1. NG Technician Performance Management SSG Brooke Goldsberry
This module is an overview pertaining to performance management standards and appraisal counseling that you are responsible for regarding your employees.
It is not designed to provide the details and teach you to perform these activities. Learned through experience and often mentorship of peers (Some of which we hope you gain in this room)
This block of instruction is NOT a writing workshop. This appraisal system has been in effect since Every employee should have a performance plan on file, and every supervisor should have examples to use when creating new employee plans and critical elements. Guides are available in the Performance Management Tab

2. What is Performance Management
Formal Definition: A continuous, systematic process of evaluating individual technician performance against clearly stated performance standards.
What is Performance?
Ideally you hire an employee who matches the job, who will do well, be productive, and give you few problems.
Human factors exist. Without balance
Workplace performance and conduct
issues can and often do arise.
Family
Personal
Work
Performance is the ability to do the job. Commonly confused with conduct which is the unwillingness to do the job. You can’t address conduct through performance avenues but they can be used as support for later non-disciplinary or adverse actions if
At all levels of employment and leadership and for many reasons. Requires SYSETMATIC

3. Why should you actively manage performance?
Employees are our investment literally. Consider:
Dual Status - Average cost for Initial Training and AIT/Tech School can range from $75k to over $100K. Average cost per UTA is $123
Technician pay: Government contributions are paid toward technician benefits (Example $715 per pay period GS 12) Consider these costs over a career
Proper management increases efficiency, morale, and the likelihood of retaining a quality employee
Responsibility to Monitor and Develop
As supervisors you manage performance, but not the performance of robots….People. Knowing your employees
and elements of their life outside work
can assist in identifying and addressing
performance deficiencies.
Requirement is backed by law
Family
Personal
Work
In recent years we have shifted away from the mentality that employees meet the standard by simply converting Oxygen into CO2. Performance carries weight and relevance.
We owe it to our employees to clearly communicate expectations. How many of you have worked for supervisors who had no idea what you did and didn’t seem to care.
How many of you have worked for a supervisor that no matter how well you seemed to do your job, it was never good enough? Are you that supervisor? Has who you are as a supervisor been shaped by your own bad or good examples. Share your stories success or failure stories.
Yes they applied for a position to meet a need, and are a small cog in an ever growing wheel that grinds forward accomplishing mission, but how much smoother do cogs turn with appropriate grease to the gears, how much faster to you meet your organizational goals and retain solid performing employees if you communicate with and nurture and develop your employees. Good employees produce good supervisors. It is feasible the supervisors of today are building the foundations of those who may supervise your children, a family member.

4. Impacts of Failure to Manage Performance
Rating of record is required within 5 years or NO personnel actions will process in the system (promotions, within-grade increases, reassignments, etc.)
Employees also need current ratings in order to be eligible for certain awards: QSI’s and SSP’s.
The last 3 appraisals are used in the event of a Reduction-in-Force.
Can create a toxic work environment and one person’s issue can become a systemic issue.
Can be a safety issue depending on the nature of the position
Performance issues commonly lead to conduct issues -
With the FY 2016 and FY 2017 NDAA changes allowing appeal to the MSPB, even more emphasis should be placed on performance management and specifically, logical, and documented performance deficiencies. Performance issues can lead to discipline and adverse action.

5. Topics of Discussion Overview of the Program Components
Ratings defined
Appraisal Cycle
Requirements for Critical Elements
Developing Critical Elements
Employee, Rater, and Higher Level Reviewer Responsibilities
Writing Effective Critical Elements
Managing Poor Performance
Performance Improvement Plans

