1. Ohio National Guard Familiarization Training Ohio Technician Personnel Regulation (TPR) 430 & Using the Performance Appraisal Application (PAA) 1

2. Overview Purpose TPR 430 Drafting a Performance Plan in the Performance Appraisal Application Next Steps Questions 2

3. Purpose Introduce new TPR 430, Performance Management Provide familiarization training with the Performance Appraisal Application (PAA) so that you can draft your performance plan Validate training by following up to ensure all participants draft a performance plan in the PAA 3

4. Performance Appraisal Program  A performance appraisal system that encourages the fair and equitable evaluation of employees based on performance and results  Program shall provide for employee participation in program development, implementation, and application  A Higher level review ensures equitable and consistent application of, and compliance with, performance management requirements by all subordinate raters 4 BenefitsBenefits

5. Self Assessment Interim Review Performance Appraisal Monitoring, Developing, Rating, Rewarding Performance Appraisal Process Supervisor Higher Level Reviewer EmployeeSupervisor Defines mission Develops Critical Elements Uses working Critical Element field on form Understands mission Reviews/revises Critical Elements Uses working Critical Element field on form Revises Critical Elements Cuts and pastes into Critical Element field on form Reviews performance plan for equity among employees in same occupation, and salary. Approves performance plan for employee F I N A L Rating is the basis for personnel actions. Planning 5

6. Ohio TPR 430 6

7. Chapter 1 General Information 1.Purpose 2.References 3.Explanation of Abbreviations and Terms 4.Responsibilities a.(d) Adjutant General-Program owner & final appeal authority b.(e) HRO-Oversight and training c.(f) Supervisors-Effective performance management d.(g) Technicians-Understand and participate 5.Objective: provide a meaningful and efficient method for evaluating performance 7

8. Chapter 2 Program Requirements 1.Appraisal Period a.52 week period based on birth month b.If you were born in December, your next rating period will be from 1 Jan 11-31 Dec 11 (See chart) 2.5 Rating Level Method: a.5=Outstanding, 4=Excellent, 3=Fully Successful, 2=Marginal, 1=Unacceptable b.Each objective rated on a whole number scale, the final rating is an average 3.Grandfather provision – for FY 2011 transition period 4.Minimum Period of Performance a.120 days b.Non-pay status does not count toward rating c.Temp Techs do not receive appraisals 8

9. Chapter 2 Program Requirements Table 2-1: Birth Month Appraisal Cycle Birth MonthAppraisal Cycle BeginsAppraisal Cycle Ends January1 February31 January February1 March28 February March1 April31 March April1 May30 April May1 June31 May June1 July30 June July1 August31 July August1 September31 August September1 October30 September October1 November31 October November1 December30 November December1 January31 December 9

10. Chapter 2 Program Requirements 1.Appraisal Period a.52 week period based on birth month b.If you were born in December, your next rating period will be from 1 Jan 11-31 Dec 11 (See chart) 2.5 Rating Level Method: a.5=Outstanding, 4=Excellent, 3=Fully Successful, 2=Marginal, 1=Unacceptable b.Each objective rated on a whole number scale, the final rating is an average 3.Grandfather provision – for FY 2011 transition period 4.Minimum Period of Performance a.120 days b.Non-pay status does not count toward rating c.Temp Techs do not receive appraisals 10

11. Chapter 2 Program Requirements 5.Trial/Probationary Period Ratings a.No rating will be accomplished during the 12 month trial period (no more “retention appraisals”) b.Supervisors must carefully observe and evaluate technicians during the trial period c.Supervisors must contact HRO for non-retention during the trial period d.For retention beyond the trial period, the technician must be performing at Level 3 Fully Successful or above e.After completion of the first 12 months of Federal Service, the technician will receive a rating of record f.And the next appraisal will be due on the birth month cycle, minimum 120 days 11

12. Chapter 2 Program Requirements 6.Procedures for Temporary Details, Reassignments or Promotions a.Less than 120 days-Primary supervisor responsible 1)Different Supervisor-coordination required, informational closeout >30 days, Permanent Supervisor is the rating official 2)Same Supervisor-considers performance on detail as part of overall performance b.Greater than 120 days-Temporary supervisor drafts a plan based on the temporary assignment & rates the technician at the end of the assignment 7.Postponements a.New assignments b.Extended details c.Less than 120 days under the performance plan d.Deployments e.Absence due to work-related injury 12

