# Presentation: 223067

## Supervisory Skills Training Managing for Success: Ending and Beginning the Performance Cycle

**Carmen Taylor & Charlie DePoalo **

**(Briefing – FAA30200046)**

**Notes:**

Who we are, where we work, and FAA background.
Then,
Charlie talks about PMS in general.
Then,
Carmen discusses ending a performance cycle from an ER perspective

## Reminder - Union Agreements

**The information, instructions, and guidelines in this briefing can be supplemented or superseded by union agreements.**** **
**Review applicable union contracts, MOU’s, and MOA’s prior to initiating any performance management action/practices.**
**Consult your HR Employee/Labor Relations  Specialist**

## Objectives

**A clear understanding of the steps required to close the current Performance Management System (PMS) performance cycle**
**The basic steps of dealing with a poor performer**
**The relationship between the PMS Performance Summary and the Superior Contribution Increase (SCI) Process**

## Objectives (Cont’d)

**The requirements for starting a new performance cycle.**
**The basic steps for developing:**
- Outcomes
- Performance Expectations
- Performance Indicators

## PMS Performance Cycle

**PMS Performance Cycle**

**Performance Summary**
**  **1. Manager’s Assessment
-   2. Self Assessment
**New Performance Plan**

**October**

**Upward Feedback**
-  Employee to Manager
-  Manager to Manager

**Mid-Cycle Meeting**
-  Face-to-Face
-  Manager’s Assessment
-  Self-Assessment

**July**

**April**

**Check-In-Meeting**
- 1. Initiated by Manager
-     or Employee
- 2. Adjust Plan

**December**

**Notes:**
 This should be familiar to you.
 Continuous throughout the year.
 We will be concentrating on October.
NOTE: We understand that some of you may be on the CY cycle. 

## What is your most important reference document when closing an employee performance cycle?

**Your notes and observations during the performance cycle**
**Documented customer feedback**
**The employee performance plan**
**Peer and/or Team Lead input**

## Highlights: Closing the Performance Cycle

**Within 30-days of cycle end**
**Minimum 90-days**
**Employee self-assessment**
**Your observations & notes**
- Mid-cycle review
**Other Input Sources**
- Technical Assessments
- Equipment Certification
- Facility Evaluation
- Team Leads
**Standardized Corporate Form**

**Notes:**
If the monitoring and feedback throughout the cycle were done properly the performance summary should not be a surprise to the employee!!!!

A performance summary is required: 
 End of the rating cycle
 If an employee’s performance plan significantly changes (new performance standard) during the performance cycle
 If the employee transfers/reassigns to a new job
 If the employee has been detailed or temporarily promoted for 90 or more days, then a summary is required at that end of the temporary period
 If the supervisor leaves and there is less than 90 days left in the performance cycle (Summary closes out the performance cycle)

## Employee Self-Assessment

**General Guidelines:**
- Refer to the performance plan.
- Base the self-assessment on accomplishments during the performance cycle.
- Summarize each outcome and expectation separately.
- Write in the past tense
**Specific Guidelines:**
- List major accomplishments in bullet form.
- Show how the accomplishments contributed to achievement of the organization's (or team's) goals and success of the organization (or team)
- Describe the accomplishments in terms of effectiveness at meeting expectations
**Provide Examples:**
- List training and developmental accomplishments.
- List recognition received.
- Recommend areas for future development, if desired.

## Writing the Performance Summary

**General Guidelines:**
- Refer to the performance plan.  The [performance/narrative] summary represents accomplishments as related to the outcomes and expectations from the date the performance plan was communicated to the end of the performance cycle.
- Base the summary on knowledge of the employee's accomplishments during the rating cycle.
- Summarize each outcome and expectation separately.
- Write the summary as a past tense of the outcomes and expectations.

