How to Write a Letter to Recommend an Employee for a Bonus

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					NSPS       DON INTERIM PERFORMANCE
             MANAGEMENT SYSTEM
Transition


                       &
     USMC REWARD RECOGNITION FRAMEWORK

       TRAINING FOR EMPLOYEES AND
              SUPERVISORS
New Policy
• DON distributed guidance on the
  Interim Performance Management
  System Policy (IPMS) 13 Sep 2010
     •   Covers non-bargaining unit
         appropriated fund civilian
         positions previously covered by
         NSPS (not Lab or AcqDemo).


• USMC Letter of Instruction was
  released on 16 Sep 2010

     •   Implements DON IPMS and
         publishes recognition
         framework to be used by
         USMC



Both documents can be found on
 the MPC-20 Transition Website             2
Two Processes
•   There are two separate processes involved
                                                                        Acceptable
     –   Rating
          •   Process performed by Employee, Rating Official (RO) and   Unacceptable
              Senior Rating Official (SRO)
          •   Assesses employees performance
          •   Ratings can only be “Acceptable” or “Unacceptable”


     –   Rewarding (Recognition Framework)
          •   Process performed by the Performance Award Review
              Board (PARB)
          •   Determines the contribution level of the employees
              overall performance on the goals/mission of the
              office/unit/command
          •   Recognizes performance through the use of cash awards
              and Quality Step Increases


Discussed in more detail later



                                                  3
                                  Monitoring
              Planning                &                   Rating           Rewarding
                                  Developing

 4 Phases of Performance Management
1) Planning                              3) Rating
   – Establishing Performance                  • Employee
     Plans                                         –Required written self assessment
       • Career Stages                         • Rating Official (RO)
       • Performance standards                     –Written assessment
       • Critical Elements                         –Evaluate critical elements against
2) Monitoring and Developing                        performance standards
                                                   –Rate each element “Acceptable” or
   – Progress Reviews
                                                    “Unacceptable”
       • Written assessments &
                                                   –Recommend rating of record to
         discussions
                                                    Senior Rating Official (SRO)
   – Establishment of                              –Recommend employee receive an
     Performance Award Review                       award
     Boards                                    • SRO
       • Number and level
                                                   –Approval and concurrence
       • Determine funding
                                                   –Rating of record
       • Publish business rules         4          –Award
 4 Phases of Performance Management
4) Rewarding
   – Performance Award Review Board
       • Composition
            – Board Chair
            – Members (knowledge of
              performance/contribution)
            – Board Administrator
       • Determine & assign Contribution
         Levels (CL)
       • Set starting percentages for
         contribution levels
       • Review and award Quality Step
         Increases (QSI)

                             Monitoring
         Planning                &         Rating   Rewarding
                             Developing
                                      5
                      How the process works
                     Monitoring
Planning                 &                        Rating                           Rewarding
                     Developing

                                                  Rate                     PARB
    Establish Plan    Progress Rvw            Performance                 Process              PARB Results


   RO determines     RO conduct a           Emp writes self-          DA sets up Tool          PARB sends
   position/emp to   progress rvw at        Assessment for            for use at PARB          result notification
   be E/J/E          mid-year point         each CE                                            to SRO/RO
                                                                      PARB meets
   RO creates CEs    Emp/RO written      RO write Assessment          NLT 45 days
   w/emp, signs &    assessments         and assigns individual       after end of
   fwds to SRO                           Ratings for each CE                                   Emp is notified
                                                                      appraisal period
                                                                                               of PARB results
                     RO documents                                                              NLT 75 days
   SRO approves/                            RO rec’d overall        PARB rvws overall          after end of
                     rvw on appraisal
   chgs CEs, signs                          Rating & states         perf contributions of      appraisal period
                     form
   & Rtns to RO                             if emp is rec’d         all eligible* emps &
                                            for award               assigns CLs
   RO rvws                                                          categories
   approved CEs,                         SRO rvws assessment,
                        Establish        overall rec’d rating and
   w/emp & emp                                                      PARB tool assigns
                         PARB
   signs ackw rcpt                       awd rec’n. Approves/       starting % to each CL
                                         chgs as appropriate.       group based on
                                                                    available funding
                     Command
                     establishes         SRO provides Final
                     PARBs/Mbrshp        rating back to RO          PARB rvws emps by
                                         once approved to be        CLs & chgs % as
                                         communicated back          appropriate for further
                     Command set
                                         to emp.                    perf distinction
                     funding for awds
                     & QSIs
                                         Emp sign ackw rcpt.        PARB determines
                                         Can grieve Rating,         potential candidates
                     PARB business
                                         but not award              for QSI based on perf
                     rules established
                                         recommendation.            & criteria

