Presentation on theme: "Performance Management"— Presentation transcript:
1Performance Management The New JTF SystemDetermine the number of people that are providing advisory services to supervisors and employees, and under which system, TAPES or NSPS . Depending on the situation, you can emphasize the different sections in this module. There are 3 sections, Performance Management Overview, TAPES and NSPS. Since the first section is general in nature as far as performance management is concerned, it is appropriate no matter what system someone is under.Supervisor Session
2Law Regulation 5 USC 43 5 CFR Part 430 DoD 1400.25-M SC430 Point of the following references in the handouts section of the course binder and briefly discuss each one.Note: 5 USC 43 is not included in the binder.
3What is (or may be) NewThree Level Rating System: Excellent (5); Acceptable (3); Unacceptable (1)(Note math: 1,3,5, not 1,2,3)Ninety Day Minimum Appraisal SystemSummary Level Deviation – Can be rated Excellent even if one objective is rated Acceptable (with JTF Approval)
4What is Not NewSystem still governed by 5 USC 43 and 5 CFR Chapter 432Objectives/Plan in Place within 30 DaysNo Rating without PlanNo automatic rolloverArmy/Navy plans ended August 14thMidterm Appraisal still requiredTake action whenever employee is failing even if it’s a single objectivePerformance Appraisal Requirements driven by law, not Army/Navy policy; what was often referred to as army policy was usually legal requirementsNo rollover—Supervisor can reissue the same plan/objectives each yearBUT It is a myth that employees remained on prior Army/navy objectives until new plan is issued; a plan must be issued each year , and integration required new system
5Key Points No appraisal permitted without valid support form in place Minimum appraisal period is 90 calendar days (with support form in place)Two counseling sessions required - initial and mid-pointRating chain signs first – then employeeAR , Appendix 1, Para 1 (c), says…c. Extended rating periods. Rating periods are extended usually to allow a Ratee to work the minimum 120-day rating period in a position under an approved performance plan before being appraised. The following are some examples of situations in which a rating period might be extended. In these cases, a rating of record should be prepared as soon as the employee works for 120 days under an approved performance plan.(1) The Ratee was on long-term training in a classroom environment and did not work under an approved performance plan for 120 days by the end of the cyclic rating period.(2) The Ratee was on extended sick leave and did not complete 120 days of the cyclic rating period under an approved performance plan.(3) The Ratee is in a performance improvement period (PIP).(4) The Ratee is in a notice period for proposed disciplinary or adverse action based upon an offense that, if sustained, will have a direct impact on the performance appraisal.
6Key Points Discuss objectives with employees prior to issuance All objectives are critical; do not identify non- critical objectives.Level 3 rating required for Within Grade Increase (WIGI).Deny WIGI if failing (see slide 40)Point out to the students that the numerical system in TAPES is the opposite from NSPS.Be sure to point out that arriving at these overall ratings depends on the individual ratings and different formulas depending on whether the rated employee is in the Base or Senior System. The details can be found on page 2 of ARIn TAPESLevel 1 is SuccessfulLevel 2 is SuccessfulLevel 3 is SuccessfulLevel 4 is FairLevel 5 is UnsuccessfulIn NSPSLevel 5 is Role ModelLevel 4 is Exceeds ExpectationsLevel 3 is Valued PerformerLevel 2 is FairLevel 1 is Unacceptable
7Key Points No Forced Distribution of ratings (Quota) Encourage employee to do self appraisal at the middle and end of the rating cycleObjectives and Ratings based solely on performance –not conduct
8Annual Appraisal Period 1 October – 30 SeptemberReference - DA Pam , Chapter 4302
9Performance Management: Process APPRAISAL"Lousy" is a bit general...Let me tell you what I REALLY think of your work!!!
10Performance Management: Process by which managers, and supervisors link the planning, directing, and executing of work with civilian performance appraisal, pay, awards, and promotion.From AR Chapter 4302Performance management is the systematic process of integrating performance, pay, and awards systems to improve individual and organizational effectiveness in the accomplishment of Army mission and goals.While this is the definition in the AR, it really applies to any performance management system.
