# Presentation: 452591

## Employee Performance Communication System

- New Supervisors’ Orientation
- August 2007
- Presented by: Dyron Gunter & Lori Moore
- Performance and Work-Life Dynamics

**Notes:**
GOOD MORNING, MY NAME IS ___________________. I’M IN THE PERFORMANCE AND WORK LIFE DYNAMICS OFFICE OF THE OFFICE OF HUMAN CAPITAL MANAGEMENT.
THIS MORNING I’LL BE COVERING GENERAL PERFORMANCE MANAGEMENT.

ASK HOW THEY’RE DOING WITH GETTING PERFORMANCE PLANS IN PLACE.

LET THEM KNOW BERNADETTE IS ON VACATION BUT THEY MAY CALL LORI AND ON SEPTEMBER 10 THEY MAY ALSO CALL BERNADETTE.

## Agenda

- Introduction
- Objectives
- Performance Management Processes
- Federal Performance Accountability
- EPCS Structure
- Responsibilities
- EPCS Timeline
- Resources

**Notes:**
THIS NEXT SLIDE IS OUR AGENDA WHICH INCLUDES:
AN INTRODUCTION COVERING THE PURPOSE OF PERFORMANCE MANAGEMENT PROGRAMS,
AUTHORITIES AND REFERENCES
OBJECTIVES
THE PROGRAM STRUCTURE
RESPONSIBILITIES AND MORE SPECIFICALLY, YOUR RESPONSIBILITIES
THE TIMEFRAME THAT YOU’LL CARRY OUT STEPS OF THE PROCESS
RESOURCES IN THE FORM OF INDIVIDUAL CONTACTS AND THE WEBSITE.

## Introduction

- Definition:  Performance management is a systematic process of:
- Planning work and setting expectations,
- Continually monitoring performance,
- Developing the capacity to perform,
- Rating performance in a summary fashion, and
- Rewarding good performance.
- Improving poor performance.

**Notes:**
What is performance management? Why do we go through a process that is so time-consuming and evokes so much anxiety?
Generally, when we think of performance management, we think of performance appraisal. While that is of primary importance, it’s only one of the reasons we have performance management systems.
Performance management encompasses five formal processes including:
Planning work
Monitoring performance
Developing competencies
Rating performance, 
Rewarding good performance, and
Improving poor performance.

## Objectives

- Improve employee and organizational performance
- Encourage and support communication between supervisors and employees
- Provide a uniform and consistent evaluation of employee performance
- Identify developmental needs
- Identify high performance for recognition
- Address deficient performance effectively

**Notes:**
The objectives of performance management programs are to 
READ OBJECTIVES
The next slide gives a brief history behind the program that we have in place today.

## Performance Management: 5 Processes

- Planning
- Monitoring
- Developing
- Rating
- Rewarding

**Notes:**
5 Process Steps: Planning, Monitoring, Developing, Rating, Rewarding
Performance Management System. The general policies and parameters under which the requirements of the EPCS to plan, monitor, develop, assess, and reward employee performance have been established. The NASA Performance Management System (also referred to as the NASA EPCS) was approved by OPM on April 23, 1996.

## Planning

- Objective
- Plan** **Work & Set Expectations
- Outcome
- Establish Performance Plan
- Performance Elements
- Total # Of Elements
- Elements Types (Critical & Non-Critical)
- Write @ “Meets Level”
-  Performance Measures
- Write & Document Performance Plan

**Notes:**
In an effective organization, work is planned out in advance.  Planning means setting performance expectations and goals for groups and individuals to channel their efforts toward achieving organizational objectives.  Getting employees involved in the planning process will help them understand the goals of the organization, what needs to be done, why it needs to be done, and how well it should be done.  
The Appraisal Period takes one-year to complete, from May 1 through April 30. During this period performance shall be appraised and a Rating of Record is prepared.  
Performance Plans include all the written performance elements that describe what employees are expected to accomplish during the appraisal period and the standards against which their performance shall be appraised.  
Include no more than 8 elements in performance plans.
Performance Elements are designated as critical or non-critical. Critical elements are so important to the position that if an employee is rated “Fails To Meet Expectations” in any of these elements the employee’s overall performance summary rating is “Unacceptable”.  Non-Critical elements are exclusive of critical elements.  If an employee fails a non-critical element, this instance cannot be used as a basis for a performance-based action, nor can the employee’s performance overall, be summarized as “Unacceptable”.  Note—non-critical does not mean not important.
Must be written at the “Meets Expectations” level, corresponding with the knowledge and skills required by the position.
Performance measures are the attributes that will be utilized to evaluate performance results.  (e.g., quality, quantity, timeliness, cost-effectiveness) 
At the end of the performance plan discussion, the Supervisor and employee should both sign and date the performance plan in the Performance Plan Development Section on the cover sheet. 

