1. Performance Management
The New JTF System
Determine the number of people that are providing advisory services to supervisors and employees, and under which system, TAPES or NSPS . Depending on the situation, you can emphasize the different sections in this module. There are 3 sections, Performance Management Overview, TAPES and NSPS. Since the first section is general in nature as far as performance management is concerned, it is appropriate no matter what system someone is under.
Supervisor Session

2. Law Regulation 5 USC 43 5 CFR Part 430 DoD 1400.25-M SC430
Point of the following references in the handouts section of the course binder and briefly discuss each one.
Note: 5 USC 43 is not included in the binder.

3. What is (or may be) New
Three Level Rating System: Excellent (5); Acceptable (3); Unacceptable (1)
(Note math: 1,3,5, not 1,2,3)
Ninety Day Minimum Appraisal System
Summary Level Deviation – Can be rated Excellent even if one objective is rated Acceptable (with JTF Approval)

4. What is Not New
System still governed by 5 USC 43 and 5 CFR Chapter 432
Objectives/Plan in Place within 30 Days
No Rating without Plan
No automatic rollover
Army/Navy plans ended August 14th
Midterm Appraisal still required
Take action whenever employee is failing even if it’s a single objective
Performance Appraisal Requirements driven by law, not Army/Navy policy; what was often referred to as army policy was usually legal requirements
No rollover—Supervisor can reissue the same plan/objectives each year
BUT It is a myth that employees remained on prior Army/navy objectives until new plan is issued; a plan must be issued each year , and integration required new system

5. Key Points No appraisal permitted without valid support form in place
Minimum appraisal period is 90 calendar days (with support form in place)
Two counseling sessions required - initial and mid-point
Rating chain signs first – then employee
AR , Appendix 1, Para 1 (c), says…
c. Extended rating periods. Rating periods are extended usually to allow a Ratee to work the minimum 120-day rating period in a position under an approved performance plan before being appraised. The following are some examples of situations in which a rating period might be extended. In these cases, a rating of record should be prepared as soon as the employee works for 120 days under an approved performance plan.
(1) The Ratee was on long-term training in a classroom environment and did not work under an approved performance plan for 120 days by the end of the cyclic rating period.
(2) The Ratee was on extended sick leave and did not complete 120 days of the cyclic rating period under an approved performance plan.
(3) The Ratee is in a performance improvement period (PIP).
(4) The Ratee is in a notice period for proposed disciplinary or adverse action based upon an offense that, if sustained, will have a direct impact on the performance appraisal.

6. Key Points Discuss objectives with employees prior to issuance
All objectives are critical; do not identify non- critical objectives.
Level 3 rating required for Within Grade Increase (WIGI).
Deny WIGI if failing (see slide 40)
Point out to the students that the numerical system in TAPES is the opposite from NSPS.
Be sure to point out that arriving at these overall ratings depends on the individual ratings and different formulas depending on whether the rated employee is in the Base or Senior System. The details can be found on page 2 of AR
In TAPES
Level 1 is Successful
Level 2 is Successful
Level 3 is Successful
Level 4 is Fair
Level 5 is Unsuccessful
In NSPS
Level 5 is Role Model
Level 4 is Exceeds Expectations
Level 3 is Valued Performer
Level 2 is Fair
Level 1 is Unacceptable

7. Key Points No Forced Distribution of ratings (Quota)
Encourage employee to do self appraisal at the middle and end of the rating cycle
Objectives and Ratings based solely on performance –not conduct

8. Annual Appraisal Period
1 October – 30 September
Reference - DA Pam , Chapter 4302

9. Performance Management: Process
APPRAISAL
"Lousy" is a bit general...
Let me tell you what I REALLY think of your work!!!

10. Performance Management:
Process by which managers, and supervisors link the planning, directing, and executing of work with civilian performance appraisal, pay, awards, and promotion.
From AR Chapter 4302
Performance management is the systematic process of integrating performance, pay, and awards systems to improve individual and organizational effectiveness in the accomplishment of Army mission and goals.
While this is the definition in the AR, it really applies to any performance management system.

