1. PERFORMANCE APPRAISAL AND PLANNING 2010-2011 Performance Cycle
Cheryl Rosanova
Lead HR Specialist
Performance Management
Office of Human Capital Management
Good morning, My name is Cheryl Rosanova and I am a Lead HR Specialist of Performance Management in the Office of Human Capital Management.

2. Agenda Performance Management Recap Who’s Covered
Performance Planning
Performance Monitoring
Performance Assessing
Who’s Covered
Overall Summary Rating Definitions
Reconsideration Guidance
Performance Awards Guidance
Important Dates
Next Performance Plan Year
Today we will be discussing, the Performance Management Cycle,
who’s covered,
the overall summary rating definitions,
guidance on reconsideration,
performance award guidance
Important dates
and getting ready for the next performance plan year.
There will be a Question and Answer period at the end of the presentation.

3. Performance Management Overview
Effective organizations:
Plan work and set
expectations
Monitor performance
Develop the capacity
to perform
Rate performance
Improve poor performance
Reward good performance
Plan
Monitor
Develop
Rate
Reward
I’m sure that you are familiar with the Performance Management Cycle. Supervisors are expected to plan the work and set realistic expectations; continually monitor performance; develop the capacity to perform; accurately rate the performance; improve the poor performers and reward the good performers.

4. Performance Key Timeframes
Within 30 days of EOD: New Employees must be given plans.
90 days: Minimum appraisal period (Time that an employee must be under a performance plan before a rating of record can be assigned.)
120 days: Minimum appraisal period (Time that an employee represented by GESTA or AFGE must be under a performance plan before a rating of record can be assigned.)
>90 days: Length of detail, or time in another position, requiring written input from detail (or previous) supervisor to permanent (or current) supervisor.
>60 days: Length of detail, or time in another position, requiring written input from detail (or previous) supervisor to permanent (or current) supervisor for an employee represented by GESTA or AFGE .
30 days: Minimum “opportunity to improve” period for an employee who fails to meet a critical element.
60 days: Minimum “opportunity to improve” period for an employee represented by GESTA who fails to meet a critical element.
Performance Key Timeframes:
As we approach the closeout of the cycle there are a couple of key take aways. First not everyone will receive a rating. Everyone should be placed on a plan within 30 days. In order for a plan to become a rating of record an employee must be under a performance plan for 90 days and 120 days for employees represented by GESTA or AFGE. When a rating of record cannot be prepared at the end of the appraisal period, the appraisal period shall be extended for the amount of time necessary to meet the minimum period at which time a Rating of Record shall be prepared
If you have an employee who is detailed or has spent time in another position greater that 90 days and 60 days for employees represented by GESTA or AFGE the current supervisor must require written input from the detail or previous supervisor.
If you have an employee who fails to meet a critical element 30 days is the minimum “opportunity to improve” period or 60 days for an employee represented by GESTA.

5. Performance Key Timeframes (con’t)
15 days: (after receipt of rating): Employee deadline to request reconsideration.
30 days: (after receipt of rating) Employee represented by GESTA deadline to request reconsideration.
At least once (generally at midpoint) in the cycle: Progress review .
After an employee received their rating, they have 15 days (30 for employees represented by GESTA) to request reconsideration. Every supervisor must have held at least one progress review which is generally at midpoint. This does not say that you can only have one. Performance Management should be a continuous conversation.

6. Performance Monitoring
Provide on-going, regular communications and constructive feedback.
Hold at least one progress review.
Make revisions to plan, if necessary.
Initial and date NASA Form 1762/1763 (supervisor and employee).
“Difficult conversations” about performance:
May occur at any stage of the appraisal process.
Must occur as soon as it is apparent an employee might be rated Fails to Meet Expectations on any critical element and at least 30 days or more before the end of the appraisal period.
When monitoring performance you should provide on-going, regular communications with constructive feedback by showing and expressing appreciation freely; making use of existing reporting requirements, reviewing past meetings, etc.
I’m sure that some of you have had difficult conversations or will be having difficult conversations. Just a reminder that difficult conversations can and should occur at any stage of the appraisal process; however they must occur as soon as it is apparent an employee might be rated Needs Improvement or Fails to meet Expectations on any critical element and it is at least 30 days or more before the end of the appraisal period.

