Employee Performance Management Training by lwg19947


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									 Performance Management and
 Employee Recognition Training
            For Non-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 agency’s mission
  and goals.

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Performance Management Components


      Rewarding                Monitoring

           Rating        Developing
Where Can I Find Performance Guidance?

• Agency Policy and Procedure (P&P) found:
• Improved HRD website:
• OPM Performance Management

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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?
  • It’s the law!
  • Basis for HR actions (WGIs, awards, QSIs,
    probationary determinations, training,
    reassignment, promotion, removal, RIF
  • 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
• Refer to the “Coverage” statement in the
  agency’s 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 Is The REE Performance Cycle?

• October 1 through September 30, all positions

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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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How Are Performance Plans Developed?
• Using:
   – Agency strategic plan or performance plan
   – National Program goals
   – work unit goals and objectives (i.e. CRIS goals)
   – major duties in the position description (PD)
   – established Agency policy
• Elements - Cascade org/unit goals to the individual
  accomplishment level and determine whether critical
  or non-critical
• Standards – Define appropriate measures for

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How Are Performance Plans Developed?

• Standards are described at the “Fully Successful”
• Standards measure work in terms of quality,
  quantity, timeliness, cost-effectiveness, and manner
  of performance
• Standards focus on results, outcomes, impact
• Standards should be clear, accurate, measurable,
  reasonable, attainable, challenging, fair/consistent
  within org, and exceedable

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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 employee’s overall performance is
• Not used to measure group performance,
  only work w/in the employee’s 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
• 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
• “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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            Why Use 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
• Need to be reasonable and attainable
• Need to monitor during cycle

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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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What If Employees Disagree With Their
         Performance Plan?
• Supervisors should consider the employee’s
• 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
• Initial AD-435A

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     How Is A Rating of Record Done?

• Use form AD-435P and NASS 435P
  available on eForms
• 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?

• Complete within agency, area and union
• Praise and reward employee for good
  performance and accomplishments
• Establish performance plan for next
  performance cycle

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Should Performance Be Monitored At Any
             Other Time?
• Supervisors should 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’s 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)

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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 it’s goals?

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How Are Accomplishment Reports Written?

 • 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

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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

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    What Is “Exceeds Fully Successful”
• Performance which consistently exceeds the
  performance standard established for the
  “Fully Successful” level

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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 P&P 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?

 • Deal with poor performance when noticed
   and before the end of a probationary period
 • Consult/Notify ER Specialist of poor
 • 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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            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 agency’s mission.

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Where Can I Find Employee Recognition
• USDA Guide for Employee Recognition,
• Improved HRD website:

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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 ?

•     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
• Non-Federal persons are not eligible for
  monetary awards
• Retired or separated Federal employees are
  eligible if contribution was made while

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          What Are The Forms Of Employee
•     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:

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             Length of Service

• Recognition given for length of Federal
• 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
• 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

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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 for Time Off Awards

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                      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

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