11Linkage Reduction-in-Force Promotions Compensation (WIGI's) RewardsLinkagePromotionsTraining/Career DevelopmentRemoval or Reduction in GradeFrom AR Chapter 4303, TAPES, Subchapter 2There is a linkage between Performance Management and numerous other programs.Although this is from the AR governing TAPES, the same holds true for NSPS employees in many cases.ReassignmentsRetention
12Why is Performance Evaluation so difficult to do? ...Involves the inherently subjective andinexact process of one human beingassessing the work accomplishmentof another...Discuss some of the issues that make it difficult. Supervisors have to remain fair and objective when it comes to performance evaluations!Biases and PrejudiceEvaluating the employee’s personality and traits instead of their actual job performance and contribution to the agency.Allowing personal feelings to affect employee’s ratings.The Halo Effect-When a supervisor has a bias towards a particular person because of a positive (perceived) trait which influences their perceptions about the individual.-Rewarding those with similar backgrounds and beliefs-Failing to see poor performance because of a strong history of god performanceThe Horns Effect-When a supervisor has a bias towards a particular person because of a negative (perceived) trait which influences their perceptions about the individual.-When an employee achieves satisfactory results but used a different method than what the supervisor does.Central Tendency-Avoiding extremes and lumping all the employees in the “middle of the road”. The whole workgroup may get the same rating, or nearly the same rating. The supervisor may not want “to make waves”.Recentness Effect-If an employees makes a great contribution, or makes a significant mistake, just before the end of the evaluation period, it can affect the entire rating period.Contrast ErrorEvaluating an employee against the performance of other employees, instead of against their particular performance standards.Leniency ErrorAssigning high ratings to everyone to avoid conflict.
13Why do we do it? Encourage peak performance Can’t afford to tolerate poor performanceleft unresolved –problem with awards, assignments, effects other employee’s moraleNot as hard as it looks
14Five Key Processes of Performance Management MonitoringMeasure performanceProvide feedbackConduct progress reviewRatingSummarize performanceAssign the end-of-yearrating of recordRewardingRecognize and rewardgood/outstandingperformanceDevelopingAddress poor performanceImprove goodPlanningSet goals/measuresEstablish/communicatePerformance expectationsLook familiar?Just like the current NSPS Performance Management Lifecycle which is Plan, Monitor, Develop, Rate and Reward.
15Stages in the ProcessMonth 1:Identify critical objectives for the coming year;Identify developmental/training needsIssue the PlanMonth 6:Mid-term AppraisalCourse corrections as needed
16Higher level approval before issuance Stages in the ProcessMonth 12:EvaluationsAwards as appropriateHigher level approval before issuance
17Performance Planning Establish a written performance plan: Identify and discuss standards/ objectivesThe performance plan requires higher-level approvalBasis for ongoing dialogue about performanceIdentify developmental needsPhase 1 is the Planning phase.Every eligible employee is issued a performance plan containing his or her performance expectations in the form of job objectives and associated contributing factors and weights. Performance plans are documented in the Performance Appraisal Application (PAA).An employee should receive his or her performance plan, and a full explanation of its components, within 30 days of the start of the rating cycle, start date (for new employees), or job change. These performance expectations need to be communicated to the employee in writing (i.e., via the PAA) prior to holding the employee accountable for them.The 30-day requirement may be extended up to an additional 60 days in extenuating circumstances (for example, responding to a hurricane or other type of natural disaster may take precedence). Such extensions do not affect or delay the payout effective date.The performance plan is subject to higher-level review to ensure consistency and fairness within and across organizations. The plan is considered to be approved after the higher-level review has occurred and after you have communicated the plan to the employee in writing.As a manager/supervisor, you must record the employee’s receipt of the performance plan and the manner in which it was communicated to the employee (for example, face-to-face or via the telephone) and the date it was communicated in the PAA.Employees can take part in developing their own job objectives. While you should engage your employees as much as possible in the process of setting expectations, it is ultimately your responsibility, and you will be held accountable for it.OctSepOctJanPlanningPlanning
18Performance Standards: (aka Expectations or Objectives) are the duties, responsibilities, and competencies required by, or objectives associated with, an employee’s position and the contributions and demonstrated competencies management expects of an employeeThis slide presents the general definition of performance expectations.These expectations are the overall things that management expects of an employee. In the next slide we will present some examples of what all can be included in performance expectations.Communication between employees and supervisors is critical to the success of the performance management system, and therefore performance expectations should be the subject of ongoing discussions between supervisors and employees (more on this later).