11. Linkage Reduction-in-Force Promotions Compensation (WIGI's)
Rewards
Linkage
Promotions
Training/Career Development
Removal or Reduction in Grade
From AR Chapter 4303, TAPES, Subchapter 2
There is a linkage between Performance Management and numerous other programs.
Although this is from the AR governing TAPES, the same holds true for NSPS employees in many cases.
Reassignments
Retention

12. Why is Performance Evaluation so difficult to do?
...Involves the inherently subjective and
inexact process of one human being
assessing the work accomplishment
of another...
Discuss some of the issues that make it difficult. Supervisors have to remain fair and objective when it comes to performance evaluations!
Biases and Prejudice
Evaluating the employee’s personality and traits instead of their actual job performance and contribution to the agency.
Allowing personal feelings to affect employee’s ratings.
The Halo Effect
-When a supervisor has a bias towards a particular person because of a positive (perceived) trait which influences their perceptions about the individual.
-Rewarding those with similar backgrounds and beliefs
-Failing to see poor performance because of a strong history of god performance
The Horns Effect
-When a supervisor has a bias towards a particular person because of a negative (perceived) trait which influences their perceptions about the individual.
-When an employee achieves satisfactory results but used a different method than what the supervisor does.
Central Tendency
-Avoiding extremes and lumping all the employees in the “middle of the road”. The whole workgroup may get the same rating, or nearly the same rating. The supervisor may not want “to make waves”.
Recentness Effect
-If an employees makes a great contribution, or makes a significant mistake, just before the end of the evaluation period, it can affect the entire rating period.
Contrast Error
Evaluating an employee against the performance of other employees, instead of against their particular performance standards.
Leniency Error
Assigning high ratings to everyone to avoid conflict.

13. Why do we do it? Encourage peak performance
Can’t afford to tolerate poor performance
left unresolved –problem with awards, assignments, effects other employee’s morale
Not as hard as it looks

14. Five Key Processes of Performance Management
Monitoring
Measure performance
Provide feedback
Conduct progress review
Rating
Summarize performance
Assign the end-of-year
rating of record
Rewarding
Recognize and reward
good/outstanding
performance
Developing
Address poor performance
Improve good
Planning
Set goals/measures
Establish/communicate
Performance expectations
Look familiar?
Just like the current NSPS Performance Management Lifecycle which is Plan, Monitor, Develop, Rate and Reward.

15. Stages in the Process
Month 1:
Identify critical objectives for the coming year;
Identify developmental/training needs
Issue the Plan
Month 6:
Mid-term Appraisal
Course corrections as needed

16. Higher level approval before issuance
Stages in the Process
Month 12:
Evaluations
Awards as appropriate
Higher level approval before issuance

17. Performance Planning Establish a written performance plan:
Identify and discuss standards/ objectives
The performance plan requires higher-level approval
Basis for ongoing dialogue about performance
Identify developmental needs
Phase 1 is the Planning phase.
Every eligible employee is issued a performance plan containing his or her performance expectations in the form of job objectives and associated contributing factors and weights. Performance plans are documented in the Performance Appraisal Application (PAA).
An employee should receive his or her performance plan, and a full explanation of its components, within 30 days of the start of the rating cycle, start date (for new employees), or job change. These performance expectations need to be communicated to the employee in writing (i.e., via the PAA) prior to holding the employee accountable for them.
The 30-day requirement may be extended up to an additional 60 days in extenuating circumstances (for example, responding to a hurricane or other type of natural disaster may take precedence). Such extensions do not affect or delay the payout effective date.
The performance plan is subject to higher-level review to ensure consistency and fairness within and across organizations. The plan is considered to be approved after the higher-level review has occurred and after you have communicated the plan to the employee in writing.
As a manager/supervisor, you must record the employee’s receipt of the performance plan and the manner in which it was communicated to the employee (for example, face-to-face or via the telephone) and the date it was communicated in the PAA.
Employees can take part in developing their own job objectives. While you should engage your employees as much as possible in the process of setting expectations, it is ultimately your responsibility, and you will be held accountable for it.
Oct
Sep
Oct
Jan
Planning
Planning

18. Performance Standards:
(aka Expectations or Objectives) are the duties, responsibilities, and competencies required by, or objectives associated with, an employee’s position and the contributions and demonstrated competencies management expects of an employee
This slide presents the general definition of performance expectations.
These expectations are the overall things that management expects of an employee. In the next slide we will present some examples of what all can be included in performance expectations.
Communication between employees and supervisors is critical to the success of the performance management system, and therefore performance expectations should be the subject of ongoing discussions between supervisors and employees (more on this later).