7. Performance Monitoring (con’t)
Seek prior advice from the Office of Human Capital Management.
Options to Address Poor Performance
Oral Counseling
Issue Formal Performance Warning Letter
Establish Performance Improvement Plan (PIP), identifying:
Critical element(s) involved
How employee is failing to meet expectations
What must be done to meet expectations
How performance will be monitored (tag ups, etc.)
What assistance will be provided and by whom
Period of time to improve (minimum of 30 days)
EAP Information, if applicable
Prior to having a discussion about poor performance seek advice from the Office of Human Capital Management. Some options to address poor performance are oral counseling; issuing a formal performance warning letter; establishing a Performance Improvement Plan (PIP). When you establish a PIP you identify the critical elements involved; explain how the employee is failing to meet expectations; how performance will be monitored; what assistance will be provided and by whom; the timeframe.
As a supervisor you may have been made aware of an employee’s personal situation had communication been ongoing throughout the performance appraisal cycle. The employee assistance program can help you as a supervisor keep boundaries between an employee’s personal situation and their performance. For example, if an employee is going through a divorce; you want to be empathatic but you also have to hold them accountable for their performance.

8. Pre-rating Preparations
Verify rating and reviewing officials
Determine if all employees have plans on which they can be rated.
Review intra-Directorate process for review of Distinguished and Fails to Meet ratings.
Adhere to internal deadlines for:
Higher level review
Completion of all ratings
Completion of new plans
Award, QSI recommendations
Understand how award $ will be distributed within Directorate. Guidance will be forthcoming on Directorate award allocations.
As the end of the appraisal cycle approaches you should make sure verify that the rating and reviewing officials have been identified; ensure that all employees have plans in which they can be rated; review the process for the review of Distinguished and Fails to Meeting ratings; review internal deadlines; understand how the award money will be distributed within the Directorate. Guidance will be forthcoming on Directorate award allocations.l

9. Performance Assessment
Ratings must normally be completed within 30 days of the end of the appraisal cycle:
Offer employee opportunity to provide input.
Input should focus on elements and standards
Input should identify specific accomplishments/results
Gather information from other appropriate sources:
Team Leads, detail supervisors, customers, etc.
Rate each element
Write narrative summary. A summary rating must be supported by a narrative that is clear and justifies the rating assigned
At the end of the appraisal time when it is time to complete the performance rating which has to be completed within 30 days of the end of the appraisal; First offer employees the opportunity to provide input. The inputs should focus on the elements and the performance standards; gather additional information from other appropriate sources such as team leads, detail supervisors and customers. Then you are ready to rate each element.
The summary rating cannot be higher than the lowest element rating.
Next write the narrative summary. A narrative summary that documents the overall performance of the employee is required for all performance summary rating levels; it must clearly and completely justify the rationale for the performance summary level assigned. Cite results for each performance element and track to the performance standards.

10. Performance Assessment (con’t)
Send proposed Distinguished, Needs Improvement and Unacceptable ratings to higher level for approval.
All ratings of Needs Improvement need to be reviewed by OHCM prior to the rating being conveyed to the employee.
Supervisors should contact OHCM for assistance with performance improvement.
A performance summary rating of Distinguished, Needs Improvement, or Unacceptable ratings must be reviewed and approved by a higher level official (Reviewing Official).
A change from last year is that all ratings of Needs Improvement need to be reviewed by OHCM prior to the rating being conveyed to the employee. Therefore, please be sure to send them to me.
Supervisors should contact OHCM for assistance with performance improvement.