## Planning: Roles & Responsibilities

- Supervisors
- Communicate Program Goals
- Determine Work Unit & Individual Goals
- Develop Performance Elements
- Offer IDP’S
- Date & Sign Performance Plan
- Employees
- Provide Input To Supervisor
- Accept Or Decline IDP
- Date & Sign Performance Plan

**Notes:**
Supervisors have to ensure they communicate Agency and organizational goals.
They must determine the work unit and individual goals for the organization.
Supervisors have to develop performance elements that are measurable, understandable, variable, equitable, and achievable.
Supervisors have to document in the performance plan that they have offered their direct reports Individual Development Plans (IDP’s).
As, I mentioned the previous slide, the date and signatures of the Rating Official and employee must be captured in the performance plan.
It is important employees provide input to their supervisor on their performance plans.  Since the employee performs the job, they may a different perspective on a particular performance element.  
Employees have to accept or decline an IDP, thus documenting the offering by the supervisor.   
As, I mentioned the previous slide, at the end of the planning meeting, employees must sign and date their established performance plan.  This is the employee’s acknowledgement that they will be held accountable for the provisions and expectations in their plan during the performance period. 

## Monitoring

- Objective
- Continually Monitor Performance
- Outcome
- Ongoing Feedback
- Progress Reviews
- Identify Performance Deficiencies
- Assure Expectations Are Met
- Document Discussions In Performance Plan

**Notes:**
In an effective organization, assignments and projects are monitored continually. Monitoring well means consistently measuring performance and providing ongoing feedback to employees and work groups on their progress toward reaching their goals.
The EPCS emphasizes ongoing communication and constructive feedback about performance between the supervisor and employee.
Throughout the performance period, it is important Supervisors initiate and facilitate two way communications with their direct reports.
A supervisor must offer an employee an opportunity to provide input on his/her accomplishments relative to the performance elements and standards for his/her progress review.
Supervisors must record and maintain progress review discussions in their records.  Supervisors have to have at least one progress review meeting with all of their direct reports by November 30, which is the mid point of the appraisal period. 
Supervisors should evaluate employee’s performance elements against performance measures to assure expectations are being met.  
If any performance deficiencies are identified, now is the time the supervisor will share this issue with their employees.  
The progress review discussion should be documented in the performance plan under the development discussion section on the cover sheet. 

## Monitoring: Roles & Responsibilities

- Supervisor
- Request Accomplishments
- Measure Performance & Provide Feedback
- Discuss Work Requirements
- Clarify Expectations
- Employee
- Provide Work Accomplishments
- Regularly Reference Performance Plan
- Request Resources When Needed
- Correct Performance Deficiencies

**Notes:**
Supervisors have to request employees accomplishments, projects, work tasks, etc.  
Conduct, document, and record progress review discussions.
When supervisors evaluate their employee’s accomplishments, they should provide positive and negative feedback to their employees regarding their performance.  
Reiterate work requirements if they are not clear for any employee.
Clarify work and performance expectations, especially for employees with identified performance deficiencies. 
Employees should maintain a record of their completed work tasks, projects, accomplishments, etc. to be readily available to their supervisors if requested.  
Regularly, employees should refer back to their performance plans to update and determine whether it should be revised.  
If employees recognize or discover any resources they feel will aid them in performing their jobs, during progress discussions would be an ideal time for them to make these requests known to their supervisor. 
If their supervisor has identified any performance deficiencies the onus is on the employee to correct these issues. 

## Developing

- Objective
- Developing The Capacity To Perform
- Outcome
- Identify Developmental Needs
- Improve Performance
- Increase Competencies

**Notes:**
In an effective organization, employee developmental needs are evaluated and addressed. Developing in this instance means increasing the capacity to perform through training, giving assignments that introduce new skills or higher levels of responsibility, improving work processes, or other methods. Providing employees with training and developmental opportunities encourages good performance, strengthens job-related skills and competencies, and helps employees keep up with changes in the workplace, such as the introduction of new technology.
Developmental needs have to be addressed from 3 perspectives. These needs have to be addressed for individuals, the organization (work unit), and the Agency.  
Once developmental needs are assessed, then supervisors can properly plan trainings, new work, etc. to foster development of the organization and increase the competencies of the individual employees.
If any performance deficiencies were identified during the monitoring process, the developing process is the stage where training implemented to improve performance. 

## Developing: Roles & Responsibilities

- Supervisor
- Identify Developmental Needs
- Develop Competencies
- Coach
- Provide Development & Training Opportunities
- Ensure Completion Of Required Training
- Employee
- Participate In Developmental Opportunities
- Utilize Development Methods
- Application Of Acquired Competencies

**Notes:**
Supervisors have to identify the developmental needs for individuals and the organization for short and long-term needs.
Methodically, supervisors have to provide employees assignments that introduce new skills or higher levels of responsibility to increase their competencies. 
Not only should supervisors assist employees in planning their individual training, they also should assist in the development of their employees through coaching.    
Supervisors have to ensure employees complete all required agency and organizational training.
Employees have to engage in developmental opportunities such as details, reassignments, trainings, etc...
Then, employees have to display their new knowledge through the application of their new competencies in their current positions.

