Performance Management and Employee Recognition Training

1. Performance Management and Employee Recognition Training For Non-Supervisors Revised August 2008

2. Performance Management

3. 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.

4. Performance Management Components

5. Where Can I Find Performance Guidance? • Agency Policy and Procedure (P&P) found:www.afm.ars.usda.gov/hrd/performance/pp-list.htm • Improved HRD website: www.afm.ars.usda.gov/hrd/performance/index.htm • OPM Performance Management Address: www.opm.gov/perform/index.htm

6. What Is A Performance Appraisal? • A supervisory review and evaluation of an employee against an established set of performance standards

7. Why Appraise Employees? • It’s 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

8. Which Employees Receive Performance Appraisals? • Refer to the “Coverage” statement in the agency’s Policy and Procedure

9. 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

10. What Is The REE Performance Cycle? • October 1 through September 30, all positions

11. 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

12. 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

13. 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

14. 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 elements

15. How Are Performance Plans Developed?(Con’t) • Standards are described at the “Fully Successful” level • 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

16. 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 unacceptable • Not used to measure group performance, only work w/in the employee’s control

17. 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

18. 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?

19. 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

20. 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

21. 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 aware • Need to be reasonable and attainable • Need to monitor during cycle

22. 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

23. What If Employees Disagree With Their Performance Plan? • Supervisors should consider the employee’s 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

24. 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

25. 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

26. 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

27. 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

28. 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)

29. 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

30. 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?

31. 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 organization’s policy (some require a description of how standard is exceeded) • Proof report

32. 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

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

34. 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

35. 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

36. 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

37. 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

38. 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

39. 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

40. Employee Recognition

41. 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.

42. 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/awards/index.htm

43. 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

44. What Are The Principles Of Recognition ?(Continued) • Emphasize group recognition • Use non-monetary recognition • Publicly recognize employees • Publicize recognition • Budget for employee recognition locally

45. 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

46. What Are The Forms Of Employee Recognition? • Monetary Awards • Non-Monetary Awards • Length of Service Awards • Suggestion Awards • Special Awards Programs

47. Monetary and Non-Monetary Awards • Refer to: www.afm.ars.usda.gov/hrd/awards/files/table-monetary-non-montary.pdf

48. 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

49. 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

50. Special Award Programs • Organization specific • Agency specific • USDA • Government-wide • Public/Foundation Sponsored • Performance and Awards Staff announces most