6. Performance Appraisal Program Overview
Annual Appraisal Cycle: 1 Oct – 30 Sep*
Rating Levels 1 thru 5.
Each eligible employee plan and appraisal requires development of critical elements.
Mandatory Interim Review
Mandatory Supervisory “Critical Element”
Employee must be in position under approved plan for 120 days to be rated
DoD M, SC430.AP Appraisal Periods ---SC430.AP Performance appraisal programs shall establish an official appraisal period during which performance shall be monitored and for which a rating of record shall be prepared. The programs shall generally designate appraisal periods so that employees shall be provided a rating of record on an annual basis. TPR 430, para 2-1 states: “The appraisal period will be on an annual basis with the appraisal year; normally October 1 through September 30 each year.” *States have the flexibility to establish another appraisal period after negotiating with their bargaining unit.
DoD M, SC430.AP Summary Level --- SC430.AP Each performance appraisal program shall provide a method for deriving and assigning a summary level from one, and only one, of the following patterns based on appraisal of performance on critical elements and, where applicable, non-critical elements
New Term:
My Performance: (Previously PAA – Performance Appraisal Application Tool) Implementation is forthcoming once I & I is complete at the national level. The system already reflects as My Performance, not PAA but for now, until the official transition we will use the words synonymously. (As of July 2017)
Annual Appraisal Cycle will change to 1 APR – 30 March
Summary Levels will change from 5 to 3
Minimum rating time will change to 90 days from 120 days.

7. Program Components
Trial Probationary Period : No official appraisal required until completion of 12 months
Performance Plan: Job objectives/critical elements that set forth expected performance (must be approved)
Self Assessment: An employee’s description of his/ her performance and accomplishments.
Interim Review: An assessment conducted at least once during the appraisal.
Completed Appraisal : The performance rating prepared at the end of an appraisal period. Supervisors must complete 1 rating of record every FY.
Although no appraisal is required for trial probationary employees, a performance plan and IDP should be given to each probationary employee to ensure success at the end of the rated year.
Self Assessments are optional but help to actively engage the employee in their performance. In instances where your supervisor is levels above you and not directly engaged in your day to day tasking, it is a useful platform to give weight and merit to your performance.

8. Ratings of Record Critical Element Rating Descriptors 5- Outstanding
Outstanding performance in one or more critical elements and excellent performance for all other critical elements
4- Excellent
Excellent performance in one or more critical elements and fully successful performance in all other critical elements
3- Fully Successful
Overall fully successful
2- Marginal
Below fully successful performance for one or more critical elements, but at least marginal performance for all critical elements. Requires a PIP. Supervisors may deny a within-grade increase or step increase.
1- Unacceptable
Fails to meet at least the marginal performance standard in one or more critical elements. Requires a PIP. No within-grade increase or step increase is allowed until performance improves. Requires justification and documentation.
Ratings of Record

9. Appraisal Cycle / Process
Performance Plan Approved within 30 days of new FY
Interim Review Conducted January-April
Annual Rating of Record by 30 October each year
Staying off the late list Examples:

10. Requirements for Critical Elements
Critical elements must be linked to the mission
Minimum of 2 critical elements. Generally 3-5 but no more than 10.
Mandatory Supervisory Critical Element
Critical elements must be in either the SMART / MARST format
Critical elements may be weighted
Minimum 2 maximum 10, generally 3-5.

11. Developing Critical Elements
Analyze the job by reviewing the PD and other documents related to the position
Get input from the employee
Critical elements SHOULD constitute a major component of the job that:
if not accomplished would have adverse impact on the organization
If performance of them was unacceptable would cause serious consequences
If unacceptable performance continued would warrant reassignment, demotion, or removal
Be linked to the mission
Critical elements should NOT include:
Collateral duties
Any offenses outlines in TPR 752 (i.e. wear of military uniform, must be on time, etc)
Mandatory Supervisory Element: If your subordinate is a supervisor include additional performance elements (i.e. EEO Program Support, Safety Support, Performance management responsibilities) N

12. MANDATORY Supervisor Critical Element
Supervisor’s MUST have within their individual performance plan a Supervisory Critical Element.
Should contain at least one leadership critical element.
Holds supervisors accountable for carrying out responsibilities of their position.
May include but is not limited to items listed in TPR 430, Para 2-8(f)5as a loose framework. Appendix B
Failure in that element as a supervisor results in an overall failure rating for the supervisor appraisal

13. Employee’s Responsibilities
Employees are encouraged to:
Participate in the development of critical elements
Identify and record their accomplishments
Participate in interim reviews and the end-of-year assessments, including the self-assessment.
Understand the link between their performance expectations, conduct, and organization mission and goals

14. Rater’s Responsibilities
Attend supervisor’s training concerning performance management.
Develop critical elements aligned to mission goals and objectives
Communicate performance expectations to employees and hold them accountable for achieving them
Provide employee feedback—at least one interim review
Foster and reward excellent performance
Address poor performance
Make meaningful performance distinctions among employees (especially if you rate multiple supervisors)
How can we expect an employee to perform if we don’t provide clear expectations.