19. Supervisor drafts standards Employee reviews and comments on standards
Process for Standards
Supervisor drafts standards
Employee reviews and comments on standards
Supervisor/employee discuss-clarify
Mutual understanding of Standard
Supervisor issues after Higher-Level review

20. Performance Standards
Yardstick for measurement –do not just repeat Position Description
Should be based on observable results—not knowledge or personal qualities
Where possible, use objective standards for quantifiable results—percentages, numbers, etc.
Use subjective criteria for performance not subject to objective criteria
Performance expectations are the basis on which specific job objectives are developed (discussed starting on the next slide), but actually go further than specific job objectives, in that they can include other things that may or may not be part of the job objectives.
Note that work assignments or other instructions can be used to more clearly define what management expects – and that these assignments or instructions do not necessarily need to be in writing.
Conduct and behavior that can be expected to affect the value of performance is part of management’s performance expectations. This is a change from our former personnel system, where conduct was always considered separate from performance issues. All Army managers, supervisors, and employees are expected to demonstrate professionalism and standards of appropriate conduct and behavior, including adherence to standards of ethical conduct.

21. Writing Standards Written at the Acceptable level or level 3
Start with an action verb
Specify a single key result to be accomplished
Specify a target date for accomplishment
Be as measurable, verifiable, realistic and attainable while still representing a challenge
Relate directly to employee’s role and mission
Draw a line of sight between the employee’s work, the work unit’s goals, and the organization’s success
Performance objectives/responsibilities describe the actual work elements to be performed during the current appraisal period. They describe a major job component upon which an employee is rated for success. Job objectives/responsibilities are descriptive and relate to what needs to be done. They should be written as clearly and objectively as possible and should be of such impact that failure to accomplish one or more of them could result in the employee's removal from the position. All job objectives/responsibilities in Total Army Performance Evaluations System (TAPES) are critical.

22. Aligning Work to Mission
Organization Vision, Mission and Goals
Team Mission and Goals
Individual Performance
Leaders define the organization’s mission and strategic goals
Cascaded to the work unit and employee objectives
Can also align work horizontally
Objectives draw a line of sight between the employee’s work, the work unit’s goals, and the organization’s success
When work is aligned to the mission, from any perspective you choose, everyone is working together towards shared goals
All work can be, and needs to be, related either directly or indirectly to meeting organization goals that contribute to mission accomplishment.
To drive performance, managers/supervisors have to look at performance from a variety of perspectives—organizational, work unit, manager/supervisor, and employees.
When work is aligned to organizational goals and mission, no matter which perspective you choose, everyone is working together towards shared goals.
Organizational goals come from a variety of sources, including the organization’s mission statement (required by AR 10-1) and your organization’s strategic goals.
Can anyone give me an example of one of your organization’s missions or goals?
CHRA example: “Systematically plan and forecast to achieve the civilian workforce necessary to support the Army's mission.”
If your organization can record the parts of the Army’s strategic plan that apply to you, and move down by level to the individual work units, this will go far toward achieving this alignment.
Note: In addition to the vertical alignment (individual/team up and down to organizations, the entire Army, DoD), the performance management structure also helps attain horizontal alignment between organizations, individuals, and teams by the pay pool panel which looks from a higher level at the performance of these different units.
There must be a clear nexus between the position description (grade-controlling duties) and the performance standard/objective.