11. Performance Assessment (con’t)
An employee receiving either a Needs Improvement or Unacceptable rating is not eligible for a within grade increase or to telework until performance improves to Fully Successful.
Meet with employee to discuss:
Performance and accomplishments
Element and summary ratings
Areas for improvement (if applicable)
Training, development, growth opportunities
Employee signs for receipt of rating.
Keep original rating in EPF and give copy to employee.
Upload rating into NOPS.
An employee receiving either a Needs Improvement or Unacceptable rating is not eligible for a within grade increase or to telework until performance improves to Fully Successful and I repeat an employee receiving either a Needs Improvement or Unacceptable rating is not eligible for a within grade increase or to telework until performance improves to Fully Successful
After you complete the rating, get the appropriate reviews you are ready to meet with the employee to discuss performance accomplishments, element and summary ratings, areas for improvement (if applicable) and training, development, and growth opportunities.
Employee signs for receipt of the rating you keep the original in the EPF and give a copy to the employee. The rating must then be upload into NOPS.
Remember a signature does not constitute agreement . If an employee refuses to sign the rating just annotate that on the appraisal and provide a copy to the employee. Providing a copy to the employee starts the clock for reconsideration.

12. Who’s Covered
Rate all permanent, temporary, term, student educational employment program, and NASA excepted (NEX) appointment employees.
Detailed or Matrixed Employees
Detail/Matrix supervisors must provide written performance assessments to the supervisor of record when the detail is in excess of 90 days (60 days for employees represented by GESTA or AFGE ).
The written summary provided by the detail/matrix manager must be provided to the employee.
All permanent, temporary, term, student, and NASA excepted appointment employees shall be rated.
Detail/Matrix supervisors must provide written performance assessments to the supervisor of record when the detail is in excess of 90 days or 60 days for employees represented by GESTA or AFGE. The written summary must be provided to the employee.

13. Who’s Covered (con’t)
The rating official will summarize feedback provided from matrix assignments and details that are less than 90 days (60 days for employees represented by GESTA or AFGE) when the feedback has been relied upon to determine the performance rating.
The Rating Official should utilize NF /122 Addendum to identify individuals who provided performance feedback.
SES/ST/SL employees are not covered under this performance process.
You as a supervisor will summarize the feedback provided by the matrix/detail supervisor. Be sure to utilize the NF /122 Addendum to identify the individuals who provided the performance feedback.
SES/ST/SL employees are not covered under this performance process.
Students do not show up in NOPS, therefore, directorates should send their ratings directly to OHCM.

14. Overall Summary Rating Definitions
Performance when all elements are rated
Significantly Exceeds.
DISTINGUISHED
Performance when all elements are rated no lower than Exceeds Expectations.
ACCOMPLISHED
FULLY SUCCESFUL
To be rated distinguished all elements are rated Significantly Exceeds.
To be rated Needs Improvement any element is rated below Meets and no critical element is rated Fails to Meet.
When any critical element is rate Fails to Meet Expectations the overall summary rating is Unacceptable.
Performance when no element is rated below Meets Expectations.
Performance when any element is rated
below Meets and no critical element is rated Fails to Meet.
NEEDS IMPROVEMENT
UNACCEPTABLE
Performance when any critical element is rated Fails to Meet Expectations.

15. Performance Rating Disagreements
Reconsideration requests
An employee who disagrees with his/her rating of record may submit a request of reconsideration . Employee deadline to request reconsideration is 15 days or 30 days for employees represented by GESTA after receipt of
rating.
Employee will be given opportunity to present supporting information.
Rating (or Reviewing) Official must reconsider and issue a decision within a reasonable time (normally within 10 days).
An employee who disagrees with his/her rating may submit a request of reconsideration within 15 days or 30 days for employees represented by GESTA from date rating was received; as part of the reconsideration the employee will be given an opportunity to present supporting information; the rating or reviewing official must reconsider the rating and issue a decision within a reasonable time. Normally 10 days.

