1. Monitoring Performance
July 2016

2. Monitoring Performance
The ongoing assessment of performance compared to the stated expectations and ongoing feedback to employees on their progress toward reaching their goals
DODI Instruction , Vol. 431
July 2016
IT’S NOT ABOUT THE 365 TH DAY

3. Monitoring Performance
Monitoring Phase
Two-Way Communication
Emphasize Organizational Goals
Frequent Performance Discussions
Focus on Performance
Timely Recognition and Rewards
Early Detection of Performance Issues
July 2016
IT’S NOT ABOUT THE 365 TH DAY

4. Monitoring Phase Roles and Responsibilities
Supervisors
Continuously communicate; provide encouragement, meaningful feedback, and recognize accomplishments
Provide employees an opportunity to highlight their successes relative to the performance elements and standards
Identify needed changes to performance elements as appropriate
Review IDPs to identify development opportunities
Identify employee’s skills and abilities, and look for opportunities to further develop them
Document performance discussions
Recognize and reward performance throughout the performance appraisal cycle
July 2016
IT’S NOT ABOUT THE 365 TH DAY

5. Monitoring Phase Roles and Responsibilities
Employees
Ask questions
Engage in self-development
Keep supervisor informed on outcomes
Provide input during performance discussions
Identify changes to performance elements as appropriate
Identify challenges impeding ability to be successful
Work with supervisor to find solutions to barriers to success
Keep a record of their accomplishments so that they are able to discuss them throughout the cycle
Show Informal Feedback Session Gone Wrong Video
Then Show informal Feedback Session Gone Right
July 2016
IT’S NOT ABOUT THE 365 TH DAY

6. Revise when: IT’S NOT ABOUT THE 365 TH DAY
Revise the Performance Plan in the Monitoring Phase
Revise when:
Organizational goal or mission changes
Assignment(s), position, or duties change
Outside influences beyond an employee’s control make the original performance standards unachievable
Assumptions about what can be reasonably achieved during the performance appraisal cycle changed
NOTE: Minimum 90 day employee monitoring period for new/changed elements per DOD Vol 431, 3.2.d
July 2016
IT’S NOT ABOUT THE 365 TH DAY

7. Communicating Achievements
Employee input is strongly encouraged to ensure supervisors have a full range of information when evaluating employee accomplishments
Employee input should:
Identify accomplishments in a clear, concise manner
Describe how accomplishments relate to the performance elements and standards
Demonstrate how accomplishments contributed to organizational goals
July 2016
IT’S NOT ABOUT THE 365 TH DAY

8. Addressing Issues: Informal Feedback
First step in addressing performance issues
Informal feedback may take several forms
State what has been observed using facts, not emotions
Describe how the performance fails to meet standards
Wait for a response (let them talk)
Ask for a solution; give suggestions if needed
Agree on a solution together
Set a follow-up date and time
Steps for effective informal feedback are:
Transition Message: Even if measures have been taken to prevent a performance problem from occurring, performance may still fail to meet expectations. Let’s talk about what to do when there are performance issues.
Instruction: The first step in addressing performance issues is to provide employees with informal feedback. Informal feedback may take several forms (e.g., telephone, private office, ) and, in order to have the maximum benefit, should be given as soon as the supervisor identifies performance deficiencies.
Let’s look at the steps involved in providing informal feedback:
State what has been observed using facts, not emotions
Describe how the performance fails to meet standards
Wait for a response (let them talk)
Ask for a solution; give suggestions if needed
Agree on a solution together
Set a follow-up date and time
Make sure you document everything!
Make sure you document everything!
DPMAP Rev.2 July 2016
IT’S NOT ABOUT THE 365 TH DAY

9. Checklist: Communicating Performance Expectations
Are you sure the issue is primarily a performance problem (as opposed to misconduct)?
Have you communicated performance standards to the employee?
Are the standards clear and reasonable?
Have you asked the human resources staff to review the standards for any possible problems?
Have you given the employee specific examples of when their work did not meet the standards?
Transition Message: Supervisors should use this checklist when informally communicating performance issues to employees.
Instruction: It’s imperative that the supervisor communicate expectations and performance issues. Supervisors should use the following checklist and ask themselves the following questions:
Are you sure the issue is primarily a performance problem (as opposed to misconduct)?
Have you communicated performance standards to the employee?
Are the standards clear and reasonable?
Have you asked the human resources staff to review the standards for any possible problems?
Have you given the employee specific examples of when their work did not meet the standards?
DPMAP Rev.2 July 2016
IT’S NOT ABOUT THE 365 TH DAY

10. Steps to Addressing Performance Issues
1. Clearly identify unacceptable performance
2. Offer assistance
3. Provide an opportunity to improve
Play Videos What would you do? Parts 1 and 2
July 2016
IT’S NOT ABOUT THE 365 TH DAY