13. Chapter 2 Program Requirements 8.Performance Plans a.Aligned with mission goals-Readiness b.Expectations based on: goals, requirements, procedures, or other instructions c.Communication: must be ongoing and two-way between supervisor and technician. An interim review is required. d.Adjustments to plans may take place at any time as long as there is at least 120 days left in the rating period e.Plans built in the PAA. Based on written Objectives; which are a combination of critical elements and performance standards. Should be written so that supervisor and technician understand what is expected, and how performance will be evaluated into a rating f.Critical Elements: 3-5 elements recommended, may be weighted. 9. Mandatory critical element for supervisors (Performance management, upholding merit principles, EEO compliance and Safety) 13

14. Chapter 2 Program Requirements 10.Monitoring Performance a.Regular communication to reinforce the good, address the bad, and update objectives as necessary b.Unacceptable performance should be addressed immediately—do not wait until the end of the appraisal period c.Although communication will take place in the system and through email, face-to-face dialogue is still the standard d.Written documentation of performance feedback will be annotated in the supervisory workfolder e.An Interim Review, done in the PAA, is required between the 4 th and 6 th months of the appraisal period, and will be tracked f.Closeout Assessments will be done in the PAA when needed, if 120 day minimum rating period is met. Closeouts from the most recent appraisal period will be viewable by the technician, rater, and approving official 14

15. Chapter 2 Program Requirements 11.Developing Performance a.The process is designed to help technicians improve and grow b.Professional and technical development is encouraged 12. Performance Deficiencies a.Proactive assistance is required when a technician is at or below Level 2 Marginal performance b.Options include counseling, increased supervisory assistance, additional training, etc… c.Supervisors will consider the circumstances surrounding the deficiency d.Supervisors shall present performance deficiencies in writing to their technician 15

16. Chapter 2 Program Requirements 13.Performance Improvement Plan (PIP) Requirements a.If performance is deemed Unacceptable, the supervisor must initiate a PIP after consultation with HRO and Labor Organization for Bargaining Unit employees. b.A PIP is required when Level 1 performance in any Objective is identified, optional with Level 2 performance c.PIP is in writing, normally for 90-120 days, and identifies the deficiency and what must be done to attain a Level 3 rating d.Level 1 Unacceptable performance, if uncorrected, will result in reassignment, change to lower grade, or removal e.Reassignment may be done at any time. Change to Lower Grade or removal require a 30-day notice 16

17. Chapter 2 Program Requirements 14.End of Year Performance Assessments a.Supervisory Assessment 1)Narrative evaluation of performance is required, along with a 1-5 whole number rating for each job objective. 2)The PAA will calculate the overall rating. 3)The supervisor will evaluate, obtain approving official review either electronically or as certified by other means, and then communicate the rating to the technician. 4)Due within 30 days of the end of the appraisal period. b.Technician Self-Assessment: 1)Optional narrative input completed in the PAA by the technician for the supervisor’s benefit in evaluating performance. 2)May be added to at any time, also available at Interim. 17

18. Chapter 2 Program Requirements 15.Rating Methodology (overall summary rating) a.Based on the rating of each objective, the PAA will generate a summary rating. b.If the objectives are weighted, the weights must equal 100% when added together. The PAA will police this and perform the calculations c.Summary Ratings: 1)1 on any Objective Level 1 Unacceptable 2)2.00 to 2.50Level 2 Marginal 3)2.51 to 3.50Level 3 Fully Successful 4)3.51 to 4.50Level 4 Excellent 5)4.51 to 5.00Level 5 Outstanding d.A Special Purpose Rating shall be accomplished when a Level 1 rating improves to Level 2 for at least 30 consecutive days 18

19. Chapter 3 Review and Appeal Process 1.Final Appellate Authority: The Adjutant General is the final authority. Technicians must choose whether they will appeal through this process or with a grievance— they can’t use both 2.Appeals of 5-4-3 Summary Ratings: Accomplished by a supervisory chain of command review 3.Appeals of 2-1 Summary Ratings: Accomplished by a State Review and Appeals Board. The board is made up of officials not in the technician’s chain of command convened to review the appeal and make a recommendation to the Adjutant General. Technicians are entitled to representation at their own expense (the Government will not provide representation) 19