19Supervisor drafts standards Employee reviews and comments on standards Process for StandardsSupervisor drafts standardsEmployee reviews and comments on standardsSupervisor/employee discuss-clarifyMutual understanding of StandardSupervisor issues after Higher-Level review
20Performance Standards Yardstick for measurement –do not just repeat Position DescriptionShould be based on observable results—not knowledge or personal qualitiesWhere possible, use objective standards for quantifiable results—percentages, numbers, etc.Use subjective criteria for performance not subject to objective criteriaPerformance expectations are the basis on which specific job objectives are developed (discussed starting on the next slide), but actually go further than specific job objectives, in that they can include other things that may or may not be part of the job objectives.Note that work assignments or other instructions can be used to more clearly define what management expects – and that these assignments or instructions do not necessarily need to be in writing.Conduct and behavior that can be expected to affect the value of performance is part of management’s performance expectations. This is a change from our former personnel system, where conduct was always considered separate from performance issues. All Army managers, supervisors, and employees are expected to demonstrate professionalism and standards of appropriate conduct and behavior, including adherence to standards of ethical conduct.
21Writing Standards Written at the Acceptable level or level 3 Start with an action verbSpecify a single key result to be accomplishedSpecify a target date for accomplishmentBe as measurable, verifiable, realistic and attainable while still representing a challengeRelate directly to employee’s role and missionDraw a line of sight between the employee’s work, the work unit’s goals, and the organization’s successPerformance objectives/responsibilities describe the actual work elements to be performed during the current appraisal period. They describe a major job component upon which an employee is rated for success. Job objectives/responsibilities are descriptive and relate to what needs to be done. They should be written as clearly and objectively as possible and should be of such impact that failure to accomplish one or more of them could result in the employee's removal from the position. All job objectives/responsibilities in Total Army Performance Evaluations System (TAPES) are critical.
22Aligning Work to Mission Organization Vision, Mission and GoalsTeam Mission and GoalsIndividual PerformanceLeaders define the organization’s mission and strategic goalsCascaded to the work unit and employee objectivesCan also align work horizontallyObjectives draw a line of sight between the employee’s work, the work unit’s goals, and the organization’s successWhen work is aligned to the mission, from any perspective you choose, everyone is working together towards shared goalsAll work can be, and needs to be, related either directly or indirectly to meeting organization goals that contribute to mission accomplishment.To drive performance, managers/supervisors have to look at performance from a variety of perspectives—organizational, work unit, manager/supervisor, and employees.When work is aligned to organizational goals and mission, no matter which perspective you choose, everyone is working together towards shared goals.Organizational goals come from a variety of sources, including the organization’s mission statement (required by AR 10-1) and your organization’s strategic goals.Can anyone give me an example of one of your organization’s missions or goals?CHRA example: “Systematically plan and forecast to achieve the civilian workforce necessary to support the Army's mission.”If your organization can record the parts of the Army’s strategic plan that apply to you, and move down by level to the individual work units, this will go far toward achieving this alignment.Note: In addition to the vertical alignment (individual/team up and down to organizations, the entire Army, DoD), the performance management structure also helps attain horizontal alignment between organizations, individuals, and teams by the pay pool panel which looks from a higher level at the performance of these different units.There must be a clear nexus between the position description (grade-controlling duties) and the performance standard/objective.
