work units 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

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How Are Performance Plans Developed? (Step 4)

• Convert individual accomplishments to performance
  elements
• Decide whether elements are critical or
  non-critical

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What Is A Critical Element?

• An assignment or responsibility so important that
  unacceptable performance in that element would
  result in a determination that the employees
  overall performance is unacceptable
• Not used to measure group performance, only work
  w/in the employees control

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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

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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?

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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

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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

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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

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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

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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

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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

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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?

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How Are Performance Plans Developed? (Checklist
Contd)

• 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?

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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

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Generic Performance Plans

• Some agencies have developed generic performance
  plans
• In most cases, plans cannot be modified
• Specific goals may be added

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What If Employees Disagree With Their Performance
Plan?

• Consider the employees 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

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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

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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

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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

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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

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What Is Considered In A Rating Of Record?

• Supervisors own observations of performance
• Feedback from customers, partners, co-workers,
  subordinates, etc.
• Employee written accomplishments (Supervisors
  should request)

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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

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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 its goals?

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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 organizations policy (some require a
  description of how standard is exceeded)
• Proof report

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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

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What Is Exceeds Fully Successful Performance?

• Performance which consistently exceeds the
  performance standard established for the Fully
  Successful level

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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?

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When Can I Discuss A Rating With An Employee?

• After Reviewing Official approval and signature
  has been received

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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

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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

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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 PP 463.2, Administrative Grievance
  System
• Contact your ER Specialist

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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

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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

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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

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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
• Remembercommunication is KEY!

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Employee Recognition
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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
  agencys mission.

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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/awa
  rds/index.htm

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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

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What Are The Principles Of Recognition ?
(Continued)

• Emphasize group recognition
• Use non-monetary recognition
• Publicly recognize employees
• Publicize recognition
• Budget for employee recognition locally

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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

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What Are The Forms Of Employee Recognition?

• Monetary Awards
• Non-Monetary Awards
• Length of Service Awards
• Suggestion Awards
• Special Awards Programs

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Monetary and Non-Monetary Awards

• Refer to www.afm.ars.usda.gov/hrd/awards/files/
  table-monetary-non-montary.pdf

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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

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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

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Special Award Programs

• Organization specific
• Agency specific
• USDA
• Government-wide
• Public/Foundation Sponsored
• Performance and Awards Staff announces most

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Who Can Nominate For An Award?

• Supervisors
• Co-workers or peers
• Customers
• Supervisory/Fund holder approval required

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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

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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

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For AssistancePlease 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