## Writing the Performance Summary (Cont’d)

**Specific Guidelines:**
- List major accomplishments in bullet form.
- Show how the accomplishments contributed to achievement of the organization's (or team's) goals and/or success of the organization (or team).
- Describe the accomplishments in terms of effectiveness at meeting expectations.
**Provide Examples:**
- List training and development accomplishments.
- List recognition received.
- Recommend future development needs, if appropriate or requested.

## In addition to your own observations, notes, and mid-cycle assessment what are some other performance input sources?

**Equipment Certifications**
**Facility Evaluations**
**Customer Feedback**
**Team Lead Input**
**All of the above**

## Shared Responsibilities for the Performance Summary

**Manager**
- Consolidate data from entire cycle
- Identify developmental needs for next cycle, based on current results
- Effectively communicate summary to employee
- Prepare to initiate next performance plan

**Employee**
- Provide meaningful self-assessment
- Identify developmental needs for next cycle
- Prepare to discuss summary
- Review feedback and begin to formulate ideas for next plan

## PMS Performance Summary – Application

_**May be**_** used for:**
- Identifying Developmental Needs
- Determining compliance with Performance Plan
- Analyze Performance
- Basis for determining Recognition
- Tool to consolidate feedback
_**May not be**_** used for:**
- Merit Promotion Eligibility
- Reductions in Force (RIFs)
- Automatic Triggers for Base Pay Adjustments

## PMS Performance Summary – Additional Information

**Teams**
- Can Receive a Performance Summary
- Performance cannot be Primary or Secondary of Individual
- Doesn’t Eliminate the Individual Performance Plan or Summary
**Pay for Performance Systems**
- One Factor
- May have different Criterion
- High Achievers in Performance Summary

## Relationship Between PMS & SCI

**Potential of 4 levels at the corporate level:**
- Federal
- Federal + OSI [maximum of 1%]
- Federal + OSI + SCI #2
- Federal + OSI + SCI #1
** ****Potential of 3 levels at the individual level:**
- Federal + OSI [maximum of 1%]
- Federal + OSI + SCI #2
- Federal + OSI + SCI #1

## Relationship Between PMS & SCI (Cont’d)

**SCI Criterion:**
- 3 for employees
- 4 for managers
- Expected Level and Highest Level
**Collaboration:**  The extent to which an employee’s work with others contributes to the productivity and success of the organization.** **
**Customer Service:**  The extent to which an employee provides products and services that meet the needs of internal and/or external customers and the degree to which products and services are sound and delivered on time.

## Relationship Between PMS & SCI (Cont’d)

**Impact on Organizational Success:**  The extent to which an employee successfully sets priorities and completes work that directly affects the ability of his/or her organization to meet its performance objectives and deliver high quality products and services.
**Management Leadership:**  The extent to which a manager or supervisor creates a work environment that results in the delivery of high quality products and services which are timely and within budget.  He/she demonstrates a commitment to the value of providing equal opportunity in conformance with the Model EEO Program, team development, fiscal responsibility, performance management, and adherence to applicable workplace safety requirements.

## Identifying Poor Performers

**Determine if the problem is conduct or performance**
**If ****Conduct**** = “Won’t” Do**
**May require discipline**
**Consult your HR ER/LR Specialist**
**If ****Performance**** = “Can’t” Do**
**Provide employee with documented examples**
**Coach and Counsel employee**
**Consult your HR ER/LR Specialist**
**If personal issues (Refer the employee to EAP)**

## Performance vs. Conduct

**Conduct = “WON’T”**
- Behaviors which occur
- 	as result of choice
- Failure to exercise good
- 	judgment
- Failure to follow workplace
- 	rule(s)
- Generally, has a negative
- 	impact on workplace

**Performance = “CAN’T”**
- Competencies which can
- 	be learned
- Individual does not perform
- 	at an acceptable level
- Skills or behavior compared
- 	to established performance
- 	standards
- Typically, measured in terms of quality and quantity of timeliness** **