20. Chapter 3 Review and Appeal Process 4.Filing an Appeal: 5-4-3 Summary Rating Appeals must be filed with HRO NLT 30 days after receipt of the appraisal. 2-1 Summary Rating Appeals must be filed with HRO NLT 15 days following notification of a performance-based personnel action. 5.Appeal Processing: The technician must provide required information to HRO, as available (name, unit, the appraisal being appealed, why it should be changed, the requested performance level, and date the appraisal was received) 6.Board Procedures: the board has a wide range of flexibility to take oral or written evidence as it deems fit to evaluate the appeal and make a recommendation. 20

21. Appendices A.References B.Terms and Definitions C.Creating Performance Plans and Conducting the Appraisal D.Mandatory Critical Element for Supervisory Leadership E.Sample Performance Improvement Plan Memo F.Sample Notice of Written Decision Based on Unacceptable Performance G.NGB Form 430 H.Ohio National Guard Performance Management Cycle 21

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23. Sum Up Changes: Critical Elements and Standards must be written in combination Supervisory Critical Element includes EEO/EO, managing performance, upholding merit principles, and workplace safety Interim Review NGB Form 430 includes all parts of the performance management process, and is completed online Alignment with mission goals No more 10-Month Probationary Retention Appraisals (Notification is through My Workplace) No Change: Level 1 thru 5 Rating Pattern Birth Month Appraisal Cycle 120 day minimum rating period Postpone appraisal in limited circumstances Basis for performance based awards PIP recommended for marginal performance, required for unacceptable performance Performance based actions include reassignment, change to lower grade, removal Appeals processes 23

24. Drafting a Performance Plan in the Performance Appraisal Application (PAA) A My Biz/My Workplace Tutorial 24

25. Overview 25

26. What is My Biz? 26 TECH “Military info” “Technician Info”

27. What is My Biz? A Self-Service application (web-based) that allows technician employees to: 27 ACCESS & VIEW tech employment info

28. What is My Biz? MAINTAIN some of your personal information… 28

29. What is My Biz? PRINT Your own SF 50s (Personnel Actions) 29 SF 50 Personnel Action

30. All Permanent, Indefinite, and Temporary technicians automatically get a My Biz account 30 Who gets a My Biz account? My Biz interfaces with DCPDS nightly to create/update accounts DCPDS

31. What can employees VIEW? Can VIEW data related to their technician employment such as: 31 Appointment information Position information (current & historical) Salary information Awards and Bonus information Benefits Performance Appraisals Personnel Actions

32. What can employees MAINTAIN? Employees can MAINTAIN the following data: –Race and National Origin designation –Handicap code –Phone numbers –Email addresses (.mil account) –Foreign language proficiency –Emergency Contact info –Education and Training* *must be validated by the Human Resources Development (HRD) office 32

33. What is My Workplace? My Workplace is a Self-Service application that allows supervisors of technician employees to: 33 VIEW employee personnel information personnel actions that have processed on their employees

34. What is My Workplace? 34 INPUT & TRACK Performance Appraisal information

35. Who gets a My Workplace account? Anyone who supervises technicians –including AGRs, state employees (TAG) Nightly interface with DCPDS to update and create accounts 35 DCPDS

36. My Workplace – what can I view? Supervisors can currently view the following employee info: –Position information (current & historical) –Salary information –Awards & Bonuses –Performance info –Appointment info –Personnel Actions 36

37. Login Access MyBiz/MyWorkplace login: –https://compo.dcpds.cpms.osd.mil Select your non-email certificate Password and username: SSN with hyphens Select MyBiz > Update My Information –Enter email address (.mil) and emergency contact info Technicians stay in MyBiz and select the PAA to perform your actions Rating Officials and Higher Level Reviewers go to MyWorkplace and then to PAA to perform your actions 37

38. Performance Appraisal Application Entire process for building performance plans, reviewing interim progress, doing self assessments & completing annual appraisals (or closeouts) Happens online & updates the HR system automatically, no paper copies to HRO Interactive processes for Technician, Rating Official & Approving Official 38

