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Performance Management and Performance Management and Employee Recognition TrainingEmployee Recognition Training

For Non-SupervisorsFor Non-SupervisorsRevised August 2008Revised August 2008

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Performance ManagementPerformance Management

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What Is Performance Management?What Is Performance Management?

• It is the systematic process by which an It is the systematic process by which an agency involves its employees, as agency involves its employees, as individuals and members of a group, in individuals and members of a group, in improving organizational effectiveness in improving organizational effectiveness in the accomplishment of an agency’s mission the accomplishment of an agency’s mission and goals.and goals.

Performance Management ComponentsPerformance Management Components

Rewarding

Rating Developing

Monitoring

Planning

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Where Can I Find Performance Guidance?Where Can I Find Performance Guidance?

• Agency Policy and Procedure (P&P) found:Agency Policy and Procedure (P&P) found: www.afm.ars.usda.gov/hrd/performance/pp-list.htwww.afm.ars.usda.gov/hrd/performance/pp-list.htmm

• Improved HRD website: Improved HRD website: www.afm.ars.usda.gov/hrd/performance/index.htmwww.afm.ars.usda.gov/hrd/performance/index.htm

• OPM Performance ManagementOPM Performance Management Address:Address: www.opm.gov/perform/index.htmwww.opm.gov/perform/index.htm

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What Is A Performance Appraisal?What Is A Performance Appraisal?

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

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Why Appraise Employees?Why Appraise Employees?

• It’s the law!It’s the law!• Basis for HR actions (WGIs, awards, QSIs, Basis for HR actions (WGIs, awards, QSIs,

probationary determinations, training, probationary determinations, training, reassignment, promotion, removal, RIF reassignment, promotion, removal, RIF placement)placement)

• To provide feedbackTo provide feedback• To modify or change behaviorTo modify or change behavior• To judge future job assignments and potentialTo judge future job assignments and potential• To improve organizational effectivenessTo improve organizational effectiveness

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Which Employees Receive Performance Which Employees Receive Performance Appraisals?Appraisals?

• Refer to the “Coverage” statement in the Refer to the “Coverage” statement in the agency’s Policy and Procedure agency’s Policy and Procedure

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How Often Is Performance Appraised?How Often Is Performance Appraised?

• Progress review is done mid-yearProgress review is done mid-year• Rating of record is done at the end of the Rating of record is done at the end of the

performance cycleperformance cycle• Informal feedback is provided Informal feedback is provided

continuously during the performance cyclecontinuously during the performance cycle

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What Is The REE Performance Cycle?What Is The REE Performance Cycle?

• October 1 through September 30, all positionsOctober 1 through September 30, all positions

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What Is The Minimum Appraisal Period?What Is The Minimum Appraisal Period?

• Plans should be in place for at least 90 Plans should be in place for at least 90 days to receive an annual rating of recorddays to receive an annual rating of record

• Plans should be extended to meet the Plans should be extended to meet the minimum appraisal periodminimum appraisal period

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What Is A Performance Plan?What Is A Performance Plan?

• Describes the specific tasks an employee is Describes the specific tasks an employee is expected to perform expected to perform and how well the tasks and how well the tasks must be accomplished to meet a desired must be accomplished to meet a desired level of performancelevel of performance

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When Are Performance Plans Established?When Are Performance Plans Established?

• Within 30 days of hire or position changeWithin 30 days of hire or position change• At the beginning of a rating cycleAt the beginning of a rating cycle• When modification or change is neededWhen modification or change is needed

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How Are Performance Plans Developed?How Are Performance Plans Developed?

• Using:Using:– Agency strategic plan or performance planAgency strategic plan or performance plan– National Program goalsNational Program goals– work unit goals and objectives (i.e. CRIS goals)work unit goals and objectives (i.e. CRIS goals)– major duties in the position description (PD)major duties in the position description (PD)– established Agency policyestablished Agency policy

• Elements - Cascade org/unit goals to the individual Elements - Cascade org/unit goals to the individual accomplishment level and determine whether critical accomplishment level and determine whether critical or non-criticalor non-critical

• Standards – Define appropriate measures for Standards – Define appropriate measures for elementselements