11. Steps to follow for Addressing Performance Issues
Provide scheduled performance discussions;
Identify and document performance deficiencies;
Counsel employee on performance deficiencies;
Provide time for improvement
*If still unacceptable, consider a PIP
If still unacceptable, personnel action may result
* Show What would you do Part 3 Video
Transition Message: On the other side of the coin, supervisors may need to deal with employees who are not performing up to their standards.
Instruction: Although the vast majority of DoD employees work hard and do their jobs very well, there may be times when supervisors must counsel an employee whose performance is unacceptable. Performance that deviates from an acceptable level must be immediately addressed. Supervisors should conduct counseling sessions with the employee as soon as they think there is a problem; do not wait until a scheduled progress review or when the final performance appraisal discussion is due. Performance issues rarely correct themselves without action.
Steps for supervisors to follow when addressing performance issues. They are:
1. Provide scheduled performance discussions;
2. Identify and document performance deficiencies;
3. Counsel employee on performance deficiencies;
4. Provide time for improvement
5. If performance remains unacceptable, consider use of a performance improvement plan (PIP) – be sure to consult your HR Professionals for assistance;
6. If performance remains unacceptable, personnel action may result; (personnel actions include reassignment, demotion, or termination)
The goal is to not go through all of these steps – the point here is to head off performance issues before it gets to the level that requires a personnel action.
Note that employees should receive counseling during the three required formal performance discussions in DPMAP or when performing poorly but also whenever the employee does something well. Counseling and feedback are part of a supervisor’s responsibilities to all employees and should be frequent.
Effectively dealing with performers with performance issues, means recognizing employees’ training needs early, identifying deficiencies that can be corrected, and providing the most effective assistance to employees.
Note that PIPs can be given during the performance appraisal cycle (and not just at the end or after) if deficiencies have occurred AFTER the employee has been working under an approved performance plan for a minimum of 90 days.
*NOTE: refer to Collective Bargaining Agreements, and contact HR before taking this step
DPMAP Rev.2 July 2016
IT’S NOT ABOUT THE 365 TH DAY

12. Communication and Clarification
Communicate
Clarify
July 2016
IT’S NOT ABOUT THE 365 TH DAY

13. Formal Feedback: 8 Tips for Effective Counseling Sessions
1. Clearly communicate what acceptable performance looks like
2. Conduct the counseling session in an appropriate setting
3. Plan for enough time and document the session
4. Make sure the employee understands performance expectations
5. Focus on the performance issues
6. Leave emotions out of the conversation
7. Seek cooperation, NOT confrontation
8. The mutual goal is to improve the employee's performance
Transition Message: If it comes to a formal feedback, supervisors should start with a formal counseling session and ensure that everything is documented.
Instruction: Formal feedback often comes in the form of meetings or counseling sessions with employees. The purpose of counseling is to let employees with performance issues know that their performance is not meeting expectations and to help them raise their performance to the expected level. Counseling aims to assist, not punish, the employee.
The following 8 tips will help supervisors prepare for and conduct effective counseling sessions.
Clearly communicate what acceptable performance looks like
Conduct the counseling session in an appropriate setting
Plan for enough time and document the session
Make sure the employee understands performance expectations
Focus on the performance issues
Leave emotions out of the conversation
Seek cooperation, NOT confrontation
The mutual goal is to improve the employee's performance
DPMAP Rev.2 July 2016
IT’S NOT ABOUT THE 365 TH DAY

14. Formal Feedback – Writing the PIP
The Performance Improvement Plan (PIP) must include, in writing:
Element(s) in which performance is “Unacceptable” and a description of the unacceptable performance
A description of what acceptable performance looks like
The time allowed for the opportunity to improve
A statement of the possible consequences of failure to improve during the opportunity period
The assistance the Agency is offering the employee to improve unacceptable performance
If the employee fails to demonstrate performance at the “Fully Successful” level despite the PIP, the employee may be reduced in grade or removed from Federal service
CALL EMPLOYEE RELATIONS FOR GUIDANCE PRIOR TO INITIATING A PIP
July 2016
IT’S NOT ABOUT THE 365 TH DAY

15. Importance of Taking Immediate Action
Failure to take immediate action with employee issues could mean:
Damaging
Office Morale
Creates issues with other employees; projects image of ineffective leadership from supervisor
Disciplinary
Issues
Discipline issues are usually symptoms of performance issues
July 2016
IT’S NOT ABOUT THE 365 TH DAY

16. IT’S NOT ABOUT THE 365 TH DAY
Preventative Actions
Communicate clear performance standards and expectations to employees
Provide continuous, meaningful feedback on performance
Reward and recognize good performance, informally and formally
Make full use of the probationary period for new employees
July 2016
IT’S NOT ABOUT THE 365 TH DAY

17. Questions?
July 2016