1. NG Technician Performance Management
Missouri National Guard
Technician Supervisor Course

2. NGB Technician Performance Appraisal Program Regulation (TPR) 430,Effective 5 Nov 2009
Performance Management
Performance Appraisal Program Requirements
Performance Plan/Interim Review/Appraisal
Performance Application Tool (PAA)
Writing Effective Critical Elements
Writing Effective Self Assessments
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3. PERFORMANCE MANAGEMENT
A well-written performance plan is an effective management tool.
Allows the performance management system to work for you, the individual and the organization.
Gives you the ability to deal effectively with performance problems when they come up.
A well utilized performance plan facilitates the equal and fair management of all employees.
Ensures technician has clear understanding of critical elements and required standards for meeting successful mission.
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4. OBJECTIVE OF PERFORMANCE APPRAISAL PROGRAM
Meaningful and efficient method to evaluate the individual and organizational performance
Planning, monitoring, developing and evaluating performance
Indentify accountability for accomplishments
Encourage technicians employee involvement and to take responsibility to continuously improve performance, support team endeavors, develop professionally and perform at full potential
How do we accomplish this on the federal servant side for fulltime employees of the Missouri National Guard?
- By establishing expectations of the employee in writing with a Technician Performance Plan (TPP)
- Evaluating the technician’s work performance on a regular basis
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5. Performance Management
Five Rating Level Evaluation Method applied to other related regulations, including but not limited to:
Within Grade Increase
Incentive Awards
Reassignments
Reductions in Grade or Removals
Promotions
Reduction in Force
TPR 430, National Guard Technician Performance Appraisal Program:
Requires all States to comply with the new TPR 430, the Five Rating Level Evaluation Method
Appraisal Cycle: Annually 1 October – 30 September
New Terms: some examples –
PAA – Performance Appraisal Application Tool
Summary Level Pattern: 5 Levels (Level 1 = Unacceptable; thru Level 5 = Outstanding)
One Mandatory Interim Review: documented in the Performance Appraisal Application Tool
Mandatory Supervisory Critical Element
Close Out Assessments: Narrative assessment used in the final annual rating of record.
New NGB Form 430, Performance Appraisal: electronically generated in DCPDS, MyBiz/MyWorkplace
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6. Performance Appraisal Rating Period
Annual Appraisal Cycle: 1 Oct – 30 Sep
New Hire Technician has one year Trial/Probationary rating period from date of hire thru 365 days.
EXAMPLE: 12 Nov 2016 thru 11 Nov 2017
Next rating period 12 Nov 2017 thru 30 Sep 2018
Minimum period of performance is 120 days under an approved Performance Plan.
DoD M, SC430.AP Appraisal Periods ---SC430.AP Performance appraisal programs shall establish an official appraisal period during which performance shall be monitored and for which a rating of record shall be prepared. The programs shall generally designate appraisal periods so that employees shall be provided a rating of record on an annual basis. TPR 430, para 2-1 states: “The appraisal period will be on an annual basis with the appraisal year; normally October 1 through September 30 each year.” *States have the flexibility to establish another appraisal period after negotiating with their bargaining unit.
DoD M, SC430.AP Summary Level --- SC430.AP Each performance appraisal program shall provide a method for deriving and assigning a summary level from one, and only one, of the following patterns based on appraisal of performance on critical elements and, where applicable, non-critical elements
New Term:
PAA – Performance Appraisal Application Tool
Employee Self Assessment
Rating Official Assessment
Higher Level Reviewer
Critical Element is called Job Objective
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7. Performance Appraisal Rating Period
Periods during which an employee is in a non-pay status (leave without pay, absence without leave) do not apply toward the 120 day period.
Permanent, Indefinite and Term-Temporary technician only. Temporary technicians hired for days or less do not receive performance appraisals.
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8. Trail/Probationary Period
New Technicians are carefully observed and appraised during this period.
For retention beyond this period, the technician’s work performance must be minimal rating of Fully Successful (Level 3).
If retention is not recommended, supporting documentation must be forwarded to HR who will advise supervisors of appropriate action(s) to remove the technician from federal service.
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9. Trail/Probationary Period
Initiation of a written removal action may be effected any time during a trial/probationary period.