## Consequences of Not Dealing with Poor Performers

**Employee is not fully productive**
**Additional costs associated with lower productivity**
**Possible customer complaints**
**Lower morale among the good employees**
**Inhibits the success of an organization to meet it’s goals**

## Preventing Poor Performers

**Identify position-essential training**
**Make sure that performance standards are **
- Attainable
- Measurable
- Observable
- Understandable (by the employee)
- Clearly Communicated
**  **

## Counseling Poor Performers

**Practice the session [with yourself]**
**Don’t “preach”! – Discuss what the employee is doing well and what the employee needs to improve **
**Focus on the performance not on the person**
**Conduct the meeting in a private place**
**Choose the right time **

## Counseling Poor Performers – continued 

**Allow adequate time – Don’t Rush!**
**Be calm, professional, and focused on the topic**
**Seek cooperation and not confrontation **
**Ask for confirmation to ensure the employee understands the expectations**
**End the session on a positive note**
**Make a memo of the counseling session and provide the employee with a copy – Signed!**

## Weingarten Rights Bargaining Unit Employees

**Because sessions are not disciplinary or investigative, the employee does not have a right to union representation.  **
**However, if the employee asks for one you have the discretion to allow it.  **
**Consult your HR LR Specialist for guidance**

## When Counseling Doesn’t Work 

**Opportunity to Demonstrate Performance (ODP)**
- Normally administered for 90 days
- Mandatory in PMS, except:
- Temporary employees
- Employees on a first-year probationary period
- Employees in a managerial probationary period
- Review ER-4.8, Union Agreements and Weingarten Rights
- Consult with your HR ER/LR Specialist

## ODP – Management Responsibilities

**Provide the employee the assistance you agreed to provide**
**Keep copies of documentation to help substantiate any adverse action should the employee fail to demonstrate performance**
**Extend ODP period to allow for leave situations if for more than two weeks**
**Core Compensation employees on ODP at end of  the rating cycle (Sep 30****th****) are ineligible for OSI or SCI**

## ODP Content

**What **_***primary (critical)***_** outcomes are not being met**
**Specific examples of performance deficiencies**
**What needs to be accomplished to bring performance to an acceptable level**

## Alternative Simulated ODP

**When safety is an issue**
**Determined by management**
**Employee still must demonstrate performance**
**Examples**
- Inspectors
- Technicians
- Engineers

## ODP Outcomes

**Successful**
**Organization has gained a valuable resource**
**Provide the employee with verbal encouragement **
**Written feedback - letter to the employee**
**Unsuccessful**
**Due process – Consult with HR ER/LR Specialist**
**Reassignment, Reduction in Pay, Demotion, or Removal**

## Details of ____ days or longer require a new performance plan. 

**30**
**60**
**90**
**120**

## PMS Planning Forms

**https://employees.faa.gov/employee_services/pay_perf/perf_management/#policy**
**User Version**
**Instructional Version**
**Download Instructions**

## PMS Performance Plan

**Two-part written document between employee and manager **
- _Part 1_
- Outcomes - **What has to be done?**
- Expectations - **How well it has to be done?  **
- Performance Indicators - **How will it be measured?**
- _Part 2_
- Identify development tools (IDP)
**Clearly defined and communicated outcomes and expectations**
**Develop during first 30-Days of the performance cycle**

**Notes:**
 Outcomes must clearly indicate an intended product, result, accomplishment, or objective
Primary (Critical)
Secondary 
Additional
 Expectations are the criteria that measures outcomes 
Quality – e.g., errors or complaints
Quantity – e.g., how many
Cost – e.g. how much
Timeliness – e.g., when
Manner of performance – e.g., how the work is to be performed
Best to measure accomplishments/results (e.g., accurate guidance to customers) and not just activities (e.g., answers customer’s questions)

Performance Indicators are the tools/methods the manager will use to determine achievement: 
Supervisor observations 
Technical assessments
Equipment certification
Facility evaluation
Automated Systems
Project progress reports
Optional Self-Assessment/Evaluation
If applicable, feedback from Peers, Customers, Other Supervisors, & Team Members