## Rating

- Objective
- Periodically Rating Performance In A Summary Perspective Against Standards & Measures
- Outcome
- Performance Appraisal: Rating Official
- Summary Rating Of Record
- Rating Official & Employee Sign Or Acknowledge Rating Of Record
- Performance Appraisal: Reviewing Official
- Review & Approve Distinguished, Needs Improvement, Or Unacceptable Summary Performance Rating

**Notes:**
An effective organization knows who their best performers are. Within the context of formal performance appraisal requirements, rating means evaluating employee or group performance against the elements and standards in an employee's performance plan and assigning a summary rating of record. The rating of record is assigned according to procedures included in the organization's appraisal program.
The Rating and Reviewing Officials both have critical responsibilities during the rating process.
The Rating of Record is the written performance summary rating level assigned at the end of an appraisal period or when required by special circumstances. 
A Rating of Record shall be prepared only if the employee has served under a performance plan at least 90 days during the appraisal period. 
A written, or otherwise recorded, Rating of Record must be given to an employee as soon as practicable after the end of the appraisal period (generally within 30 days) 
The Rating Official has to record a summary of rating of record, dated, signed or acknowledged by all of their direct reports by the end of the appraisal period.  
In addition to checking that the Rating Official has completed their duties, the Reviewing Official has to review and approve any distinguished, needs improvement, or unacceptable summary performance ratings. 

## Rating: Roles & Responsibilities

- Supervisors
- Collect Performance Feedback
- Review Work
- Review Accomplishments Against Indicators
- Assign Element & Summary Performance Rating
- Prepare & Engage In Performance Discussion
- Employees
- Prepare & Engage In Performance Discussion
- Sign Summary Performance Rating
- Decide Whether To Request Reconsideration

**Notes:**
In preparation for performance appraisal discussions, supervisors should collect performance feedback from other supervisors, project/team leaders, employees, customers, etc...
In addition the collected performance feedback, supervisors should offer their employees the opportunity to provide input, relative to their performance elements and standards, on their accomplishments during the appraisal period.  
The supervisor should review all materials and appraise performance against standards, indicators, and measures in employees’ performance plan   
Next, supervisors should assign a rating for each performance element.  
Performance Element Rating Levels.
Significantly Exceeds Expectations. Performance that consistently exceeds the performance standards to an exceptional degree for the element.
Exceeds Expectations. Performance that consistently exceeds the performance standards to a high degree for the element.
Meets Expectations. Performance that fully and consistently meets the performance standards identified for the element.
Needs Improvement. Performance that does not fully meet the performance standards for the element.
Fails to Meet Expectations. Performance that fails to meet the established performance standards for the element.
Performance in one or more critical elements that Fails to Meet Expectations shall be the basis for an action to reassign the employee or initiate an adverse action (e.g., reduction in grade or removal) against the employee, but only after the employee has been given a period of time to improve his/her performance. The minimum Performance Improvement Period (PIP) is 30 calendar days.
Then, a summary rating of record should be assigned based upon the comprehensive element ratings.  Supervisors should include the justification for the rationale of the performance summary rating level in the narrative summary. 
Performance Summary Rating Levels 
Distinguished (Level 5). Performance when all elements are rated Significantly Exceeds Expectations.
Accomplished (Level 4). Performance when all elements are rated no lower than Exceeds Expectations.
Fully Successful (Level 3). Performance when no element is rated below Meets Expectations.
Needs Improvement (Level 2). Performance when any element is rated below Meets Expectations.
Unacceptable (Level 1). Performance when any critical element is rated Fails to Meet Expectations.
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 rating level assigned.
It is important that employees gather documents from the employee performance file and prepare for their performance appraisal meeting.  
They should provide a list of accomplishments to their supervisor and make sure their input is taken into context before receiving their summary performance rating.  
Next, employees should sign and date their rating of record for the performance period.  
Also, they have the option of requesting reconsideration from the rating and reviewing officials.  
An employee’s refusal to sign his/her Rating of Record shall not preclude it from being a final rating. 
 In such instances, the Rating of Record shall be annotated to indicate the employee’s refusal to sign, signed, and dated by the Rating Official. 

## Rewarding

- Objective
- Acknowledge Contributions
- Reward Performance
- Ensure Fairness In Award Distribution
- Outcome
- Achievement Recognition

**Notes:**
In an effective organization, rewards are used well. Rewarding means recognizing employees, individually and as members of groups or teams, for their performance and acknowledging their contributions to the agency's mission.
An employee who receives a performance summary rating of Distinguished, Accomplished, or Fully Successful is eligible for an annual monetary performance award and nonmonetary recognition, based on the rating.
An employee who receives a Needs Improvement or Unacceptable performance summary rating is not eligible for a monetary award or nonmonetary recognition, based on performance.
An employee with a higher performance summary rating level (e.g., Distinguished) must receive a greater monetary performance award, based on a percentage of salary, than an employee with a lower performance summary rating level (e.g., Accomplished).
To achieve fairness and consistency in the differentiation of award determinations, based on performance ratings, the Center Director shall annually establish, based on the awards budget, guidelines (e.g., percentage/range of percentage of salary) for monetary performance awards applicable to Distinguished, Accomplished, and Fully Successful performance summary ratings.