                                                                    PARB may then auth
                                                                    QSIs based on set
                                                        6           funding
                                                                           Timeframe




                                                                                       Sep
Oct




                                                                                             Oct




                                                                                                                  Nov




                                                                                                                                                      Dec
                                                               May
                                                                     Jun
                                                                           Jul
                                                                                 Aug
                        Nov
                              Dec
                                    Jan
                                            Feb
                                                  Mar
                                                         Apr




                                                                                                                                                                                  Jan
         30 days                                                                              15 days      15 days 15 days                  30 days
                                            Progress                                               Emp      RO          SRO    PARB
                                              Rvw




                                                                                                             Rate                    PARB
       Establish Plan                       Progress Rvw                                                 Performance                Process                 PARB Results


      RO determines                       RO conduct a                                                Emp writes self-          DA sets up Tool             PARB sends
      position/emp to                     progress rvw at                                             Assessment for            for use at PARB             result notification
      be E/J/E                            mid-year point                                              each CE                                               to SRO/RO
                                                                                                                                PARB meets
      RO creates CEs                      Emp/RO written                                            RO write Assessment         NLT 45 days
      w/emp, signs &                      assessments                                               and assigns individual      after end of
      fwds to SRO                                                                                   Ratings for each CE         appraisal period            Emp is notified
                                                                                                                                                            of PARB results
                                          RO documents                                                                                                      NLT 75 days
      SRO approves/                                                                                   RO rec’d overall        PARB rvws overall             after end of
                                          rvw on appraisal
      chgs CEs, signs                                                                                 Rating & states         perf contributions of         appraisal period
                                          form
      & Rtns to RO                                                                                    if emp is rec’d         all eligible* emps &
                                                                                                      for award               assigns CLs
                                                                                                                              categories
      RO rvws
      approved CEs,                                                                                SRO rvws assessment,
                                             Establish                                             overall rec’d rating and
      w/emp & emp                                                                                                             PARB tool assigns
                                              PARB
      signs ackw rcpt                                                                              awd rec’n. Approves/       starting % to each CL
                                                                                                   chgs as appropriate.       group based on
                                                                                                                              available funding
                                          Command
                                          establishes                                               SRO provides Final
                                          PARBs/Mbrshp                                              rating back to RO         PARB rvws emps by
                                                                                                    once approved to be       CLs & chgs % as
                                                                                                    communicated back         appropriate for further
                                          Command set
                                                                                                    to emp.                   perf distinction
                                          funding for awds
                                          & QSIs
                                                                                                    Emp sign ackw rcpt.       PARB determines
                                                                                                    Can grieve Rating,        potential candidates
                                          PARB business
                                                                                                    but not award             for QSI based on perf
                                          rules established
                                                                                                    recommendation.           & criteria

                                                                                                                              PARB may then auth
                                                                                              7                               QSIs based on set
                                                                                                                              funding
Establishing the Performance Plan
•   Rating Official (RO) determines the
    career stage

     – Entry, Journey, Expert
     – Normally based on grade and job
       progression pattern
         • Decision matrix in LOI
         • Definitions in DON Policy Appendix C