39. 39 Performance Appraisal Application Features: –Copy performance plans to multiple technicians –Copy Plans from Year to Year –Copy and paste for individual entries –Flexibility for plans, reviews & appraisals to be sent back and forth electronically, or for supervisor to certify on behalf of other individuals –Character Counter for text entries –Track Progress Page –Reassigning raters for one or multiple technicians when position moves take place (doesn’t change hierarchy) –Archived copies of old plans and appraisals completed under this system –Assessment by Objective, with or without weighting

40. Optional Self Assessment Interim Review Performance Appraisal Begin new Plan 40 Process Performance Plan Optional Self Assessment Performance management is ongoing and interactive Start 4-6 Month Mark 12 Months

41. 41 Tab Interface Tabs guide you through the process. The tabs are the same for employees, Rating Officials and Higher Level Reviewers. Below are the primary tabs. Select this tab to work with a Performance Plan Select this tab to work with Job Objectives, self assessments and ratings Select this tab to view and print Reports/Forms Select this tab to approve or acknowledge a plan, review or appraisal Select this tab to work with Mission Goals Select this tab to work with Plan Details Select this tab to work with an Interim Review Select this tab to work with an Annual Appraisal Select this tab to work with a Closeout or Other Appraisal

42. Process: Performance Plan 42 Start Rating Official initiates plan in PAA Rating Official finalizes plan Higher Level Reviewer approves plan Rating Official provides a copy of the plan to technician End Technician provides feedback on objectives

43. 43 My Workplace- main screen

44. 44 My Workplace - main screen

45. 45 My Biz - main screen

46. 46 Establishing a Performance Plan From the Main Page the employee or rating official can create and review the Plan, transfer a plan in progress, view and print the entire plan after it is created, and track the status of the plan. The Need Help link will give you information on what is available on the page where you are located. To create a new Performance Plan: Select Choose a Plan Type Select National Guard (Title 32) Select Go This table includes information on the status of existing plans. From this screen you can view and update existing plans.

47. 47 Plan Details Begin Here From this page the owner can enter the administrative data to start a new plan, change the Rating Official and Higher Level Reviewer, copy an existing plan or return to Main Page.

48. 48 Mission Goals This is where you link the Unit Mission to the technician’s job duties. Either the Rating Official or the employee can provide this information. Select the Next button to continue.

49. Where do I find the info?? 49

50. Where do I find the info?? 50 Information for your critical elements

51. Mission Objectives Mission - an operation or duty assignment that is assigned by a higher headquarters Critical Element – an action that, if not accomplished to the specified standard, results in a serious adverse effect upon the organization’s mission accomplishment 51

52. 52 Job Objectives This is where you add, update or view Job Objectives. To Add, select Add Job Objective button.

53. 53 Job Objectives Copy-Paste from MS Word or type a job objective. When done, you can Save, Save and Add Another Job Objective, or Save and Return to the Job Objectives Tab. Repeat this process until all of the job objectives are created. When complete select Save and Return to Job Objectives Tab. You can change the start date to reflect the period of performance The Job Objective Number auto populates You may copy and paste or type your Job Objective

54. Job Objectives Combination of a Critical Element and Standard –Edit current critical elements/standards into a job objective statement of less than 1000 characters –You can work them up ahead of time in a Word document and cut-and-paste into the PAA –See Appendix C para 2 of the TPR: identify duties, group into categories, and develop manners of performance descriptions Describe a major responsibility and provide a description of all levels of performance Minimum of 3-5 objectives recommended Objectives may be weighted-the system will ensure you do it properly Keep conduct separate –Attitude, Work Ethic, Tardiness 54

55. Mandatory Supervisory Objective 5 Outstanding For 3 or more manners of performance: results were far superior in quality, quantity, and/or impact to the stated objective to what was expected; overcame significant obstacles; demonstrated the higheststandards of personal and professional conduct; represented the organization effectively 4 Excellent Meets the fully acceptable standard and, in addition, meets the requirements for outstanding in at least 1 manner of performance 3 Fully Successful Administer the performance management process in a timely and effective manner; ensure effective administration and compliance with laws, regulations and policies concerning merit system principles, prohibited personnel practices, EO/EEO, and Safety 2 Marginal Following formal counseling, fails to follow any 1 manner of performance shown in the fully acceptable standard 1 Unacceptable Following counseling, fails in any 2 or more fully successful manners of performance standard 55