23. Realistic: Can be accomplished with the resources, personnel, and time
Specific: regarding the result (not the activities to achieve that result) M
Measurable: quantity (how many), time (how long), quality (how good), resources (how much) A
Aligned: objectives draw a line of sight between the employee’s work, the work unit’s goal, and the organization’s mission R
Realistic: Can be accomplished with the resources, personnel, and time
Relevant: Are important to the employee and to the organization T
Timed: There is a point in time when the objective will start, or when it will be completed
SMART is an acronym that provides help in writing and evaluating job objectives.
Specific means that an observable action, behavior, or achievement is described. It also can mean that the work links to a rate of performance, frequency, percentage, or other number. For some jobs, it may not be easy to be specific. However, to the extent possible and reasonable, encourage specificity, as it ensures that supervisors and employees share the same expectations. The objective should be specific about the result and not about the way in which it is achieved.
Measurable (or observable or verifiable) means that a method or procedure must be in place to assess and record the behavior or action on which the objective focuses and the quality of the outcome. As not all work lends itself to measurability, objectives can be written in a way that focuses on observable or verifiable behavior or results, rather than on measurable results.
Aligned draws a line of sight between objectives throughout the organization. Supervisors must have a clear understanding of their own job objectives before they can work with their employees to establish their job objectives.
R has two meanings.
Realistic means the achievement of an objective is something an employee or a team can do with the resources and personnel available and within the time available.
Relevant implies it is important to the employee and the organization. It also requires meaningful distinctions between employees of different salaries. The level of responsibility expressed in the objective needs to be appropriate to the employee’s salary.
Timed (or timely or time-bound) means there is a point in time when the objective will start or when it will be completed.

24. Performance Standards/Objectives: Common Errors
Vague
Do not provide enough information
Absolute
Valid if reasonable and communicated in advance to the employee
Sub-Elements
All sub-element requirements need to be communicated to the employee
The use of imprecise terms such as "usually" or "normally" do not automatically render a performance standard invalid, particularly when the standard is supplemented with supervisory instructions, memos, or other clarifying material. Baker v. Defense Logistics Agency, 782 F.2d 1579, 86 FMSR
Failure to supplement a vague or incomplete performance standard with additional information can result in a determination that the standard was invalid. Smith v. Department of Veterans Affairs, 59 M.S.P.R. 340, 93 FMSR
An "absolute" performance standard is valid so long as it is reasonable, based on objective criteria, and communicated to the employee in advance. Guillebeau v. Department of the Navy, 104 LRP (Fed. Cir. 2004) dismissing Callaway v. Department of the Army, 23 M.S.P.R. 592, 84 FMSR 5870.
An "absolute" performance standard is now subject to the same tests as all other performance standards.

25. Resources for Job Objectives
On-line training: iSuccess
Covers writing effective job objectives and self-assessments
Interactive format: While taking the course, you will develop actual job objectives that you can save and print
SEE ALSO
Army Job Objective Writing Guide
overview.html, look for the Objective Samples link, contains sample job objectives
Suggest to the class that they send their supervisors to these online references to strengthen their skills in writing sound objectives.
The success on-line training course referred to on the slide is an outstanding resource for both learning more about job objectives and self-assessments, and was a prerequisite for attending this course. It actually allows them to generate and save job objectives they can use when setting up their own, or their employees’ performance plans.

26. The Performance Plan Conversation
PURPOSES
To reach a joint understanding of performance expectations for the current (new) rating cycle
To explain the organization’s goals and to align employee objectives with these goals
To establish timelines and measurement methods
To identify developmental needs
OUTCOMES
Performance plan
Development plan
Conversation notes, other relative documentation
The primary purpose of the Performance Plan conversation is to reach a joint understanding of performance expectations for the current (new) rating cycle.
The primary outcome of the Performance Plan conversation is the employee’s initial performance plan.
The Performance Plan conversation occurs in October each year, at the beginning of the new rating cycle.
The Performance Plan is formally established in the automated Performance Appraisal Application tool.

27. Performing, Monitoring, Developing
Throughout the performance cycle:
The employee is working toward accomplishing the established job objectives
The supervisor is monitoring employee performance and providing assistance, feedback, and direction as needed
Both employee and supervisor are taking steps toward developing the employee
At this point, we are entering the next phase of this lesson, which is the Monitoring Phase.
The performance management process is ongoing throughout the entire cycle. Specifically during this part of the lesson, we will be discussing monitoring performance, employees documenting their performance, developing the employee, dealing with performance issues and the interim review.
Jan
Sep
Oct

28. Documenting Performance
Employees should complete a self-assessment at the end of the rating cycle – good practice
Employees should also complete a self-assessment as part of the Interim Review process – good practice
To facilitate completing the self-assessment, employees are encouraged to maintain a record of their performance throughout the appraisal period
Weekly Status Report
Outlook’s Task List
Notebook
During the performance planning process, employees and supervisors should discuss and identify the best tools for maintaining these records.
Discussion: Are there other common tools that would be useful in keeping track of accomplishments?
We will talk more about keeping track of your accomplishments, and how to record and report them, later.