                                                      GS-0801-13
                                                  Career Stage: Expert
                                          8
Establishing the Performance Plan
                            • Complete Admin Data in
                              Part A
                            • Performance Standards
                              (PS) required in Part B are
                              aligned to the Career
                              Stage (CS) of the position
                                 • Only one CS per
                                   appraisal form
                                 • PS are in DON Policy
                                   Appendix C
                                 • Used to determine
                                   “Acceptable” &
                                   “Unacceptable”
                                   Performance on Critical
                                   Elements
                            • Copy PS from Appendix C
                              in to Part B
                                 • If supervisor, copy
                                   supervisory PS in
                  9                addition to entry, journey
                                   or expert PS
Establishing the Performance Plan
                          • RO develops Critical
                            Elements (CE) with employee
                              • Derived from work
                                assignment; aligned to
                                goals, mission, etc.
                              • Specific in nature;
                                understandable;
                                comprehensive
                              • SMART or other comparable
                                format used
                                    •Minimum of 2 CEs
                                    •Maximum of 5 CEs
                                    •Recommend 3-5 CEs


                              • If a supervisor, must have a
                                supervisory CE

                              • For specific position
                  10
                                requirements, refer to
                                Appendix E
 Establishing the Performance Plan
                                      • RO must certify if the PD is
                                        current and accurate
                                           • If not, take immediate
                                             steps to correct
                                      • RO signs and forwards to
                                        Senior Rating Official (SRO)
                                        for review & approval
                                      • SRO reviews/approves CEs
                                        and returns plan to RO
                                      • RO documents
                                        communication of approved
                                        plan with employee
Must be established within 30 days    • Employee signs
after the beginning of the cycle or     acknowledging performance
                                        plan
           new position
                            11
Progress Review

  •   Required at mid-year point
       – Written employee self assessments strongly encouraged
       – Written RO assessment mandatory

  •   How to write a self-assessment training
       – iSuccess Web Based Training
           • Uses STAR format (there are others, ORCA, SCRAM, etc.)
           •   http://www.cpms.osd.mil/nsps/iSuccess/index.htm?dlaunch=05_00_010




                                           12
Progress Review
                                             An employee must
•   RO will document review with the
    employee on the appraisal form           be notifed at any
     – SRO signature optional                point during the
•   Employee should sign acknowledging the   rating cycle should
    review                                   performance fall
                                             below
                                             “Acceptable”




                                   13
Establishing Performance Award Review
Boards (PARB)
•   Between April and August                     •   PARBs will identify the funding
    Commands will determine the                      percentages
    level and numbers of PARBs
                                                      – DoD has capped the funding
     – Identify membership                              level at 1% for transition year
                                                        for cash awards
     – Publish PARB business rules
       30 days prior to the end of the                – For all other years, DON has
       performance cycle                                set the funding at 1.25% of
                                                        basic salaries in the PARB for
     – Due to the late release of the                   cash awards
       DON policy, published business
       rules will take place at the              •   Commands may set an
       earliest opportunity but not later            additional percentage for the
       than 30 days from issuance of                 awarding of QSIs.
       the DON policy



                                            14
                                     Under certain circumstances a closeout rating
                                     may be required. Otherwise the annual rating
                                     will be performed at the end of the cycle.
Rate Performance
•   Process performed by the                    – Performance standards used to
    employee, RO and SRO                          evaluate acceptable and
                                                  unacceptable performance
     – Only two ratings                           found in appendix C of DON
         • Acceptable and Unacceptable            guidance
     – Employee required to provide a                • Distinguished by career stage
       written self-assessment for                   • Supervisory critical element
       each critical element.                          must be evaluated against the
         • Due 15 days after end of cycle              supervisory performance
                                                       standard
         • Commands may require a
           specific format (STAR, ORCA,         – New performance appraisal
           SCRAM, etc)                            form
     – RO required to consider                       • Old versions can continue to be
       employee self-assessment                        used if established prior to date
       when preparing written                          of USMC LOI
       assessment and individual                     • Performance appraisal form will
       critical element rating                         not record numerical scores
         • Due 30 days after end of cycle              associated with rewarding
         • Any individual rating of             – RO narrative assessment must
           “unacceptable” the entire rating       be able to justify recommended
           of record will be “unacceptable”
                                          15      rating of record to SRO
  Rate Performance
• Employee self-assessment
  required for every Critical
  Element

• RO assessment required for
  every Critical Element

• RO assessment must
  support rating assigned




  NO NUMERICAL SCORES!