56. 56 Job Objectives Copy-Paste from MS Word or type a job objective. When done, you can Save, Save and Add Another Job Objective, or Save and Return to the Job Objectives Tab. Repeat this process until all of the job objectives are created. When complete select Save and Return to Job Objectives Tab. You can change the start date to reflect the period of performance The Job Objective Number auto populates You may copy and paste or type your Job Objective

57. 57 Approvals and Acknowledgments Here you can monitor the status of the Performance Plan. From this page the appropriate individual may complete a step if it is highlighted, transfer the plan, track progress or return to the Main Page. This screen details the status of the approval and acknowledgment process.

58. 58 Transfer to Rating Official This technician is going to transfer the Performance Plan to the Rating Official for review and approval. By using the Transfer to Rating Official with Email Notification option, your message will go to the rating official. The email address must be updated in My Biz or My Workplace for this functionality to work.

59. 59 Transfer to Higher Level Reviewer This Rating Official is going to transfer a plan to the Higher Level Reviewer for approval. This can also be done with email notification.

60. Process: Self Assessments Employees self-assess each objective for interim reviews and appraisals, max 2000 characters Describe progress made to date, obstacles overcome, difficulties to be faced, resources needed to succeed, opportunity to request modification of objective STAR-Situation, Task, Action, Result 60

61. Process: Interim Review 61 Start Technician initiates Self Assessment in PAA (optional) Rating Official assesses performance to date, but does not give a rating Higher Level Reviewer approves Interim Review Rating Official goes over Interim Review with technician, then identifies next steps End

62. Process: Annual Appraisal 62 Start Technician initiates Self Assessment in PAA (optional) Rating Official rates performance for each Job Objective for rating of record Higher Level Reviewer approves appraisal rating Rating Official provides finalized appraisal to technician End Technician may appeal a rating IAW Ohio TPR 430 Rating of record is basis for Performance Based Awards

63. 63 Track Progress This page displays the status of the Performance Plan throughout the cycle.

64. 64 Reports and Forms These are the different areas of the form available to print. Until the Annual Appraisal is complete the Form 430 will be a working copy.

65. Next Steps Draft a performance plan for yourself no later than 30 May 2011 HRO will be tracking all trainees by name Training objective will be accomplished when you have drafted a plan Supervisors—be prepared to provide familiarization training to new employees Ongoing training will be included in the Technician Personnel Management Course and New Employee Orientation at HRO Future Training Opportunity 65

66. Resources References located on the HRO Public Site: http://www.ong.ohio.gov/hro/index Ohio Technician Personnel Regulation (TPR) 430 Ohio NG Familiarization Training Slides Ohio NG Familiarization Training Participant Guide Quick Guide for Establishing Critical Elements Self Assessment Guide Self Assessment Journal My Biz/My Workplace User Guide PAA Guide for Employees PAA Guide for Rating Officials PAA Guide for Higher Level Reviewers Links: DCPDS Portal: Log in for My Biz/My Workplace https://compo.dcpds.cpms.osd.mil DCPDS Self Service: DCPDS User Guide, FAQs, terms, definitions, and brochure http://www.cpms.osd.mil/hrbits/selfservice.aspx 66

67. Points of Contact LOGIN ISSUES: –Mr. Dale Paul, dale.paul@us.army.mildale.paul@us.army.mil –Mr. Rick Stone, rick.r.stone@us.army.milrick.r.stone@us.army.mil HIERARCHY ISSUES: For Air Personnel: Contact your Base Remote For Army Personnel: Primary: Ms. Cindy Hurst, cindy.hurst@us.army.milcindy.hurst@us.army.mil Alternate: Mr. Troy Shoffstall, troy.shoffstall@us.army.miltroy.shoffstall@us.army.mil PERFORMANCE MANAGEMENT PROCESSES: CW3 Rosalie Metoxen, rosalie.metoxen@us.army.milrosalie.metoxen@us.army.mil HRO CUSTOMER SERVICE: 614-336-7051 67

68. Questions 68