23Realistic: Can be accomplished with the resources, personnel, and time Specific: regarding the result (not the activities to achieve that result)MMeasurable: quantity (how many), time (how long), quality (how good), resources (how much)AAligned: objectives draw a line of sight between the employee’s work, the work unit’s goal, and the organization’s missionRRealistic: Can be accomplished with the resources, personnel, and timeRelevant: Are important to the employee and to the organizationTTimed: There is a point in time when the objective will start, or when it will be completedSMART is an acronym that provides help in writing and evaluating job objectives.Specific means that an observable action, behavior, or achievement is described. It also can mean that the work links to a rate of performance, frequency, percentage, or other number. For some jobs, it may not be easy to be specific. However, to the extent possible and reasonable, encourage specificity, as it ensures that supervisors and employees share the same expectations. The objective should be specific about the result and not about the way in which it is achieved.Measurable (or observable or verifiable) means that a method or procedure must be in place to assess and record the behavior or action on which the objective focuses and the quality of the outcome. As not all work lends itself to measurability, objectives can be written in a way that focuses on observable or verifiable behavior or results, rather than on measurable results.Aligned draws a line of sight between objectives throughout the organization. Supervisors must have a clear understanding of their own job objectives before they can work with their employees to establish their job objectives.R has two meanings.Realistic means the achievement of an objective is something an employee or a team can do with the resources and personnel available and within the time available.Relevant implies it is important to the employee and the organization. It also requires meaningful distinctions between employees of different salaries. The level of responsibility expressed in the objective needs to be appropriate to the employee’s salary.Timed (or timely or time-bound) means there is a point in time when the objective will start or when it will be completed.
24Performance Standards/Objectives: Common Errors VagueDo not provide enough informationAbsoluteValid if reasonable and communicated in advance to the employeeSub-ElementsAll sub-element requirements need to be communicated to the employeeThe use of imprecise terms such as "usually" or "normally" do not automatically render a performance standard invalid, particularly when the standard is supplemented with supervisory instructions, memos, or other clarifying material. Baker v. Defense Logistics Agency, 782 F.2d 1579, 86 FMSRFailure to supplement a vague or incomplete performance standard with additional information can result in a determination that the standard was invalid. Smith v. Department of Veterans Affairs, 59 M.S.P.R. 340, 93 FMSRAn "absolute" performance standard is valid so long as it is reasonable, based on objective criteria, and communicated to the employee in advance. Guillebeau v. Department of the Navy, 104 LRP (Fed. Cir. 2004) dismissing Callaway v. Department of the Army, 23 M.S.P.R. 592, 84 FMSR 5870.An "absolute" performance standard is now subject to the same tests as all other performance standards.
25Resources for Job Objectives On-line training: iSuccessCovers writing effective job objectives and self-assessmentsInteractive format: While taking the course, you will develop actual job objectives that you can save and printSEE ALSOArmy Job Objective Writing Guideoverview.html, look for the Objective Samples link, contains sample job objectivesSuggest to the class that they send their supervisors to these online references to strengthen their skills in writing sound objectives.The success on-line training course referred to on the slide is an outstanding resource for both learning more about job objectives and self-assessments, and was a prerequisite for attending this course. It actually allows them to generate and save job objectives they can use when setting up their own, or their employees’ performance plans.
26The Performance Plan Conversation PURPOSESTo reach a joint understanding of performance expectations for the current (new) rating cycleTo explain the organization’s goals and to align employee objectives with these goalsTo establish timelines and measurement methodsTo identify developmental needsOUTCOMESPerformance planDevelopment planConversation notes, other relative documentationThe primary purpose of the Performance Plan conversation is to reach a joint understanding of performance expectations for the current (new) rating cycle.The primary outcome of the Performance Plan conversation is the employee’s initial performance plan.The Performance Plan conversation occurs in October each year, at the beginning of the new rating cycle.The Performance Plan is formally established in the automated Performance Appraisal Application tool.
27Performing, Monitoring, Developing Throughout the performance cycle:The employee is working toward accomplishing the established job objectivesThe supervisor is monitoring employee performance and providing assistance, feedback, and direction as neededBoth employee and supervisor are taking steps toward developing the employeeAt this point, we are entering the next phase of this lesson, which is the Monitoring Phase.The performance management process is ongoing throughout the entire cycle. Specifically during this part of the lesson, we will be discussing monitoring performance, employees documenting their performance, developing the employee, dealing with performance issues and the interim review.JanSepOct
28Documenting Performance Employees should complete a self-assessment at the end of the rating cycle – good practiceEmployees should also complete a self-assessment as part of the Interim Review process – good practiceTo facilitate completing the self-assessment, employees are encouraged to maintain a record of their performance throughout the appraisal periodWeekly Status ReportOutlook’s Task ListNotebookDuring the performance planning process, employees and supervisors should discuss and identify the best tools for maintaining these records.Discussion: Are there other common tools that would be useful in keeping track of accomplishments?We will talk more about keeping track of your accomplishments, and how to record and report them, later.