                                16
Rate Performance
 – Each Critical element (CE)
   rating will populate in the
   rating of record section
 – RO will recommend overall
   rating of record
 – RO will recommend employee
   for an award and sign
 – SRO will indicate approval
   rating of record by signing
 – SRO will indicate concurrence
   with rating of record and award
   recommendation
                                     Mr. Doe is recommended for an award. RO
     • If not approved or non-
       concurred, SRO must           I concur with award recommendation for Mr. Doe. SRO
       document
                                       SRO must document here any reason for disapproval of rating of
 – Rating final when signed by         record or non-concurrence of award recommendation.
   SRO and can be
   communicated to employee
                                           17
PARB Process
• Board Administrator sets up            • Board members prepare for
  the PARB tool prior to                   PARB by reviewing
  convening                                performance of their
   – DCPDS data (Name, grade,              employees
     step, salary information)              – Make preliminary
   – Funding levels as                        contribution level
     established by DoD/DON/                  determinations
     USMC/Command                           – Potential candidate(s) for
   – Career stage information for             QSI
     employees assigned                  • Review business rules
   – Eligibility and
     recommendation




                                    18
PARB Process
• Board Chair                         – Facilitate review of
   – Convene PARB 45 days               performance and
     after end of cycle                 assignment of CLs per
                                        business rules
   – Ensure a shared
                                          • CL is assigned for overall
     understanding by all PARB
                                            performance and
     members regarding                      contribution; not by
     contribution level (CL)                individual critical elements
     descriptions




                                 19
    PARB Process
    • Award percentages                    • QSIs
        – The PARB tool will assign a         – Once CLs and percentages
          starting percentage for each          have been assigned
          CL based on the funding
          and number of employees             – Review eligible candidates
                                                for QSI
            • PARB can further
              distinguish employee            – Award QSI as appropriate
              performance and
                                                    • Ensure RO assessment
              contribution by manually
                                                      fully justifies any decision
              overriding tool
                                                      to award a QSI
            • CL 3 percentages will be
                                                    • Cannot exceed funding
              higher than CL2, and CL2
              percentages will be higher            • Commands may establish
              than CL1                                guidance that permits the
                                                      transfer of unspent QSI
                                                      funding to Bonus funding

DoD has established a 1% bonus ceiling for Transition year;
                               20
therefore, unspent QSI funding may not be transferred to bonus.
PARB Results
• PARB actions complete                     • Payout
                                               – Commands and HROs will
   – PARB tool will generate an                  process awards and QSIs in a
     employee notification form                  timely manner (usually prior to
                                                 January)
       • Identifies name of Board
         Chair and date PARB final          • Grievances
                                               – Determination concerning
   – Provides:
                                                 awards or QSIs are not
       • Assigned contribution level             grievable

       • Award Amount (if                   • Records Management
         applicable)                           – Final performance appraisal
                                                 forms and PARB results will be
       • QSI (if applicable)                     maintained in accordance with
                                                 command rules
                                               – It’s a best practice to maintain a
                                                 copy for your records.
                                       21
Course Summary
You have learned how to:
• Identify and explain the performance management phases in the
  Interim Performance Management System
• Identify the criteria and methods for developing and evaluating
  critical elements
• Describe the purpose of the progress review, factors considered at
  review, and how to conduct one
• Explain importance of closeout assessments and when they are to
  be conducted
• Understand the two separate and distinct processes: Rating and
  Rewarding
• Accurately complete the performance plan appraisal form
• Describe the USMC recognition framework
• Understand the importance of the Performance Awards Review
  Board, their duties, roles and responsiblities
Guides, Websites & Resources
•   DON Interim Performance Management System Policy, Sept 2010

•   USMC Letter of Instruction (LOI), Sept 2010

TRAINING

Writing a Self Assessment iSuccess Web

Performance Management: A tool to achieve results

GS 101

Official USMC MPC 20 Website

USMC NSPS Transition Help Desk

				
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