15. Higher Level Reviewer Role
Gives additional oversight to subordinate raters
Higher level review is engaged in approval of both the plan and the final appraisal
Not required but recommended
Can foster continuity among subordinate raters
Ensure organizational goals are communicated to subordinate supervisors and employees
Find a common thread to allow equitable rating of supervisors. Supervisor come in all types, styles and have varying strengths and weaknesses.
Using HRO as an example: Our HRO serves as the HLR for multiple supervisors

16. Writing Effective Critical Elements
SMART is a framework for developing (and evaluating) Critical Elements
Specific
Measurable
Aligned
Realistic/Relevant
Timed

17. Critical Elements Are Specific
Define an observable action, behavior, or achievement
Link to a level of performance, frequency, percentage, or other number
Are specific regarding the description of the result (not the activities to achieve that result)

18. Critical Elements are “Measurable”
Provide a method to allow tracking, recording, and validation of quality of a specific behavior, action, or outcome
Define:
Quantity (how many)
Time (how long)
Quality (how good)
Resources (how much) S M A R T
SSgt Mullins is responsible for completing all new hire actions in DCPDS within 5 days of the start of every pay period with minimal error.

19. Critical Elements Are Aligned
Line of sight is drawn between the employee’s work, unit’s goal, and the organization’s mission
Critical Elements ensure all are working toward shared goals
All critical elements in the organization pull in the same direction
Managers/supervisors need understanding of their own goals, objectives and critical elements before they can work with their employees to establish theirs S M A R T

20. Critical Elements Are Realistic/Relevant
Realistic: Goals and objectives achievable with the resources and personnel available, and within the available time
Relevant: Goals and objectives are important to the employee & organization
Responsibility must be
grade appropriate S M A R T
National Mission
State Mission
Unit Mission

21. Critical Elements Are Timed
Established start and/or end dates are defined
Specific dates (e.g., March 15) are preferred over relative descriptions of time (e.g., 6 months)
Milestones can be included
Examples:
Specific Time – by December 10
Relative to another event – 6 months after…
Recurring – quarterly, bi-weekly

22. Sample SMART Critical Element
GS07 – Under limited supervision provides accurate and timely advice and guidance on an “as needed basis” to headquarters staff and managerial accountants in the field – resolving normal issues/inquiries in 5 – 7 business days. Prepares responses for supervisor’s review, to questions and inquiries covering a variety of policies and directives that require the correct application of accounting principals, theories, concepts and practices to financial processes to produce accurate results and meet legal requirements.
GS11 – Provides accurate and timely advice and guidance on an “as needed basis” to headquarters staff and managerial accountants in the field – resolving normal issues/inquiries in 5 – 7 business days, for more complex situations an initial response should be given in 5 – 7 business days and updated until resolved. Independently prepares responses to questions and inquiries covering a variety of policies and directives that require the correct application of accounting principals, theories, concepts and practices to financial processes to produce accurate results and meet legal requirements.

23. Weighting Critical Elements
Each critical element may be weighted to indicate importance and effort
Weighting is entered as a percentage in increments of 5%
At the end of the performance cycle, the percentages are multiplied to the individual objectives’ rating to produce the overall performance rating
If values aren’t entered, all critical elements are weighted equally
Critical Element 1 — 35%
Critical Element 2 — 20%
Critical Element 3 — 15%
Critical Element 4 — 15%
Critical Element 5 — 15%
Total Weighting = 100%
Upcoming Change: Weighting of elements will be removed under My Performance