## Which of the following is a key component of a “pay-for-performance” organization? 

**All employees are guaranteed a base-pay adjustment 1% above the Federal Pay Raise.**
**Half (50%) of all employees are guaranteed a base-pay adjustment 1% above the Federal Pay Raise.**
**Employee base-pay adjustments are directly related to the employees’ contribution to the success of the organization.**

## Linking Performance Plans

**Clear linkage to Flight Plan and Organization’s Business Plans**
**Cascaded and Line-of-Sight objectives**

## Types of Performance Plans (Part 1)  

**Common (Generic) **
- Repetitious Work
- Consistent Processes
- Standardized Results
- May be developed by Teams
- Enhance for local application
- Part of management's right/responsibility to assign work

**Notes:**
Examples:  ATC, some Administrative, some elements of instruction at FAA Academy.

## Types of Performance Plans (Part 1) – continued 

**Individualized (Customized)**
- Programmatic Work
- Unique Processes
- Diverse Results
- Developed by Manager
- Employee input
- Final decision is management's right/responsibility to assign work

## What are the Basic Steps in Developing a Performance Standard?

**Set the Content**
- Identify the major job responsibilities (MJR) required of the position by asking yourself: What are the primary duties of the position?
**Outcomes**
- What is the intended result from the completion of the MJR?
- Product, result, accomplishment or objective

## What are the Basic Steps in Developing a Performance Standard? – continued 

**Expectations**
- For each outcome identify measures that define successful accomplishment
- Quality, quantity, cost, timeliness, or manner of performance
**Performance Indicators**
- Identify how you and the employee will know that the employee is meeting the expectations

## PRACTICE EXERCISE: DEVOLOPING A PERFORMANCE STANDARD

**https://employees.faa.gov/org/**
**staffoffices/ahr/perf_management**
- Reference Documents
- Guides
- Manager Instructional Guide
- Page 26 & 27 – Writing Performance Standards

## Performance Standards Summary

- Represents Work Assignments
- Link to Organizational Goals is obvious
- Understood Performance Indicators
- Clearly Defined
- Effectively Communicated
**Understood by the employee!**

**Notes:**
 Remember you are developing “retention standards” not what you expect of your top performers. 

 Employee must know, prior to the start of the assessment period, what performance indicators the manager will use to determine achievement

 Typical errors when developing standards: 
 Absolute (no errors – “must accurately complete...”):  Allowed but must be reasonable (i.e. safety, security, loss of life, or great loss of resources). Talk about Guillebeau vs Navy in 2004
 Backward: What is not supposed to happen.  “No more than 6 articles prepared during any quarter”.  So, 1 meets the standard!!
 When measuring by a period of time:  Can not take action based on a proportional ratio.  “No more than 5 errors per year”.  Employee has 4 errors in the first day.  You can not take action assuming he/she will make two more errors over the next 364 days.  Best to state so many errors per quarter.  
 Multiple expectations for one outcome:  OK but you must make clear that failure on one of the expectations is failure of the entire outcome if this is the case!!

## Individual Development

**Identifying and pursuing personal development training and learning experiences**
**All employees have an opportunity to create a IDPs**
**Standardized Forms used to ensure developmental activities/needs were determined and completed  **
**Try to take advantage of eLearning!**

**Notes:**
The word “competencies” needs to be used while discussing this slide!!

## PMS Homepage 

**https://employees.faa.gov/org/**
**staffoffices/ahr/perf_managment/**
**Managing Performance**
**Reference Documents**
**Awards and Recognition**
**Annual Increases**
**Contact Us**

## Available PMS Resources

**Your **
- Manager
- LOB/SO PMS POC
- Servicing HR Office
**PMS Module in Front Line Managers Course Phase I (FMC-1)**
**Manager Instructional Guide**
**Employee Instructional Guide**
- For Your Employees