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How Are Performance Plans Developed?How Are Performance Plans Developed? (Con’t)(Con’t)

• Standards are described at the “Fully Successful” Standards are described at the “Fully Successful” levellevel

• Standards measure work in terms of quality, Standards measure work in terms of quality, quantity, timeliness, cost-effectiveness, and manner quantity, timeliness, cost-effectiveness, and manner of performanceof performance

• Standards focus on results, outcomes, impactStandards focus on results, outcomes, impact• Standards should be clear, accurate, measurable, Standards should be clear, accurate, measurable,

reasonable, attainable, challenging, fair/consistent reasonable, attainable, challenging, fair/consistent within org, and exceedablewithin org, and exceedable

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What Is A Critical Element?What Is A Critical Element?

• An assignment or responsibility so An assignment or responsibility so important that unacceptable performance in important that unacceptable performance in that element would result in a determination that element would result in a determination that the employee’s overall performance is that the employee’s overall performance is unacceptableunacceptable

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

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What Is A Non-Critical Element?What Is A Non-Critical Element?

• An aspect of individual, team, or An aspect of individual, team, or organizational performance exclusive of a organizational performance exclusive of a critical element, that is used in assigning a critical element, that is used in assigning a summary levelsummary level

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How Do I Determine Whether An Element How Do I Determine Whether An Element Should Be Critical?Should Be Critical?

• Consider:Consider:– Major component of the work?Major component of the work?– Address individual performance only?Address individual performance only?– Require a significant amount of time?Require a significant amount of time?– Consequences of performing unacceptably?Consequences of performing unacceptably?– Statutory/Regulatory requirements?Statutory/Regulatory requirements?

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Are There Required Elements?Are There Required Elements?

• Plans must include at least 3 but no more than 7 performance Plans must include at least 3 but no more than 7 performance elementselements

• At least one element must be non-criticalAt least one element must be non-critical• At least one critical element must focus on resultsAt least one critical element must focus on results• Supervisors must have a critical supervisory elementSupervisors must have a critical supervisory element• ““Official” supervisors must have a separate critical EEO/CR Official” supervisors must have a separate critical EEO/CR

elementelement• ““Official” supervisors must have measures or indicators of Official” supervisors must have measures or indicators of

employee and/or customer/stakeholder feedbackemployee and/or customer/stakeholder feedback• At least one element must align with Agency and/or Mission At least one element must align with Agency and/or Mission

Area goals and objectives. The performance plan must Area goals and objectives. The performance plan must include at least one performance element linked to the include at least one performance element linked to the strategic goals and objectives of the organizationstrategic goals and objectives of the organization

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Are There Required Elements?Are There Required Elements? (Continued)(Continued)

• Non-Supervisors must have EEO/CR Non-Supervisors must have EEO/CR objectives incorporated in to a new or objectives incorporated in to a new or existing critical elementexisting critical element

• Agency-wide Peer Review (OSQR) Agency-wide Peer Review (OSQR) objectives must be incorporated in objectives must be incorporated in

ARS Cat 1 and Cat 4 scientist plansARS Cat 1 and Cat 4 scientist plans• Health and safety elements should be used Health and safety elements should be used

where job relatedwhere job related

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Why Use Specific Goals?Why Use Specific Goals?

• Used to add clarity and specificity to Used to add clarity and specificity to performance standards, especially genericperformance standards, especially generic

• Tie back to org goalsTie back to org goals• Add to technical or mission critical elementsAdd to technical or mission critical elements• May or may not be synonymous with the May or may not be synonymous with the

“Fully Successful” standard – make employee “Fully Successful” standard – make employee awareaware

• Need to be reasonable and attainableNeed to be reasonable and attainable• Need to monitor during cycleNeed to monitor during cycle

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May Employees Develop Their Own Plan?May Employees Develop Their Own Plan?

• Employee/Supervisor develop plan togetherEmployee/Supervisor develop plan together• Employee draft plan and/or specific goalsEmployee draft plan and/or specific goals• Employee provide feedback on plan and/or Employee provide feedback on plan and/or

specific goalsspecific goals• Group of employees develop planGroup of employees develop plan• ButBut, final authority rests with the rating and , final authority rests with the rating and

reviewing officialreviewing official

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What If Employees Disagree With Their What If Employees Disagree With Their Performance Plan?Performance Plan?