29. Interim Review
An interim performance review is required at least once during the performance management cycle
Check on progress towards objectives, make necessary adjustments
Provides an opportunity for feedback so the employee has the direction to achieve the objectives
The purpose of this interim review is to ensure that employees are making progress towards job objectives and to make adjustments, if necessary.
If employees have been engaged in ongoing communications with their supervisor, the interim review is another opportunity to ensure that expectations are leveled and that the employees are on the right track.
As necessary, supervisors will meet with employees to make adjustments to ensure that their employees are able to achieve their job objectives.
If there are performance issues, this is another opportunity to address concerns and establish a plan for ensuring that employees get back on track.
Jan
Sep
Oct
Interim Review
Mar
Apr

30. Interim Review Conversation
Preparation
Employees should write a self-assessment (recommended)
Purposes
Check progress toward achieving objectives
Make course corrections as needed
Provide feedback so the employee has the direction needed to achieve objectives
Outcomes
Documented conversation
Adjusted performance plan (if needed)
It is very important that supervisors properly document any negative performance issues that may be of concern during this conversation. As stated below, address issues immediately and never wait until formal feedback is required by the system.
The primary purposes of the Interim Review are to check the employee’s progress toward achieving his or her objectives, to acknowledge what is working, and to make course corrections as needed. These are the topics that should be covered during the mandatory interim review conversation.
The employee should be ready to present examples of progress made toward achieving objectives, and to cite instances where his or her actions reflected those listed in the Benchmark Descriptors for the selected Contributing Factors. Though not required, employees are encouraged to write a self-assessment for the Interim Review. There is a place for it in the automated Performance Appraisal Application tool.
The Interim Review is a good time for second line managers to monitor how the supervisors who report to them are doing with their supervisory responsibilities. If the supervisor is not doing well, provide feedback and support as needed to help the supervisor get back on track.
If needed (e.g., if the organization’s mission has changed or priorities have shifted), the interim review is a good time to make adjustments to the performance plan. As we will see later, employees have to be working under their current job objectives for at least 90 days before getting an annual rating, so the mid-year point is a good point to make these kinds of changes.
Reminder about performance deficiencies: If you are seeing performance problems with any of your employees, you need to address that immediately. Don’t wait for the interim review or any of the other formal performance conversations that are being discussed here.
The interim review conversation is documented in the automated Performance Appraisal Application tool.

31. Continuing Performance Discussions
Recurring:
Revisit performance expectations
Check progress
Formal or informal
Establish the relationship and ensure framework for the discussion is in place
Ease the process in the event difficult conversation is required
In addition to the required performance conversations (what are they? – planning, interim review, and annual appraisal), ongoing performance discussions are also a big part of good performance management under any system.
When conducting performance discussions, managers/supervisors need to keep in mind:
Discussions should be recurring and ongoing.
Discussions do not have to take a great deal of time.
You need to understand how your employees want to communicate (some like formal conversations, some like brief meetings, some like ).
Building good communications with your employees is critical - if you only speak with your employees about issues or problems, you will not be able to effectively address performance issues.

32. Conducting the Performance Discussion
Focus on the performance problem, not the personality or external issues.
Always maintain a constructive tone along with a calm and professional demeanor
Anticipate questions and be prepared to respond in a professional manner

33. Conducting the Performance Discussion
Clearly state performance expectations and seek confirmation that the employee understands.
Remember that your goal is to improve the employee’s performance, not to win an argument

34. Feedback Opportunities
Feedback Aims
To reinforce positive behavior
To acknowledge contributions and accomplishments
To anticipate difficulties
To remedy shortfalls
Feedback Opportunities
In the moment - When answering a question - When things go well (or not)
On a schedule -Following completion of a project or task -During required Performance Conversations
Feedback aims to reinforce, to acknowledge, to anticipate, and to remedy.
Opportunities for giving feedback – in the moment or on a schedule – are numerous.
Feedback should be ongoing and meaningful.
Emphasize that NSPS expects active and continuing communication between managers / supervisors and their employees to become the norm. Ongoing performance dialogue is part of good performance management.
Also emphasize that if managers/supervisors regularly provide feedback, employees will likely view the experience of receiving feedback as positive.
Under NSPS, performance management is a shared responsibility. Direct and open communication about all aspects of the employee’s job performance against specific goals, projects, and tasks helps both parties stay focused.
Opportunities for giving meaningful feedback come up almost every day. For instance:
When an employee asks a question, you might give constructive feedback.
When an employee completes a task successfully, you might give positive feedback.