Recommend contacting HRO no later than the 9th month. If supervisors waits too late the technician cannot be removed for a performance less than fully successful.
Technician serving Trial/Probationary Period will not be given an official performance appraisal until after completing 12 months of service.
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10. Procedures for Technician on Detail or Temporary Promotion covering 120 days or more
Technician detailed or on temporary promotion to another position, either with the same or with a different supervisor, a written performance plan must be established for the position before the detail starts.
Gaining supervisor shall complete annual rating of record considering the closeout assessment of losing supervisor.
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11. Procedure for Detail or Temporary Promotion 120 days or less
Short term detail or temporary promotion the annual rating of record is completed by the supervisor/rater of permanent position.
Must consider the closeout assessment completed by the temporary supervisor.
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12. Postponement of Annual Rating of Record
Supervisor or technician is newly-assigned (less than days).
Technician has not been performing the regular assigned work because of extended detail or absence.
Technician is absent at the end of a rating period due to a work related injury.
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13. Postponement of Annual Rating of Record
If technician has not worked under an approved performance plan for at least 120 calendar days the Postponement should not be extended any longer than necessary to permit 120 calendar days under the performance plan.
If technician is deployed, technician’s last rating of record will be used for official purposes until the technician returns to duty and is observed for at least 120 calendar days under an approved performance plan.
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14. Performance Plan Align Performance Plan with Strategic Goals.
Performance expectation include goals or objectives that set general or specific targets at the individual, team and/or organizational level.
Organizational, occupational, or other work requirements, such as standard operating procedures, operating instructions, manuals, internal rules and directives, and/or other instructions that are generally applicable and available to the employee
Performance Plan should support and align with the DoD Mission and its strategic goals, organizational program and policy objectives,
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15. Performance Plan
Particular work assignments, responsibilities or other instructions may be used to amplify performance expectations.
Work assignments may specify the quality,
quantity, accuracy, timeliness, or other expected
characteristics of the completed assignment.
Position description, mission and goals are used to establish critical elements.
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16. Develop and Communicate Performance Plans
Communication between supervisor and employee is critical to the success of the performance management program.
Performance expectations and year-to-date process should be subject of discussions throughout the year. At least one documented interim review is required.
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17. Performance Plan
Performance expectations will be communicated to the employee in writing within 30 days from start of the rating period, entrance of duty of a new employee, or employee job change.
Each job objective has to be performed for 120 days before end of rating period.
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18. Performance Plan
Employees are always accountable for demonstrating professionalism and standards of appropriate conduct and behavior, such as civility and respect for others.
Performance expectations even if not stated as a critical element include general behavioral expectations for all employees as stated in the Standards of Ethical Conduct.
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19. Requirements for Critical Elements
Critical elements must be linked to the mission
Minimum of 2 critical elements and maximum of 10 critical elements; key responsibilities captured critical elements to define performance expectations
Mandatory Supervisory Critical Elements
Critical elements may be weighted by supervisor or the PAA system will weight equally
Communicate Expected Results
Focus on the results and contribution for the current rating period
Describe “what” the person will accomplish during that current rating period
Employee responsible for outcome
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20. Develop Critical Elements Using the SMART Format
SMART is a framework for developing (and evaluating) Critical Elements
Specific
Measurable
Aligned
Realistic/Relevant
Timed
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21. Performance Application Tool (PAA)
Web-based tool that supports the performance planning and appraisal process
Documented on automated NGB Form 430
Journal Page
Tracking System for NG Agency, NGB and DOD
Performance Plan
Interim Review
Performance Appraisal
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22. INTERIM REVIEW Completed by end of March every rating period.
Mandatory for Supervisor
Not mandatory for Employee but is highly encouraged by management.
Employee completes Interim Review Self assessment based on accomplishments, challenges, failures, etc. to First Line Supervisor.
Supervisor should remind employees to complete self assessment and set a suspense to get it completed and sent to you.
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23. Employee’s Self Assessment using the STAR Form
Situation: Describe the conditions under which you achieved your critical elements.
Task: Describe what you did during the year to create the results you achieved.
Action/Activity: Include additional activities you completed, or actions you took that contributed to your results.