• Supervisors should consider the employee’s Supervisors should consider the employee’s issueissue

• Employee must perform under planEmployee must perform under plan• Content and substance of performance plan is Content and substance of performance plan is

not grievablenot grievable• Signing the AD-435A does not mean an Signing the AD-435A does not mean an

employee agrees with planemployee agrees with plan

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How Is A Mid-Year Review Done?How Is A Mid-Year Review Done?

• Feedback should be specific - suggest Feedback should be specific - suggest element-by-element discussionelement-by-element discussion

• Verify accuracy of planVerify accuracy of plan• Discuss progress with goals/IDP and Discuss progress with goals/IDP and

adjust/update if necessaryadjust/update if necessary• Identify performance requiring corrective Identify performance requiring corrective

actionaction• Initial AD-435A Initial AD-435A

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How Is A Rating of Record Done?How Is A Rating of Record Done?

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

• Specific element-by-element discussionSpecific element-by-element discussion• Discuss accomplishment of goals/IDPDiscuss accomplishment of goals/IDP• Get appropriate organization concurrencesGet appropriate organization concurrences• Consult your ER Specialist for cases Consult your ER Specialist for cases

involving poor performanceinvolving poor performance

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How Is A Rating of Record Done? How Is A Rating of Record Done? (Continued)(Continued)

• Complete within agency, area and union Complete within agency, area and union timeframestimeframes

• Praise and reward employee for good Praise and reward employee for good performance and accomplishmentsperformance and accomplishments

• Establish performance plan for next Establish performance plan for next performance cycle performance cycle

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Should Performance Be Monitored At Any Should Performance Be Monitored At Any Other Time?Other Time?

• Supervisors should monitor and provide Supervisors should monitor and provide feedback often during the performance cycle feedback often during the performance cycle

• Performance should never be a surprisePerformance should never be a surprise• Discuss performance if and when it falls Discuss performance if and when it falls

below current ratingbelow current rating

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What’s Considered In A Rating Of Record ?What’s Considered In A Rating Of Record ?

• Supervisor’s own observations of performanceSupervisor’s own observations of performance• Feedback from customers, partners, co-Feedback from customers, partners, co-

workers, subordinates, etc.workers, subordinates, etc.• Employee written accomplishments Employee written accomplishments

(Supervisors should request)(Supervisors should request)

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Why Prepare Accomplishment Reports?Why Prepare Accomplishment Reports?

• Serves as a reminder to both the employee and Serves as a reminder to both the employee and supervisor of individual accomplishments supervisor of individual accomplishments during a performance cycleduring a performance cycle

• Used to develop and support appraisalsUsed to develop and support appraisals• Leads to a more objective, effective appraisal Leads to a more objective, effective appraisal

of performanceof performance

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How Are Accomplishment Reports Written?How Are Accomplishment Reports Written?

• Limit to 2 pages, if possibleLimit to 2 pages, if possible• Arrange by performance elementArrange by performance element• Describe the accomplishmentDescribe the accomplishment• Describe the impact, result or outcome of Describe the impact, result or outcome of

the accomplishmentthe accomplishment– Did it enhance a work process?Did it enhance a work process?– Did it have an impact on a customer?Did it have an impact on a customer?– Did it help the org achieve it’s goals?Did it help the org achieve it’s goals?

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How Are Accomplishment Reports Written?How Are Accomplishment Reports Written? (Continued)(Continued)

• Use your performance plan as a guide Use your performance plan as a guide • Use “I” statementsUse “I” statements• Use action verbsUse action verbs• Refer to activity/status reports, calendars, previous Refer to activity/status reports, calendars, previous

accomplishment reports, etc.accomplishment reports, etc.• Avoid laundry listsAvoid laundry lists• Follow your organization’s policy (some require a Follow your organization’s policy (some require a

description of how standard is exceeded)description of how standard is exceeded)• Proof reportProof report

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What Is “Fully Successful” Performance?What Is “Fully Successful” Performance?