35. Adjusting a Performance Plan
Performance plans may be changed during the year
The employee should have sufficient time before the end of cycle to work towards a new performance plan
Best practice: No changes in performance plan after mid-cycle review
No surprises
Expect change. Do not expect the performance plan to remain the same throughout the year, every year.
Performance expectations should be reviewed regularly, and an employee’s performance plan should be adjusted as needed. Any changes to an employee’s performance plan should be discussed with the employee.
Be sure to write any new job objective so it can be accomplished within the remaining time of an appraisal period. If the new expectation is likely to take longer than one appraisal period to complete, write the new objective so it includes only the portion that can be accomplished in the current period. Then, at the start of the next cycle, work the rest of the objective into the next performance plan.
Job objectives, contributing factors, and weightings may be changed, together or separately.
The employee must have sufficient time to make a contribution towards the new performance plan.
Ideally, changes to the performance plan should not be made after the mid-cycle (interim) review. If there is only one Interim Review, this would be a suitable occasion.
It is not acceptable to change the performance plan which leads an employee in one direction to another direction for the purpose of setting the employee up for failure.

36. Awards
Subject to budget allocation, heads of JTF organizations can approve up to $5,000 for employee per year.
Awards based on percent of pay guidance
Excellent 2.5% to 5%
Acceptable 1% to 2.4%
Awards Policy still to be issued
Incentive and On The Spot Awards are separate from Performance Awards
Quality Step Increase (QSI), Time Off, etc.
These awards may fall into the Performance Awards Policy

37. Taking Performance Based Action
Go to CHRC whenever Employee is failing/struggling
Try Counseling / Training First
Then Provide an Opportunity to Improve Period (PIP) with CHRC assistance
(No do it yourself PIPs)

38. Performance Improvement Plan (PIP)
5 USC 4302 (b)(6) An employee's right to a reasonable opportunity to improve is a substantive right
One of the most important rights
Benefits both the employee and the agency
A PIP is usually days
KEY-Contact the CHRC whenever an employee is failing-DON’T WAIT

39. Unacceptable Performance
Initiate a Performance Improvement Plan (PIP) if:
Performance is unacceptable
Counseling/Training did not work
Do not wait until end of the rating period
Contact CHRC no later than midterm if employee is failing
If an employee fails one critical element, the Summary Rating is Failing, BUT
You must contact CHRC for PIP first

40. Within Grade Increases (WIGI)
If performance is failing, delay/deny WIGI pending result of the PIP
WIGI should be delayed/denied when performance falls below Level 3—BUT
Will be issued automatically unless the supervisor contacts the CHRC to initiate an action
Supervisor must contact CHRC at least 30 days in advance of WIGI due date to delay/deny
If employee passes PIP, supervisor must contact the CHRC to reinstate the WIGI

41. Communicating Performance Expectations for Next Cycle
Purpose: Set up and communicate performance expectations and job objectives for the coming year
Done in October when the performance cycle starts over
Note that the new cycle begins before the former cycle completes
Coverage:
Discuss goals and expectations for the next period
Help your employee improve his or her performance
Summarize the discussion and sign documentation
The purpose of this slide is to point out that performance management is part of a cycle – and that even while the rating and payout is being decided for the previous cycle, the next cycle has already begun (remember, a 12-month cycle and a 15-month process).
Considering dates, the new performance plan conversation with employees should be held during October (the first 30 days of the new performance year).
Keep in mind that at that time, the supervisor and the employee will not yet know the employee’s final rating, number of shares, etc., from the prior rating cycle.

42. Appraisal Form

51. Labor and Management Employee Relations Division
Ms. Keisha Hurst-Chief, L/MER or
Mr. Phil Boyer-L/MER Specialist or
Mr. Kevin Pope-L/MER Specialist or
Ms. Neville Carson-L/MER Specialist or
Mr. Chuck Robertson-L/MER Specialist or
Ms. Makeba Armstrong-FECA Program Coordinator or