29Interim ReviewAn interim performance review is required at least once during the performance management cycleCheck on progress towards objectives, make necessary adjustmentsProvides an opportunity for feedback so the employee has the direction to achieve the objectivesThe purpose of this interim review is to ensure that employees are making progress towards job objectives and to make adjustments, if necessary.If employees have been engaged in ongoing communications with their supervisor, the interim review is another opportunity to ensure that expectations are leveled and that the employees are on the right track.As necessary, supervisors will meet with employees to make adjustments to ensure that their employees are able to achieve their job objectives.If there are performance issues, this is another opportunity to address concerns and establish a plan for ensuring that employees get back on track.JanSepOctInterim ReviewMarApr
30Interim Review Conversation PreparationEmployees should write a self-assessment (recommended)PurposesCheck progress toward achieving objectivesMake course corrections as neededProvide feedback so the employee has the direction needed to achieve objectivesOutcomesDocumented conversationAdjusted performance plan (if needed)It is very important that supervisors properly document any negative performance issues that may be of concern during this conversation. As stated below, address issues immediately and never wait until formal feedback is required by the system.The primary purposes of the Interim Review are to check the employee’s progress toward achieving his or her objectives, to acknowledge what is working, and to make course corrections as needed. These are the topics that should be covered during the mandatory interim review conversation.The employee should be ready to present examples of progress made toward achieving objectives, and to cite instances where his or her actions reflected those listed in the Benchmark Descriptors for the selected Contributing Factors. Though not required, employees are encouraged to write a self-assessment for the Interim Review. There is a place for it in the automated Performance Appraisal Application tool.The Interim Review is a good time for second line managers to monitor how the supervisors who report to them are doing with their supervisory responsibilities. If the supervisor is not doing well, provide feedback and support as needed to help the supervisor get back on track.If needed (e.g., if the organization’s mission has changed or priorities have shifted), the interim review is a good time to make adjustments to the performance plan. As we will see later, employees have to be working under their current job objectives for at least 90 days before getting an annual rating, so the mid-year point is a good point to make these kinds of changes.Reminder about performance deficiencies: If you are seeing performance problems with any of your employees, you need to address that immediately. Don’t wait for the interim review or any of the other formal performance conversations that are being discussed here.The interim review conversation is documented in the automated Performance Appraisal Application tool.
31Continuing Performance Discussions Recurring:Revisit performance expectationsCheck progressFormal or informalEstablish the relationship and ensure framework for the discussion is in placeEase the process in the event difficult conversation is requiredIn addition to the required performance conversations (what are they? – planning, interim review, and annual appraisal), ongoing performance discussions are also a big part of good performance management under any system.When conducting performance discussions, managers/supervisors need to keep in mind:Discussions should be recurring and ongoing.Discussions do not have to take a great deal of time.You need to understand how your employees want to communicate (some like formal conversations, some like brief meetings, some like ).Building good communications with your employees is critical - if you only speak with your employees about issues or problems, you will not be able to effectively address performance issues.
32Conducting the Performance Discussion Focus on the performance problem, not the personality or external issues.Always maintain a constructive tone along with a calm and professional demeanorAnticipate questions and be prepared to respond in a professional manner
33Conducting the Performance Discussion Clearly state performance expectations and seek confirmation that the employee understands.Remember that your goal is to improve the employee’s performance, not to win an argument
34Feedback Opportunities Feedback AimsTo reinforce positive behaviorTo acknowledge contributions and accomplishmentsTo anticipate difficultiesTo remedy shortfallsFeedback OpportunitiesIn the moment - When answering a question - When things go well (or not)On a schedule -Following completion of a project or task -During required Performance ConversationsFeedback aims to reinforce, to acknowledge, to anticipate, and to remedy.Opportunities for giving feedback – in the moment or on a schedule – are numerous.Feedback should be ongoing and meaningful.Emphasize that NSPS expects active and continuing communication between managers / supervisors and their employees to become the norm. Ongoing performance dialogue is part of good performance management.Also emphasize that if managers/supervisors regularly provide feedback, employees will likely view the experience of receiving feedback as positive.Under NSPS, performance management is a shared responsibility. Direct and open communication about all aspects of the employee’s job performance against specific goals, projects, and tasks helps both parties stay focused.Opportunities for giving meaningful feedback come up almost every day. For instance:When an employee asks a question, you might give constructive feedback.When an employee completes a task successfully, you might give positive feedback.