• It is good performance!It is good performance!• The expected level of performance; work The expected level of performance; work

performed at this level is of good quality, the performed at this level is of good quality, the expected quantity, and is accomplished within expected quantity, and is accomplished within established deadlines or time framesestablished deadlines or time frames

• Supervisors should communicate this Supervisors should communicate this definitiondefinition

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What Is “Exceeds Fully Successful” What Is “Exceeds Fully Successful” Performance?Performance?

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

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What If Performance Is Marginal?What If Performance Is Marginal?

• Identify deficienciesIdentify deficiencies• Notify your ER SpecialistNotify your ER Specialist• Inform employeeInform employee• Consider closer supervision,on-the-job Consider closer supervision,on-the-job

training, formal training, mentoring, the training, formal training, mentoring, the Employee Assistance ProgramEmployee Assistance Program

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What If Performance Is Unacceptable?What If Performance Is Unacceptable?

• Identify deficienciesIdentify deficiencies• Notify your ER SpecialistNotify your ER Specialist• Inform the employeeInform the employee• Offer assistanceOffer assistance• Performance Improvement Plan (PIP)Performance Improvement Plan (PIP)• Failure to improve may result in further actionFailure to improve may result in further action

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Is A Rating Of Record Grievable?Is A Rating Of Record Grievable?

• Bargaining unit employees follow procedures in Bargaining unit employees follow procedures in the Labor Management agreementthe Labor Management agreement

• Non-bargaining unit employees and those Non-bargaining unit employees and those bargaining unit employees not covered under a bargaining unit employees not covered under a Labor Management agreement, follow the Labor Management agreement, follow the grievance procedures in P&P 463.2, grievance procedures in P&P 463.2, Administrative Grievance SystemAdministrative Grievance System

• Contact your ER SpecialistContact your ER Specialist

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What Responsibilities Do Supervisors Have?What Responsibilities Do Supervisors Have?

• Develop performance plans/specific goals Develop performance plans/specific goals with employee involvementwith employee involvement

• Communicate performance expectationsCommunicate performance expectations• Monitor and provide feedback during the yearMonitor and provide feedback during the year• Conduct mid-year reviews and annual ratings Conduct mid-year reviews and annual ratings

of recordof record

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What Responsibilities Do Supervisors Have?What Responsibilities Do Supervisors Have? (Continued)(Continued)

• Deal with poor performance when noticed Deal with poor performance when noticed and before the end of a probationary and before the end of a probationary periodperiod

• Consult/Notify ER Specialist of poor Consult/Notify ER Specialist of poor performanceperformance

• Praise and reward performancePraise and reward performance

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What Responsibilities Do Employees Have?What Responsibilities Do Employees Have?

• Participate in the establishment of their Participate in the establishment of their performance planperformance plan

• Ensure an understanding of what is expected, Ensure an understanding of what is expected, ask questionsask questions

• Communicate and cooperate with management Communicate and cooperate with management in the rating processin the rating process

• Provide written accomplishmentsProvide written accomplishments• Prepare for reviewsPrepare for reviews

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Employee RecognitionEmployee Recognition

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What Does It Mean To Reward?What Does It Mean To Reward?

• Providing incentives to and recognizing Providing incentives to and recognizing employees, individually and as members of employees, individually and as members of groups, for their performance and groups, for their performance and contributions to the agency’s mission.contributions to the agency’s mission.

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Where Can I Find Employee Recognition Where Can I Find Employee Recognition Guidance?Guidance?

• USDA Guide for Employee Recognition,USDA Guide for Employee Recognition, www.usda.gov/da/employ/recog.htmwww.usda.gov/da/employ/recog.htm• Improved HRD website: Improved HRD website:

www.afm.ars.usda.gov/hrd/awards/index.htmwww.afm.ars.usda.gov/hrd/awards/index.htm

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What Are The Principles Of Recognition?What Are The Principles Of Recognition?

• Be fair and equitable in the distribution Be fair and equitable in the distribution of awardsof awards

• Recognize specific achievementsRecognize specific achievements• Involve co-workers and customers in Involve co-workers and customers in

recognition decisionsrecognition decisions• Provide timely recognitionProvide timely recognition

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What Are The Principles Of Recognition ?What Are The Principles Of Recognition ? (Continued)(Continued)

• Emphasize group recognitionEmphasize group recognition• Use non-monetary recognitionUse non-monetary recognition• Publicly recognize employeesPublicly recognize employees• Publicize recognitionPublicize recognition• Budget for employee recognition locallyBudget for employee recognition locally

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Who Is Eligible To Receive Recognition?Who Is Eligible To Receive Recognition?