24. Weighted Critical Elements
Employee 1 rating for each CE
Employee 2 rating for each CE
Weight
Employee 2 Rating after weighted.
Ex1
Rating
Adj. Rating 1 3
10.00%
0.30 2
25.00%
0.75
65.00%
1.95
3.00
100.00%
Ex2 4
10%
0.40
25%
0.50 5
65%
3.25
3.67
100%
4.15
Ex3
1.00
1.30
3.33
2.70
Ex4
2.67
2.35
This slide illustrates the advantages and disadvantages of weighting critical elements. Employees 1 and 2 have the same critical elements, and received the same rating for each element. The only difference is, Employee 2's critical elements were weighted.
If the rating is “X.50” the score stays at the same rating level. If the rating is “X.51” the score is adjusted up to the next rating level.
Example 1: Both employee receive a Level 3 rating
Example 2: Employee 1 = Adj. Level 4 rating/Employee 2 = Adj. Level 4 rating
Example 3: Employee 1 = Adj. Level 3 rating/Employee 2 = Adj. Level 3 rating
Example 4: Shows where an employee would be disadvantaged if their critical elements alone were weighted in comparison to their counterparts whose critical elements were not weighted.
Example 4: Employee 1 = Adj. Level 3 rating/Employee 2 = Adj. Level 2 rating

26. Mandatory Formal Performance Management
Supervisors are REQUIRED to provide assistance to employees who are rated at or below a level 2 in any one critical element
Step increase can be delayed or denied based on poor performance a successful rating is complete
Document Document Document!

27. Addressing Performance Early Informal Efforts
Assistance may be provided at any time during the appraisal period that performance is unacceptable.
Counseling
Increased Supervisory Assistance
Paired with work ‘Mentor’
Additional Trainings
OJT
Internet Based
Remedial
Specialty Courses
This means an unsatisfactory appraisal isn’t required BEFORE providing assistance

28. Addressing Performance Early Formal Efforts
Range of Options to Address Unacceptable Performance.
Supervisors will address unacceptable performance with one or more remedial, corrective actions that address the problem. Supervisors should consider the broad range of options available to address unacceptable performance which includes, but is not limited to, the following:
(a) remedial training,
(b) Performance Improvement Plan (PIP)
(c) reassignment
(d) change to lower grade
(e) removal

29. Performance Improvement Plan
Formal written plan
Mandatory if a rating of level 2 or below in any one critical element
days in duration
Should document specific instances of unacceptable performance and state specifically what must be accomplished to perform at or above the Level 2 rating
Consider circumstances, nature, gravity and consequences
Consider knowledge deficiencies where applicable
Sample PIP is available in Appendix D of TPR 430 and review by the Employee Relations Specialist in HRO is highly recommended
Knowledge deficiencies – Newly promoted employee, may have certified at a certain level but there is a learning curve.
Temporary Promotion vice
Is it equitable to poorly rate someone who hasn’t received appropriate training

30. Performance Based Actions
If formal reduction in grade, or removal is decided, following the formal PIP, a 30 day advanced written notice is required.
Notice must describe IN DETAIL the instances of unacceptable performance the action is based on.
The reviewing official (in HRO) must concur with this advance written notice.
This is not a proposed notice, but is considered a final notice because adequate assistance and time has been previously given to improve performance. The 30-day requirement does not apply to trial/probationary employees.

31. Appeals
Technician may appeal any performance appraisal or notice of rating or any single aspect of an appraisal/rating.
Timeframes for filing appeals:
Unacceptable ratings – within 15 calendar days of receiving the appraisal
Other than Unacceptable ratings – within 30 calendar days of receipt of written notice or the appraisal
Performance Appraisal Review & Appeals Board:
Members must be equal or higher in grade & cannot be in technician’s chain of command
Entitled to representation
If a technician is a member of a collective bargaining unit with a negotiated grievance procedure covering the challenge of performance ratings, the technician must use the negotiated grievance procedures to challenge the rating of record.

32. Questions
Don’t struggle. Use the resources on our homepage to your advantage. Don’t hesitate to call and request a review of a draft PIP,, etc. We have several personnel that can advise on the different elements we have discussed today.