## Rewarding: Roles & Responsibilities

- Supervisors
- Utilize Award Options
- Reward Good Performance Throughout The Year
- Recognize Sustained High Performance
- Become Familiar With Awards & Plan Award Nominations
- Award Employees Based On Performance Appraisals
- Employees
- Be Prepared To Submit Award Nominations

**Notes:**
Supervisors need to read over NPR 3451.1, which covers NASA Awards and Recognition Program.  Once familiar with the material they can more effectively utilize award options for their organization.
In addition, it is important for supervisors to become familiar Appendix C of the Awards NPR which covers the awards process.  This will enable them to more accurately choose awards and can plan nominations.  
  For example, what is the difference between awarding an employee on a rating vs. a special achievement award.  The difference is a special achievement award is an award that is given for a one time special act such as completion or participation in a center or agency project.  Awards for ratings are given as rewards to employees who have demonstrated good performance throughout the appraisal period.   
During their award planning supervisors have to remember that they should reward good performance throughout the year, not just at the end of the end of the appraisal period.  Employees should be eligible for recognition and awarding throughout the appraisal period.  
Ultimately, employees must be rewarded based upon appraisal results.  It does not matter whether the award is monetary or non-monetary, the award and award amount determination must be linked to an employee’s performance. 
Employees should take the time to read over the Awards NPR to become familiar with the processes just in case they want to submit award nominations.

## Ongoing Responsibilities

- Development
- Ongoing Feedback
- Progress Reviews
- Addressing Of Performance Deficiencies
- Reward Good Performance Throughout The Year
- Maintain Employee Performance File (EPF)

**Notes:**
Here are lists of processes that take place continually throughout the 5 major process steps. 
Development which is one of the 5 major processes, but in essence it is an ongoing process.
Ongoing Feedback that is between supervisors and employees and should be facilitated by both parties. 
Progress Reviews which you must have at least one during the performance cycle, but you can have more anytime during the appraisal period.
Performance Deficiencies should be identified and corrected as soon as possible anytime during the appraisal period. 
Reward Good Performance Throughout The Year, which can be accomplished through recognition, not just awards at the end of the performance cycle.
Maintain Employee Performance File (EPF) - maintained by Rating Official. The Employee Performance Files must be maintained for no less than four years from the date the Rating of Record is issued.  
Includes:
Draft Performance Plan
Performance Summary Rating
IDP if applicable
Any documentation of performance deficiency, if applicable
Performance Related Records includes:
Narrative Summary
Input from the employee regarding accomplishments
Any customer and/or employee feedback
Employee’s response to any performance deficiency
Recommendations for awards, QSIs, promotions, denial of within-grade increases, reduction to a lower grade, reassignments, and removals, including supporting documentation.
Recommendations for training identified in IDP 
Any document that indicates that the Rating of Record is being challenged under administrative procedures
Records concerning performance during the supervisory or managerial probationary period
Advice and counseling records that are based on work performance.

## Federal Performance Accountability

**    ****President’s**
**      ****Management**
**Agenda**

**Government**
**      ****Performance & **
**Results Act**

**Civil Service **
**Reform Act**

**1978**

**1993**

**2001**

- “Managers in the public sector _**are not**_ innovation’s stepchildren.  Genuinely exciting performance management initiatives – bold, ingenious and utterly practical – are emerging from this often-overlooked sector.”  -- Richard Grote

**Notes:**
Within Federal Government,  the need for a defined, systematic way of improving performance came about first, starting with the Civil Service Reform Act of 1978 which originated from a public outcry that there was no way to hold civil servants accountable for poor service to the public.  This outcry led Congress to establish the CSRA which provides:
OPM regulatory oversight for developing and managing a Federal performance management system 
that permits the accurate evaluation of job performance on the basis of objective criteria including the extent of courtesy demonstrated to the public
The law emphasizes supervisory responsibility for developing performance standards and rating performance; 
employee participation in determining how to measure successful performance; and
 incentives for good performance and taking action based upon poor performance.

Once again in the early 1990s the public through their Congressional representatives stated that their representatives did not receive adequate information from federal agencies to represent their best interests when making funding decisions, which led Congress to enact the GPRA. GPRA requires:
agencies to have a strategic plan identifying their long-term goals, to communicate what the agency is trying to accomplish
an annual performance plan to identify short-term goals, and 
to annually report their progress toward goal achievement to OMB and Congress.  
GPRA requires agencies to measure their outputs and results, not just inputs and efforts.
In 2001 this Administration introduced the President’s Management Agenda, which holds Executives accountable for achieving the Agency’s goals in their performance appraisal. 
Requires a link between the individual employee’s performance goals and the Agency’s strategic goals.
At the bottom of the page is a quote from Richard Grote who wrote, “The Complete Guide to Performance Appraisal.” In 2000 he was called to serve on a group studying performance appraisal and seeking to come up with an optimal system for several, large private companies.  In an article, he wrote that when they began benchmarking it was long before the group noticed that all of the innovative and consistent improvements were coming out of the Federal Government’s performance management programs which led him to make the statement:  READ STATEMENT.