• All employees are eligible for most types of All employees are eligible for most types of recognitionrecognition

• Non-Federal persons are not eligible for Non-Federal persons are not eligible for monetary awardsmonetary awards

• Retired or separated Federal employees are Retired or separated Federal employees are eligible if contribution was made while eligible if contribution was made while employedemployed

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What Are The Forms Of Employee What Are The Forms Of Employee Recognition?Recognition?

• Monetary AwardsMonetary Awards• Non-Monetary AwardsNon-Monetary Awards• Length of Service AwardsLength of Service Awards• Suggestion AwardsSuggestion Awards• Special Awards ProgramsSpecial Awards Programs

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Monetary and Non-Monetary AwardsMonetary and Non-Monetary Awards

• Refer to: Refer to: www.afm.ars.usda.gov/hrd/awards/files/table-www.afm.ars.usda.gov/hrd/awards/files/table-

monetary-non-montary.pdfmonetary-non-montary.pdf

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Length of ServiceLength of Service

• Recognition given for length of Federal Recognition given for length of Federal serviceservice

• Certificates and pins are provided for 10, Certificates and pins are provided for 10, 20, 25, 30, 40+ years20, 25, 30, 40+ years

• NASS provides certificates onlyNASS provides certificates only• Provided by HRDProvided by HRD

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Suggestion Award ProgramSuggestion Award Program

• Recognition for improvement in the efficiency Recognition for improvement in the efficiency and economy of government operationsand economy of government operations

• Evaluated by subject matter expertsEvaluated by subject matter experts• May be adopted, referred for further study, or May be adopted, referred for further study, or

rejectedrejected• Monetary or non-monetary recognition is Monetary or non-monetary recognition is

given to adopted suggestionsgiven to adopted suggestions• Performance and Awards Staff administers Performance and Awards Staff administers

program and provides formsprogram and provides forms

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Special Award ProgramsSpecial Award Programs

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

mostmost

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Who Can Nominate For An Award?Who Can Nominate For An Award?

• SupervisorsSupervisors• Co-workers or peersCo-workers or peers• CustomersCustomers

• Supervisory/Fund holder approval requiredSupervisory/Fund holder approval required

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How Is An Award Amount Determined?How Is An Award Amount Determined?

• Follow the Value and Benefits scales in the Follow the Value and Benefits scales in the USDA Guide for Employee RecognitionUSDA Guide for Employee Recognition

• Follow org policyFollow org policy• Consider past practice within the orgConsider past practice within the org

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What Documentation Is Required?What Documentation Is Required?

• AD-287-2AD-287-2• Two levels of approval on AD-287-2Two levels of approval on AD-287-2• Written justification for all monetary Written justification for all monetary

awards, QSIs, and for Time Off Awardsawards, QSIs, and for Time Off Awards

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For AssistanceFor AssistancePlease Call The Performance and Awards Staff!!Please Call The Performance and Awards Staff!!

• Casandra Butler, Section Head, 301-504-1470Casandra Butler, Section Head, 301-504-1470• Theresa Bailey, HR Specialist (Performance) 301-504-1452Theresa Bailey, HR Specialist (Performance) 301-504-1452• Charlene Brown, HR Assistant, 301-504-1523Charlene Brown, HR Assistant, 301-504-1523• Chevon Gibson, HR Specialist (Awards), 301-504-1552Chevon Gibson, HR Specialist (Awards), 301-504-1552• Mary Oxner, HR Specialist (Awards), 301-504-1368Mary Oxner, HR Specialist (Awards), 301-504-1368• Suzanne Suchecki, HR Assistant, 301-504-1465Suzanne Suchecki, HR Assistant, 301-504-1465 Address: GWCC, 5601 Sunnyside Avenue, Room 3-1290, Address: GWCC, 5601 Sunnyside Avenue, Room 3-1290, Beltsville, MD 20705-5107Beltsville, MD 20705-5107