35Adjusting a Performance Plan Performance plans may be changed during the yearThe employee should have sufficient time before the end of cycle to work towards a new performance planBest practice: No changes in performance plan after mid-cycle reviewNo surprisesExpect change. Do not expect the performance plan to remain the same throughout the year, every year.Performance expectations should be reviewed regularly, and an employee’s performance plan should be adjusted as needed. Any changes to an employee’s performance plan should be discussed with the employee.Be sure to write any new job objective so it can be accomplished within the remaining time of an appraisal period. If the new expectation is likely to take longer than one appraisal period to complete, write the new objective so it includes only the portion that can be accomplished in the current period. Then, at the start of the next cycle, work the rest of the objective into the next performance plan.Job objectives, contributing factors, and weightings may be changed, together or separately.The employee must have sufficient time to make a contribution towards the new performance plan.Ideally, changes to the performance plan should not be made after the mid-cycle (interim) review. If there is only one Interim Review, this would be a suitable occasion.It is not acceptable to change the performance plan which leads an employee in one direction to another direction for the purpose of setting the employee up for failure.
36AwardsSubject to budget allocation, heads of JTF organizations can approve up to $5,000 for employee per year.Awards based on percent of pay guidanceExcellent 2.5% to 5%Acceptable 1% to 2.4%Awards Policy still to be issuedIncentive and On The Spot Awards are separate from Performance AwardsQuality Step Increase (QSI), Time Off, etc.These awards may fall into the Performance Awards Policy
37Taking Performance Based Action Go to CHRC whenever Employee is failing/strugglingTry Counseling / Training FirstThen Provide an Opportunity to Improve Period (PIP) with CHRC assistance(No do it yourself PIPs)
38Performance Improvement Plan (PIP) 5 USC 4302 (b)(6) An employee's right to a reasonable opportunity to improve is a substantive rightOne of the most important rightsBenefits both the employee and the agencyA PIP is usually daysKEY-Contact the CHRC whenever an employee is failing-DON’T WAIT
39Unacceptable Performance Initiate a Performance Improvement Plan (PIP) if:Performance is unacceptableCounseling/Training did not workDo not wait until end of the rating periodContact CHRC no later than midterm if employee is failingIf an employee fails one critical element, the Summary Rating is Failing, BUTYou must contact CHRC for PIP first
40Within Grade Increases (WIGI) If performance is failing, delay/deny WIGI pending result of the PIPWIGI should be delayed/denied when performance falls below Level 3—BUTWill be issued automatically unless the supervisor contacts the CHRC to initiate an actionSupervisor must contact CHRC at least 30 days in advance of WIGI due date to delay/denyIf employee passes PIP, supervisor must contact the CHRC to reinstate the WIGI
41Communicating Performance Expectations for Next Cycle Purpose: Set up and communicate performance expectations and job objectives for the coming yearDone in October when the performance cycle starts overNote that the new cycle begins before the former cycle completesCoverage:Discuss goals and expectations for the next periodHelp your employee improve his or her performanceSummarize the discussion and sign documentationThe purpose of this slide is to point out that performance management is part of a cycle – and that even while the rating and payout is being decided for the previous cycle, the next cycle has already begun (remember, a 12-month cycle and a 15-month process).Considering dates, the new performance plan conversation with employees should be held during October (the first 30 days of the new performance year).Keep in mind that at that time, the supervisor and the employee will not yet know the employee’s final rating, number of shares, etc., from the prior rating cycle.