16. Performance Rating Disagreements
Grievances
EO Complaints
If an employee is dissatisfied with a reconsideration decision; they may file a grievance using the appropriate grievance procedure. Administrative Grievance Procedure for non-bargaining unit employees and the Negotiated Grievance Procedure for Bargaining unit employees.
EO complaints must be filed within 45 days of the event or of the date the employee became aware.

17. Performance Award Guidance
2011 Awards Percentages*
Distinguished: 2.1% to 3%
Accomplished: 1.1% to 2%
Fully Successful: 0 to 1%
*Note: Percentages provide greater flexibility to make meaningful rating
distinctions
Performance Rating-Based Awards
Cash
Time Off**
Combination of Cash and Time Off
**Note: A Time Off Award (TOA) cannot exceed 40 hours per achievement. Not more than 80 hours total TOA may be granted per leave year.
Incentive Awards – Performance Based Awards are given after the appraisal period and the percentage recommended is linked to an employee’s final rating.
The 2011 Award Percentages are the same as the 2010 Award Percentages. The percentages provide greater flexibility to make meaningful rating distinctions.
As stated earlier guidance will be forthcoming about Directorate Award Allocations.
Performance Based Awards can be given as cash, time-off or a combination. However, please note that a time off award cannot exceed 40 hours per achievement and not more than 80 hours total time off award may be granted per leave year.

18. Performance Award Guidance
Approval of Monetary Performance Awards
--“Directors Of” and Staff Offices:
All Individual cash awards up to $4,000 for GS and WG employees.
--Directors of may re-delegate any portion of these authorities down to any subordinate level for GS and WG employees.
--Center Director
All Individual cash awards $4,001 to $10,000 for General Schedule and Federal Wage System employees.
All Awards for SES/ST/SL** --
Director Of and Staff Offices can approve all cash awards up to $4,000 for GS and WG employees. This authority can be delegated down to any subordinate level for GS and WG employees only.
The Center Director can approve all cash awards $4,001 to $10,000 for GS and Wage Grade Employees

19. Performance Award Guidance
NASA Headquarters
All Individual cash awards that exceed $10,000.
**Before inputting any cash or time off award into the NASA Automated Awards System (NAAS) for SES/ST/SL employees a request for approval must be sent to Center Management (Rob Strain, Rick Obenschain, Christyl Johnson, and Nancy Abell) and OHCM (Crystal Gayhart and Cheryl Rosanova). The request should be about 2-3 sentences and justify the award to include the dollar amount or the number of hours.
All individual cash awards that exceed $10,000 have to be approved by NASA Headquarters.
Before inputting any cash or time off award into the NASA Automated Awards System (NAAS) for SES/ST/SL employees a request for approval must be sent to Center Management (Rob Strain, Rick Obenschain, Christyl Johnson, and Nancy Abell) and OHCM (Crystal Gayhart and Cheryl Rosanova). The request should be about 2-3 sentences and justify the award to include the dollar amount or the number of hours.

20. Performance Award Guidance
Approval of Time Off Performance Awards
Immediate supervisors
8-40 hours of time off for award based on performance rating of record for GS and WG employees.
This does not apply to time off awards for Special Acts.
Performance Awards (monetary, time off, and QSI’s) must be entered for processing NLT August 1, 2011.
TOA nominations for employees external to your organization must first be approved by the employee’s immediate supervisor. Once approved the immediate supervisor should be courtesy copied on the award via the awards database.
Immediate supervisors have the authority to approve Performance Time Off Awards of 8 – 40 hours for GS and WG employees.
Performance Awards (monetary, time-off and QSIs) must be entered for processing NLT August 1, 2011.
TOA nominations for employees external to your organization must first be approved by the employee’s immediate supervisor.