## Slide 18

| EPCS Structure |
| --- |

| Progress reviews | At least one approx mid-point |
| --- | --- |

| Appraisal cycle | May 1-April 30
Implement performance plan within 30 days of the beginning of the new performance cycle or within 30 days of the employee coming into the position. |
| --- | --- |

| Minimum appraisal period |  90 days
GESTA employees – 120 days |
| --- | --- |

| Plan/Element Style
 | Results-Oriented, use of cascading methodology
 |
| --- | --- |

| Types of Elements | Critical (C) – One “Fails” equals “Fails” overall.  The plan must contain at least one critical element.
Non-critical (NC)
The plan will have a 5 to 8 performance elements. |
| --- | --- |

**Notes:**
The next two slides cover the structure of the performance management system that’s in place at NASA/Goddard.

## Slide 19

| Reviewing Official | Higher level review is required for all ratings of record of Distinguished and Fails to Meet Expectations. |
| --- | --- |

| EPCS Structure  |
| --- |

| Reconsideration of Rating | Request Reconsideration
Appeal Processes |
| --- | --- |

| Summary Rating Levels | Distinguished (All C or NC Elems rated SE)
Meets/Exceeds (All C Elems rated at least M/E)
Fails To Meet (Fails to Meet any critical elem) |
| --- | --- |

| Element Rating Levels (Rate performance on each element unless employee did not have an opportunity to perform.) | Significantly Exceeds (SE)
Meets/Exceeds (M/E)
Fails To Meet |
| --- | --- |

| Rating of record | A performance appraisal must be conducted within 30 days of the end of the performance cycle.  Mandatory written narrative (identify result and relevant performance element and indicators)  |
| --- | --- |

| Awards | Ratings of
Distinguished (All C and NC rated SE)
Meets/Exceeds (All C and NC rated M/E) |
| --- | --- |

**Notes:**
If employee is dissatisfied with reconsideration decision, may file grievance in accordance with formal grievance procedure (normally within 15 days of receipt of reconsideration decision)

## Employee Performance Communication System  

- Employee Performance Communication System

**Performance Planning**

**Monitoring**

**Rating**

**Rewarding**

- Request  Ee’s accomplishments
- Conduct progress review and sign form
- Consistently measuring performance and providing feedback on progress toward  goal achievement
- Discuss  work requirements
- Provide clarity to expectations
- Correct deficiencies
- Maintain a performance file with accomplishments, etc. for all staff

**PERFORMANCE PLAN ESTABLISHED**

**ONGOING FEEDBACK/ PROGRESS REVIEW**

**OUTCOMES/GOALS**

**RESPONSIBILITIES**

**Supervisors**

- Communicate mission  program and cascaded goals
- Determine work unit and individual contributions
- Develop performance elements (critical, non-critical), standards and indicators at Meets/Exceeds level
- Get input from Ee.  Supervisor  makes final decision.
- Sign and date plan

- -Coach
- Develop competencies to perform well in the current position and consider future needs including succession planning.
- Ensure employee takes required training such as IT Security Awareness
- Use a variety of development methods, ie., OJT, independent study, shadowing,, etc.

- Review work
- Request list of accomplishments from the employee
- Review work accomplishments against the indicators
- Assign a performance rating/complete narrative
- Prepare for the performance discussion
- Meet with the Ee
- Sign Rating
- Decision on request  for reconsideration

**INCREASE COMPETENCIES**

**PERFORMANCE APPRAISAL**

**ACHIEVEMENT RECOGNITION**

- GSFC Strategic and Annual Plan
- Cascaded goals
- Prior performance plan
- EPCS NPR 3430.1B
- EPCS Performance Plan Form 1727 (May 2006)

- Current Performance Plan
- Mid-Term Progress Review and Plan Update (Guide)
- Project discussions
- Work plans
- Work samples
- Input from detail and  matrix supervisor and team leader

- Your observations
- Ee requests
- Individual Development Plan

- Appraisal rating and justification
- Special Achievement nomination forms
- Awards NPR 3451.1
- GSFC GPD 3451.1D

**Stage 1**

**Stage 2**

**Stage 3**

**Stage 4**

**Stage 5**

**Employees**

**Developing**

**RESOURCE AIDS**
**(and inputs into process)**
**       ****See website* for    **
**       ****Guidance Documents**

*** **_[http://ohcm.gsfc.nasa.gov](http://ohcm.gsfc.nasa.gov/)_

- Use the numerous award options available.
- Reward good performance throughout the year for special achievements.
- Recognize sustained high performance based upon the final performance appraisal.
- Become familiar with the various awards available and plan your nominations.
- Be prepared to submit nominations when the agency announces the awards call for nominations which occur a various times during the year.

