# Presentation: 838779

## Performance Management and Employee Recognition Training

**For Non-Supervisors**
**Revised April 2006**

## Performance Management

## What Is Performance Management?

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

## Performance Management Components

## Where Can I Find Performance Guidance?

- Agency Policy and Procedure (P&P) found:** **_**[www.afm.ars.usda.gov/hrd/performance/pp-list.htm](http://www.afm.ars.usda.gov/hrd/performance/pp-list.htm)**_
- Improved HRD website:  _[www.afm.ars.usda.gov/hrd/performance/index.htm](http://www.afm.ars.usda.gov/hrd/performance/index.htm)_
- OPM Performance Management
-    Address:
**   **_**[www.opm.gov/perform/index.htm](http://www.opm.gov/perform/index.htm)**_

## What Is A Performance Appraisal?

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

## Why Appraise Employees?

- It’s the law!
- Basis for HR actions (WGIs, awards, QSIs, probationary determinations, training, reassignment, promotion, removal, RIF placement)
- To provide feedback
- To modify or change behavior
- To judge future job assignments and potential
- To improve organizational effectiveness

## Which Employees Receive Performance Appraisals?

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

## How Often Is Performance Appraised?

- Progress review is done mid-year
- Rating of record is done at the end of the performance cycle
- Informal feedback is provided continuously during the performance cycle

## What  Are The REE Performance Cycles?

- _ARS_ - January 1 through December 31 -
-     Two-grade interval employees, i.e. scientist, managerial, and administrative/advisory specialist positions
- _ARS_ - April 1 through March 31  - One-grade interval employees, i.e. wage-grade, clerical and support, secretarial, and technician positions
- _CSREES and ERS_ – January 1 through December 31, all positions
- _NASS_ – October 1 through September 30, all positions

## What Is The Minimum Appraisal Period?

- Plans should be in place for at least 90 days to receive an annual rating of record
- Plans should be extended to meet the minimum appraisal period** **

## What Is A Performance Plan?

- Describes the specific tasks an employee is expected to perform _and how well the tasks must be accomplished to meet a desired level of performance_

## When Are Performance Plans Established?

- Within 30 days of hire or position change
- At the beginning of a rating cycle
- When modification or change is needed

## How Are Performance Plans Developed?

- Using:
- Agency strategic plan or performance plan
- National Program goals
- work unit goals and objectives (i.e. CRIS goals)
- major duties in the position description (PD)
- established Agency policy
- Elements - Cascade org/unit goals to the individual accomplishment level and determine whether critical or non-critical
- Standards – Define appropriate measures for elements

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

- Standards are described at the “Fully Successful” level
- Standards measure work in terms of quality, quantity, timeliness, cost-effectiveness, and manner of performance
- Standards focus on results, outcomes, impact
- Standards should be clear, accurate, measurable, reasonable, attainable, challenging, fair/consistent within org, and exceedable

## What Is A Critical Element?

- An assignment or responsibility so important that unacceptable performance in that element would result in a determination that the employee’s overall performance is unacceptable
- Not used to measure group performance, only work w/in the employee’s control

## What Is A Non-Critical Element?

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

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

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

## Are There Required Elements?

- Plans must include at least 3 but no more than 10 performance elements
- At least one element must be critical, but not all
- At least one critical element must focus on results
- Supervisors must have a critical supervisory element (developing)
- “Official” supervisors must have a separate critical EEO/CR element (changing)

## Are There Required Elements? (Continued)

- Non-Supervisors must have EEO/CR objectives incorporated in to a new or existing critical element
- Agency-wide Peer Review (OSQR) objectives must be incorporated in
-    ARS Cat 1 and Cat 4 scientist plans
- Health and safety elements should be used where job related

## Why Use Specific Goals?

- Used to add clarity and specificity to performance standards, especially generic
- Tie back to org goals
- Add to technical or mission critical elements
- May or may not be synonymous with the “Fully Successful” standard – make employee aware
- Need to be reasonable and attainable
- Need to monitor during cycle

## May Employees Develop Their Own Plan?

- Employee/Supervisor develop plan together
- Employee draft plan and/or specific goals
- Employee provide feedback on plan and/or specific goals
- Group of employees develop plan
- _But_, final authority rests with the rating and reviewing official

## What If Employees Disagree With Their Performance Plan?

- Supervisors should consider the employee’s issue
- Employee must perform under plan
- Content and substance of performance plan is not grievable
- Signing the AD-435A does not mean an employee agrees with plan

## How Is A Mid-Year Review Done?

- Feedback should be specific - suggest element-by-element discussion
- Verify accuracy of plan
- Discuss progress with goals/IDP and adjust/update if necessary
- Identify performance requiring corrective action
- Initial AD-435A

## How Is A Rating of Record Done?

- Use form AD-435P and NASS 435P found on: _[www.afm.ars.usda.gov/forms/hr/performance.htm](http://www.afm.ars.usda.gov/forms/hr/performance.htm)_
- Specific element-by-element discussion
- Discuss accomplishment of goals/IDP
- Get appropriate organization concurrences
- Consult your ER Specialist for cases involving poor performance

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

- Complete within agency, area and union timeframes
- Praise and reward employee for good performance and accomplishments
- Establish performance plan for next performance cycle

## Should Performance Be Monitored At Any Other Time?

- Supervisors should monitor and provide feedback often during the performance cycle
- Performance should never be a surprise
- Discuss performance if and when it falls below current rating

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

- Supervisor’s own observations of performance
- Feedback from customers, partners, co-workers, subordinates, etc.
- Employee written accomplishments (Supervisors should request)

## Why Prepare Accomplishment Reports?

- Serves as a reminder to both the employee and supervisor of individual accomplishments during a performance cycle
- Used to develop and support appraisals
- Leads to a more objective, effective appraisal of performance

## How Are Accomplishment Reports Written?

- Limit to 2 pages, if possible
- Arrange by performance element
- Describe the accomplishment
- Describe the impact, result or outcome of the accomplishment
- Did it enhance a work process?
- Did it have an impact on a customer?
- Did it help the org achieve it’s goals?