Result: Describe what you accomplished.
Situation: Describe the conditions under which you achieved your critical elements.
What was the situation I faced?
Task: Describe what you did during the year to create the results you achieved.
What was/were my tasks in that situation?
Activity: Include additional activities you completed that contributed to your results.
What action(s) did I take? Remember the characteristics of significant assignments: Difficult, Controversial, One of a Kind, First Time, High Visibility, Large Volume of Work, Short Deadlines, Competing Priorities, Require Innovation, Scope and Impact
Result: Describe what you accomplished.
What result did my action produce?
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24. Weighting Critical Elements
Each critical element may be weighted to indicate importance and effort
Weighting is minimum 10% and increased in increments of 5%
At the end of the performance cycle, the percentages are multiplied to the individual objectives’ rating to produce the overall performance rating
If values aren’t entered, all critical elements are weighted equally
Critical Element 1 — 35%
Critical Element 2 — 20%
Critical Element 3 — 15%
Critical Element 4 — 15%
Critical Element 5 — 15%
Total Weighting = 100%
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25. Weighted Critical Elements
Employee 1 rating for each CE
Employee 2 rating for each CE
Weight
Employee 2 Rating after weighted.
Ex1
Rating
Adj. Rating 1 3
10.00%
0.30 2
25.00%
0.75
65.00%
1.95
3.00
100.00%
Ex2 4
10%
0.40
25%
0.50 5
65%
3.25
3.67
100%
4.15
Ex3
1.00
1.30
3.33
2.70
Ex4
2.67
2.35
Underwriters Laboratory: Will “Test a product until it breaks”:
This slide illustrates the advantages and disadvantages of weighting critical elements. Employees 1 and 2 have the same critical elements, and received the same rating for each element. The only difference is, Employee 2's critical elements were weighted.
If the rating is “X.50” the score stays at the same rating level. If the rating is “X.51” the score is adjusted up to the next rating level.
Example 1: Both employee receive a Level 3 rating
Example 2: Employee 1 = Adj. Level 4 rating/Employee 2 = Adj. Level 4 rating
Example 3: Employee 1 = Adj. Level 3 rating/Employee 2 = Adj. Level 3 rating
Example 4: Shows where an employee would be disadvantaged if their critical elements alone were weighted in comparison to their counterparts whose critical elements were not weighted.
Example 4: Employee 1 = Adj. Level 3 rating/Employee 2 = Adj. Level 2 rating
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26. Supervisors - Monitor Performance
For each technician:
Engage in dialogue concerning performance
Conduct one or more documented interim reviews
Maintain performance information
Update critical elements and performance standards if they change
Anticipate and address performance deficiancies
Reinforce effective behavior
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27. Supervisor Self Assessment
Must prepare a written assessment that captures the technicians accomplishments or lack there of, for each critical element.
Supports the appraisal rating that is given to each critical element.
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28. Performance Appraisal Rating
Summary Pattern: Level 1 thru Level 5
5 - Outstanding
4 - Excellent
3 - Fully Successful
2 - Marginal
1 - Unacceptable
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29. Properly Monitoring Performance
Marginal level 2 allows supervisor to deny within grade increase.
Level 1 rating of record does not need to be formally assigned to the employee in order to address performance deficiency
Reinforce strengths and correcting weaknesses
Encourage employees to seek professional and technical training opportunities to enhance the individual and organizational goals as appropriate
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30. Performance Deficiencies
Non-probationary period employee
Provide proactive assistance anytime throughout the rating period
For technician who is performing at or below the Level 2 – marginal rating.
Counseling, increased supervisory assistance, additional training etc.
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31. Performance Improvement Plan (PIP)
Contact HR for guidance
Technician advised in writing and placed on a formal Performance Improvement Plan (PIP)
Period of days
Provide document of instances of unacceptable performance and state specifically what must be accomplished to perform above the level 2 rating.
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32. Performance Improvement Plan (PIP)
Can refer to Employee Assistance Program (EAP)
a voluntary program.
If performance continues below level 2 rating in any one critical element, then technician is advised of reassigned, reduced in grade, or removed from employment.
Must give 30 day notice
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33. QUESTIONS?
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