- Performance Plan
- Project discussions
- Notes from Progress Review
- Work plan
- Databases, Logs
- Detail and Matrix Supervisors
- Team leader
- Employee’s list of accomplishments

**Notes:**
As mentioned during the Introduction there are five stages in the performance management system.  Supervisors and employees share responsibilities for activities at each stage.  Supervisors have primary responsibility and are held accountable in the performance plan for performance management.
Having gone through this process as an employee, you’re familiar with the process steps.  Under the Performance Planning Stage, you want to:
Discuss the performance plan and the link to goal achievement, specific tasks and projects to be accomplished, and answer questions.
Carefully consider and discuss employee’s concerns and suggestions. Keep in mind where there are disagreements, you make the final decision based upon your knowledge of program and work unit goals to be achieved.
The performance plan becomes effective when both you and your employee have signed and dated the plan.  If the employee refuses to sign the plan, note that on the form, sign and date the plan.  Email your employee that the plan is effecting the plan and it contains expectations she or he will be held accountable for during the appraisal cycle.
You’re required to conduct a minimum of one progress review.  However, as a supervisor, you should regularly provide feedback on work assignments and goal achievement.  Take time to prepare for the progress review.  Refer to Guidance document.  Note that you should discuss both strengths and weaknesses, employee’s progress toward goal achievement, and if necessary, update the performance plan where expectations have changed.
Another ongoing process is developing your employee.  Discuss training and development needs based upon employee’s requests but also based upon your observations.  I don’t know what the turnover rate is like but you want to watch out for knowledge management.  Continuously, train employees to step into new roles particularly where you anticipate staff turnover.
Similar to progress review, when you conduct the final appraisal be sure to get input from the employee on accomplishments and concerns.  Most likely there will be far more of one than the other at appraisal time.  But you’re better off getting the information so that you have a complete picture of the employee’s achievements to consider.  This is especially important for those individuals who work independently because they’re achieving constantly without your knowledge in some cases.  
Reconsideration requests.  An employee who disagrees with his/her rating of record may submit a request for reconsideration (normally within 15 days from date rating was received-30 days for GESTA employees).  Employee will be given opportunity to present supporting information.  Rating Official must reconsider and issue a decision within a reasonable time (normally within 10 days)

## Writing Elements

- Passe (PD-style Elements and Indicators)
- Focus on _actions_ taken to produce results.  Usually begin with a _verb_.
- Examples,
- Element:  _Studies Objects of Interest_
- Standards:
- _Develops _methodologies
- _Studies_ matters X, Y, and Z.
- _Writes _protocol

## Writing Indicators

**M**
**A**
**R**
**T**
- OBJECTIVES

- SPECIFIC. The standards and/or
-  indicators clearly identify the expected
-  outcome including measures that indicate
- whether objectives have been achieved.

- MEASURABLE. Includes relevant
- Measures  of quality, quantity, timeliness
- and cost-effectiveness.

- TIME-BASED.  Due dates in terms of
- Regular Intervals, i.e., weekly, monthly,
- quarterly, etc.

- RESULTS ORIENTED.  Expressed in terms
- outcomes or outputs of individual’s work, the
- products and services and attributes required.

- ATTAINABLE.  Expectations should be
- reasonable yet challenging.

**Notes:**
When writing the performance plan, you want to use SMART objectives.  SMART is an acronym for:
Specific, Measurable Attainable, Results-oriented, and Time-Based

## Writing Elements

- Develop meaningful performance elements
- Aligned with Center, program and work unit goals
- Focus on _results_ of work written as outcomes
- Increase electronic government
- Increase or Advance knowledge/awareness of Matter X
- Reduce time or incidents of  X
- The individual employee’s contribution toward goal achievement maybe a ***product or service*** frequently expressed as an output (_**noun**_), for example,
_***Element***_:  Analytical Results and Specifications

**Notes:**
All of the stages of Performance Management are equally important.  However, I want to focus on a couple of areas in the short time we have.
Writing the performance elements and indicators
Objective performance appraising.

## Determine Critical Elements

- Determine whether the element is critical or non-critical.  An element may be critical if:
- It represents a major component of work.
- The individual has control over outcome rather than a team effort.
- There would be serious consequences for the work unit if employee fails to meet expectations.
- A significant amount of the employee’s time is spent on related tasks and activities.

**Notes:**
The next step is to determine whether the element is critical or non-critical.
To determine whether an element should be categorized as critical or not, you want to consider these factors.
For the most part, if any of these are affirmed then the element is most likely critical. 
Individual has control over the outcome, i.e., this is not a team effort.  Non-supervisory employees cannot be held accountable for the performance of a group.
There would be serious consequences if objectives are not met, then definitely critical.
It’s where the majority of time is spent, then it should be critical.  If the employee is spending a lot of time on tasks that are not tied to work unit goal achievement, priorities should be changed and the element should be classified non-critical.