## How Are Accomplishment Reports Written? (Continued)

- Use your performance plan as a guide
- Use “I” statements
- Use action verbs
- Refer to activity/status reports, calendars, previous accomplishment reports, etc.
- Avoid laundry lists
- Follow your organization’s policy (some require a description of how standard is exceeded)
- Proof report

## What Is “Fully Successful” Performance?

- It is good performance!
- The expected level of performance; work performed at this level is of good quality, the expected quantity, and is accomplished within established deadlines or time frames
- Supervisors should communicate this definition

## What Is “Exceeds Fully Successful” Performance?

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

## What If Performance Is Marginal?

- Identify deficiencies
- Notify your ER Specialist
- Inform employee
- Consider closer supervision,on-the-job training, formal training, mentoring, the Employee Assistance Program

## What If Performance Is Unacceptable?

- Identify deficiencies
- Notify your ER Specialist
- Inform the employee
- Offer assistance
- Performance Improvement Plan (PIP)
- Failure to improve may result in further action

## Is A Rating Of Record Grievable?

- Bargaining unit employees follow procedures in the Labor Management agreement
- Non-bargaining unit employees and those bargaining unit employees not covered under a Labor Management agreement, follow the grievance procedures in P&P 463.2, Administrative Grievance System
- Contact your ER Specialist

## What Responsibilities Do Supervisors Have?

- Develop performance plans/specific goals with employee involvement
- Communicate performance expectations
- Monitor and provide feedback during the year
- Conduct mid-year reviews and annual ratings of record

## What Responsibilities Do Supervisors Have? (Continued)

**Deal with poor performance when noticed and before the end of a probationary period**
- Consult/Notify ER Specialist of poor performance
- Praise and reward performance

## What Responsibilities Do Employees Have?

- Participate in the establishment of their performance plan
- Ensure an understanding of what is expected, ask questions
- Communicate and cooperate with management in the rating process
- Provide written accomplishments
- Prepare for reviews

## Employee Recognition

## What Does It Mean To Reward?

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

## Where Can I Find Employee Recognition Guidance?

- USDA Guide for Employee Recognition,
**    **_**[www.usda.gov/da/employ/recog.htm](http://www.usda.gov/da/employ/recog.htm)**_
- Improved HRD website: _[www.afm.ars.usda.gov/hrd/awards/index.htm](http://www.afm.ars.usda.gov/hrd/awards/index.htm)_

## What Are The Principles Of Recognition?

- Be fair and equitable in the distribution of awards
- Recognize specific achievements
- Involve co-workers and customers in recognition decisions
- Provide timely recognition

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

- Emphasize group recognition
- Use non-monetary recognition
- Publicly recognize employees
- Publicize recognition
- Budget for employee recognition locally

## Who Is Eligible To Receive Recognition?

- All employees are eligible for most types of recognition
- Non-Federal persons are not eligible for monetary awards
- Retired or separated Federal employees are eligible if contribution was made while employed

## What Are The Forms Of Employee Recognition?

- Monetary Awards
- Non-Monetary Awards
- Length of Service Awards
- Suggestion Awards
- Special Awards Programs

## Monetary and Non-Monetary Awards

**Refer to: www.afm.ars.usda.gov/hrd/awards/files/table-monetary-non-montary.pdf**

## Length of Service

- Recognition given for length of Federal service
- Certificates and pins are provided for 10, 20, 25, 30, 40+ years
- NASS provides certificates only
- Provided by HRD

## Suggestion Award Program

- Recognition for improvement in the efficiency and economy of government operations
- Evaluated by subject matter experts
- May be adopted, referred for further study, or rejected
- Monetary or non-monetary recognition is given to adopted suggestions
- Performance and Awards Staff administers program and provides forms

## Special Award Programs

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

## Who Can Nominate For An Award?

- Supervisors
- Co-workers or peers
- Customers
- Supervisory/Fund holder approval required

## How Is An Award Amount Determined?

- Follow the Value and Benefits scales in the USDA Guide for Employee Recognition
- Follow org policy
- Consider past practice within the org

## What Documentation Is Required?

- AD-287-2
- Two levels of approval on AD-287-2
- Written justification for monetary awards over $500, QSIs, and for Time Off awards over 10 hours

## Call The Performance and Awards Staff For Help!!

- Helene Saylor, Section Head, 301-504-1432
- Theresa Bailey, 301-504-1452
- Mary Oxner, 301-504-1368
- Jo An Affrica, 301-504-1552
- Suzanne Suchecki, 301-504-1465
- Erica Smith, 301-504-1464
- Address:  GWCC, 5601 Sunnyside Ave., Room 3-1288, Beltsville, MD 20705-5107