21. Performance Award Guidance
Processing Awards in NAAS
-- For employees rated “Distinguished”, “Accomplished”, or “Fully Successful” supervisors need only to state the following in the justification block in NAAS:
“This award is based on the performance rating of (insert rating summary level).”
The performance plan & appraisal, including the narrative justifying the summary rating should be retained in the Employee Performance Folder (EPF).
Once in NAAS, ensure you select the correct designation for Time Off Awards to indicate whether the award is based upon the performance appraisal rating or a Special Act.
When processing awards in NAAS , employees rated “Distinguished”, “Accomplished”, or “Fully Successful” supervisors need only to state the following in the justification block in NAAS: “This award is based on the performance rating of (insert rating summary level).”
Be sure that when you are processing Time Off Awards in NAAS that you are indicating whether the award is based on performance or a Special Act.

22. Performance Appraisal Close-Out Key Dates
TIMEFRAME
ACTIVITIES
April 25 – May 13
Performance appraisal cycle ends for the period.
Request employee’s list of accomplishments.
Request feedback from customers and matrix/detail supervisors.
May 16 – June 10
Prepare narrative summary and assign element and overall summary ratings. Complete and attach NF /122 – Addendum for matrix/detail feedback.
Hold appraisal discussions and ensure the performance appraisal form has been signed in all appropriate places.
NLT
June 17
Directorates upload ratings into NASA Org Profile Sys (NOPS)
( Ensure past ratings entered are correct.
June 30
Issue performance plans for
NLT July 8
Directorates provide copies of “Distinguished” supervisory performance appraisals and copies of “Needs Improvement” and “Unacceptable” performance appraisals for all employees to Cheryl Rosanova, OHCM, Code 115, Building 1, Room 141.
NLT Aug 1
Initiate all monetary, time off awards, and QSIs.
Here are some key dates for the performance cycle for your information. Directorates are to provide copies of Distinguished supervisory performance appraisals and copies of Needs Improvement and Unacceptable performance appraisals to me by July 8.

23. 2011-2012 Performance Rating Begin 2011-2012 performance cycle
Have performance plans in place by June 30, 2011.
Contact detail supervisors to ensure the performance plan form will accommodate evaluation of the work that will be performed while on detail. If necessary, add additional elements needed to assess performance.
Performance Elements & Standards
Designate elements critical or non-critical.
The Program/Project/Functional Objective element is a required, critical element.
Note: PPFO should link to Agency/Center/Directorate goals and objectives.
Once you have completed the Performance Ratings for the cycle it is time to begin planning for the performance cycle.
Performance plans for the new cycle need to be in place by June 30, Be sure to contact the supervisors of your detailed employees to ensure that the performance plan will accommodate evaluation of the work that will be performed while on detail. Add any additional elements needed to assess performance.
Designate the elements as critical or non-critical and remember that the Program/Project/Functional Objective element is a required critical element and should link to Agency/Center/Directorate goals and objectives. Keep in mind that if you identify an element as non-critical that element cannot be used as a basis for an overall rating of Fails to Meet.

24. Creating Performance Standards
Define expectations at Meets performance level: Specify the range of position competencies, skill set, and expectations at a minimum at the Meets performance level using SMART measurements to evaluate employee performance.
Specific: the “what”
Measurable: metrics, targets, data
Aggressive yet achievable: commensurate with employee’s position
Results-oriented: describe outcomes; emphasize link to mission
Time based: identify specific timeframe
When defining expectations for each element they need to be defined at the Meets level using the SMART measurement to evaluate the employee’s performance. S be specific, that entails the what; M make sure that they are measurable using metrics, targets, and data; A be aggressive but achievable, make sure that they are commensurate with the employee’s position; R Results-oriented; describe the outcomes emphasizing the link to the mission; T time based, identify the specific timeframe.

25. Points of Contact
Cheryl Rosanova Program Manager, Performance Management (301) Christina Lafountain Employee Relations Officer (301)
Remember the Office of Human Capital Management is here to help you through this process. Here are the points of contact to help you through the Performance Cycle.

26. Q and A
Thank You!

27. Encourage your employees to do the same!
Starting tomorrow, please complete the 2011 OPM Federal Employee Viewpoint Survey (EVS) and…
Encourage your employees to do the same!
Invest 30 minutes today in your Center’s tomorrow!!