## Writing Performance Indicators

| General Measures |  |
| --- | --- |
| Quality measures (how well)
Accuracy (error rates)
Effectiveness
Appearance
Customer satisfaction | Quantity measures (how much)
Production rates
Numbers of products/services produced
 |
| Timeliness measures (how quickly)
Time limits
Due dates
Schedules | Cost-effectiveness measures (dollar savings or cost control)
Maintaining or reducing unit costs
Reducing personnel resources required
Reducing time it takes to produce
Reducing waste |

**Notes:**
Here’s an often overlooked area. We tend to do really well with identifying the products and services expected.  But we overlook how they’re to be produced.  There are four general measures that are used:  quality, quantity, timeliness and cost effectiveness.  Oftentimes, we’re able to cover expectations adequately using the areas on the left side of the quadrant:  
Quality measures how well the outcomes must be performed.  Quality indicators include accuracy, effectiveness, appearance, and stakeholder satisfaction.  As a supervisor, you are an important stakeholder and that’s the reason, that you are identified as a judge observer for each element.  It begins, “The rating official must be generally satisfied that” the stated indicators have been met.
Timeliness is another frequently relied upon measure.  It’s expressed in terms of due dates, schedules, or timeframes identifying such as daily, weekly, monthly or quarterly.
I’m sure you’ve seen indicators expressed in terms of 
Study will be comprehensive, accurately reflect findings, completed of professional quality.  Projects will meet customer requirements and be completed in accordance with scheduled due dates.
For some positions quantity measures are important and expressed in terms of the numbers of items that are to be completed within a specified timeframe, for example, at least one paper will be published in a peer-reviewed journal.  
And finally, we have the cost-effectiveness measures which focus on dollar and cost savings related to resources used.

We talked about having results-oriented and time-based standards and so I’d like to move from SMART criteria to talk about invalid standards and avoiding them.

## Performance Element Example 

- Element:  Analytical Results and Specifications
- The Research Manager is generally satisfied that:
- The _method_ measures the ***appropriate*** variable.
- The _results_ are ***relevant***.
- The _method_ is ***scientifically sound***.
- There is a ***well-written*** protocol.
- The_ method_ is ***accurate, precise, reproducible, and cost-effective.***

- *Results in the form of products and services are underscored.
- **General measures are in bold italics.

## Writing Performance Indicators

***Absolute Standards/Indicators*** offer no room for error and even a single failure is deemed unacceptable.
- 		Exception – can be used only when an error may
- 		result in loss of life, serious injury, threat to national 	security, or large monetary losses.
**Overcoming Absolute Standards/Indicators**
- Add a performance qualifier, for example,
- 		_Meets/Exceeds Expectations_
- Usually, regularly, generally performs as follows.

**Notes:**
There are two types of invalid standards, the absolute standard and the backward standard.  We generally, do not have a problem with backward standards with this type of rating structure.  

## Writing Performance Indicators

- Invalid Standards/Indicators
***Backward Standards***
- A backward standard is one that is written in such a way that it is impossible for the employee to fail.  For example,
- Work assignments often require minor revisions.
- The employee’s productivity and impact on organizational effectiveness and/or customer satisfaction needs improvement.
**Overcoming backward standards**
- Usually, work assignments are complete and only require minor revisions.
- Usually productivity supports organizational effectiveness and has a positive impact on customer satisfaction.

**Notes:**
I want to mention backward standards because with the three level system the Meets/Exceeds level is the retention level and that’s where we need to watch out for backward standards.
The tendency is to describe work that doesn’t get done rather than what must be done to meet the level of performance. Just looking at these examples, you can see where this actually describes unacceptable performance and it’s impossible to fail.  
Here are the corrections.

## Monitoring and Developing

- Monitoring Performance
- Give regular, honest feedback.
- Avoid waiting until the end of the performance period to tell your employee that s/he has not been meeting expectations or could have done better.
- Feedback is performance compared to the performance elements/indicators.
- Developing Performance
- Avoid using formal, classroom training as the only method of development.

**Notes:**
Just a couple of points around Monitoring and Developing Performance.

## Rating Performance

- Review accomplishments against the performance standard and indicators and assess how well your employee performed against each.
- Rate each element
- Significantly Exceeds
- Meets or Exceeds or
- Fails to Meet

## Key Definitions – Element Ratings

## Key Definitions – Summary Ratings

**Meets/Exceeds**

**Fails to Meet**

**All critical and non-critical elements must be rated **
**Significantly Exceeds.**

**All critical elements must be  rated at least Meets/**
**Exceeds.**

**Performance for one critical element is rated Fails to Meet.**

**Notes:**
So, you follow these definitions along with the steps taken at the planning, monitoring and developing stages and you should come up with an objective, final appraisal rating, one that you feel comfortable providing.  

But that’s a lot easier said than done.  A whole lot of other things happen between May of one year and April of the next.  
So let’s take a look at some of the common rating errors that lead to a subjective performance evaluation.

## Rating Performance

**Common Rating Errors**
- Halo Effect overrating performance
- Horns Effect underrating performance
- Employee Comparison
- Central Tendency/Leniency (to avoid conflict)
- Length of Service
- Narrow Focus (one/two events drive overall rating)
- Personal bias

**Notes:**
So now your performance plans have been established.  They’re objective, they include SMART factors. The employee understands what to do and the relevance.
You’ve provided feedback and held discussions about development.
Now it’s time to rate performance against the performance plan.  And you know you’re going to rate performance against the performance standards but let’s take a look at some common rating errors.
Halo Effect overrating performance because:
Good past performance
Good performance in one element
Personal friendship
Employee holds similar beliefs or background as supervisor
Horns Effect underrating performance because:
Poor past performance
Independent work methods
Poor performance in one area or on one occasion

## Overcoming Rating Errors

- Rate performance against the performance elements, standards, and indicators only.
- Consider performance over the entire rating period.
- Give appropriate consideration to all work outcomes – negative and positive based upon whether achievements were met, exceeded, or significantly exceeded.
- Consider whether outcomes were within employee’s control.

## Recognize Performance

- _Honorary_
- NASA Honor Awards
- Goddard Honor Awards
- Awards of Excellence
- Colloquia/Memorial

- _One NASA Peer Award_
- Individual/team, multiple Centers.  Achievements support NASA’s strategic goals and utilize a One NASA approach.

- _Monetary or Time-off_
- Sustained High Performance
- Quality Step Increase (QSI)
- Special Act
- On-the-Spot
- Time-off

- _External Awards_
- Other agencies & private

## Results of Performance Appraisal

|  | Distinguished | Meets/Exceeds | Fails to Meet |
| --- | --- | --- | --- |
| Awards | Monetary
Non-monetary | Monetary
Non-monetary | Not eligible |
| Pay | Eligible for:
 Quality Step Increase (QSI)
Promotions | Eligible for:
Within grade increase
Career Ladder Promotion | Within grade increase denial |
| Reduction in Force | 20 years of service credit | 12 years of service credit | No service credit |
| Corrective Action | --- | --- | Counseling
PIP
Reassignment
Demotion
Removal |

**Notes:**
The Performance appraisal rating is considered when making decisions under many systems.  
Distinguished performance ratings are taken into consideration when looking at awards in that it may be an indication of the employee’s ability to perform at the next higher grade level.

## Causes of Poor Performance

**Performance**

**Employee Problems**

**Organization-Based Causes**

- Failure to Accommodate

- Failure to train or instruct

- Lack of Feedback

- Unrealistic Expectations

- Failure to Communicate Expectations

- Lack of know- ledge, skill, or ability

- Lack of effort or attention

- Poor judgment

- Lack of resources

- Harassment
- Hostile environment

- Personal issues

**Causes of Poor Performance**

**Notes:**
Then I’d like to look at some of the causes of poor performance for your own awareness and especially the Organization-based causes since for the most part they’re within your control and responsibility.  For example, failure to communicate expectations . . .
Then there are the employee problems that you should expect to arise, including personal issues, poor judgment, lack of effort or attention and then lack of competencies.  The good news is you can assist with lack of competencies during the monitoring and development processes.  Personal issues require patience and observing a variety of regulations including reasonable accommodation, family and medical leave act, and others.

## Implications for Successful Supervision

- Hire Right.
- Utilize Probationary Period.
- Clearly articulate organizational goals.
- Set realistic expectations.
- Demonstrate honesty, integrity, and commitment to diversity.
- Build trust through fairness and transparency.

**Notes:**
Hire Right
Gather sufficient information 
Conduct thorough reference checks
Utilize Probationary Period/Trial Period
Intended as an extension of the selection process to assess suitability
Normally one year after entry on duty
May terminate without extensive procedural rights if necessary

## Implications for Successful Supervision

- Treat employees fairly when assigning work, evaluating and rewarding performance.
- Provide continuous, accurate, and meaningful feedback.
- Provide assistance for poor performers including EAP referral.
- Make _reasonable_ accommodations.

## Slide 40

## GSFC Supervisory Feedback System

- Tool will be made available prior to end of performance appraisal cycle.
- Employee participation is voluntary, may rate up to 3 supervisors including matrixed manager.
- Feedback to be considered as one factor in your performance review.
- Tool provides feedback on:
- Organizational Communication
- Diversity (Respect and Inclusion)
- Accountability
- Teamwork
- Human Resource Management
- Change Orientation
- Financial/Technical Management

**Notes:**
This is just a quick mention.  You’ll probably hear more about this.  But as supervisors, you may receive feedback on your performance from your employees including matrixed employees.  That feedback maybe or should be taken into consideration by your manager along with feedback from your customers when evaluating your performance.  Here are the areas of performance employees are able to provide feedback around using the GSFC Supervisory Feedback System.

## Resources for Supervisors

- Bernadette Fowler (301) 286-4998, Performance and Work-Life Dynamics Office
-    Or (301) 286-9218 (general number)
- Khrista White (301) 286-9059 re Awards
- Human Capital Website at _[https://ohcm.gsfc.nasa.gov](https://ohcm.gsfc.nasa.gov/)_.  See Performance Management  and Awards.