goddard space flight center office of human capital management 1 preparing for your performance...

Goddard Space Flight Center

Office of Human Capital ManagementGoddard Space Flight Center

Office of Human Capital Management

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Preparing for Your Performance Appraisal Discussion

A Briefing for SupervisorsA Briefing for Supervisors

Office of Human Capital ManagementProfessional Development Center

Lynda Jones and Sara WalserCareer Coaches

301-286-5794




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Workshop Objectives: Supervisors will learn:

preparation techniques to ensure the performance appraisal discussion is productive, positive, and motivating.

to document, articulate and communicate important messages regarding the employee’s performance, accomplishments, developmental goals and improvement needed.

common rating errors to avoid.




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Supervisor’s Role in the Process

Consider input from all relevant sources.Communicate, provide encouragement,

constructive feedback, and show appreciation to employees

Discuss employee’s training and development needs/requirements – discuss IDP




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Preparing for the Discussion

Notify the employee 2 weeks in advance and request input for the discussion.

Gather input from customers. Review feedback and develop main messages. Plan ways to create an open environment for two-

way communication. Identify future individual and work unit needs for

development discussion Determine performance element and summary

rating.




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Review and be familiar with your employee’s performance plan.

To facilitate your review:Keep a file of achievements/accomplishments

(i.e. deadlines met, special projects assigned and completed, problems solved, etc. ), addressing each performance element.

Assess the employee’s performance against the standards in the performance plan. Include all key work and accomplishments as

well as routine tasks. Use examples from the file to develop key

messages to be communicated.




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Review input from the employee and how you will take it into consideration when deriving the rating.

Review the file for a record of discussions regarding performance challenges, if any, agreed upon actions, and outcomes.

Plan to improve deficient performance. If performance is assessed below Fully Successful, contact OHCM for assistance.




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Considering Input

When assessing how well the employee achieved goals, review the accomplishment against the performance standard and answer the following questions.

Did performance meet expectations; warrant praise, recognition or a pat on the back from you or colleagues? Why?

Did the employee receive an award or commendation from a customer/client?




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Considering Input (cont’d)

Was the employee selected for special projects, committees or task force?

Did the employee complete a particularly challenging assignment? Participate in a solution that improved customer service, enhanced efficiency, saved money/time or increased revenue?

Has the employee become known throughout your department/agency for something?




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Assign the Element and Summary Rating

Comparing the accomplishments to the performance standards to determine the appropriate rating for each element.Upon determining the element ratings, determine the summary rating level.

LEVEL Element Rating Levels

Summary Rating Levels

5 Significantly Exceeds (SE)

Distinguished: All Elements rated SE

4 Exceeds Accomplished: Lowest Elem rating is Accomplished

3 Meets Fully Successful: Lowest Elem rating is Meets

2 Needs Improvement

Needs Improvement*: Lowest rating is NI

1 Fails to Meet Unacceptable: a critical Elem rating Fails to Meet

•Also a Fails to Meet only in a non-critical element

will yield a summary rating of Needs Improvement.




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The Performance Narrative

Next, you will write a performance narrative that clearly and completely justifies the performance summary rating level assigned.Tip: Include a statement that provides

accomplishments for each performance element. Remember an accomplishment is an outcome or result of activities and may take the form of a product or service.




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Sample Element Narratives

Element 1: Implement Mentoring ProgramCreated and implemented a new agency-wide

mentoring program with 80% participation.

Element 2: Initiate Volunteer ProgramExpanded agency’s service and maximized

staff effectiveness by researching and recommending a new volunteer program with a full-time volunteer coordinator.




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More Sample Element Narrative Statements

Provided training and mentoring to first year students through superior planning.

Designed a website to make information on upcoming events more accessible; efforts resulted in a 20% increase in member participation at club events.




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Complete the Appraisal FormEnsure the appropriate summary rating is

indicated based upon the lowest element rating.

Check the appropriate block on the cover page under the section labeled, “Performance Appraisal – Performance Summary Rating Level”. Then sign and date the form.

Ratings of Distinguished, Needs Improvement or Unacceptable require the approval of the reviewing official.




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Important Messages to Discuss During the Appraisal Meeting

Accomplishments: Challenges:

1. 1.

2. 2.

3. 3.




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During the Discussion

• Put the employee at ease• Discuss how the employee is doing on each

performance element – Use positive feedback to reduce defensiveness

• Discuss development – Brainstorm solutions for performance improvement or enhancement

• Be prepared to listen to the employee’s view on how well she or he is accomplishing goals

• Begin and end on a positive note• Ask what you can do to help




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Articulating Your Assessment

Choose one of the messages from your list.

Think about the best way to articulate the message to your employee and write down two statements that you can use during your discussion session.1.

2.




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How to Enhance Appraisal Discussions Review

Communications Actively listen. Speak from the “I” perspective. Be assertive, not aggressive Effectively articulate what was done well and

what may be improved and how. Focus on the future. Identify follow-on actions.




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Watch Out for Critical Communication Styles

Some people have a naturally critical communication style, often quick to find faults and slow to give praise. If your employee is motivated by praise, the discussion will be strained if you have a critical communication style.

Recognize what motivates the employee.Be prepared with at least one positive comment regarding each performance element unless it would be dishonest.Anticipate a productive discussion.




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Prepare for Defensive Communication Styles

Some people don’t take criticism well and become defensive when

feedback is given.

Beginning with positive feedback reduces defensiveness.

Recognize what motivates the employee.

Anticipate some defensiveness and rehearse how you will

respond.

Ensure that all important messages are communicated.

If the employee becomes defensive, try to get back on track by looking

forward, i.e., the employee has the potential to do well.




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Sign the AppraisalUpon completing the discussion, ask the

employee to sign and date the appraisal form under the section labeled, “Acknowledgment.”The employee’s signature is to acknowledge

that the discussion occurred.The employee’s signature does not mean the

employee agrees with or is satisfied with the rating.

If the employee refuses to sign, do not try to coax the employee, write a note on the form indicating the employee did not wish to sign it, then initial and date your note.

Give the appraisal to the employee.




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Avoid Rating Errors The “halo effect” occurs when performance evaluations are based on good past

performance; the rating official rates performance “Exceeds” in all elements because of “Exceeds” performance in one performance element or a prior performance period; or the rating official rates performance high because s/he has a good relationship with the ratee or holds similar beliefs and background.

The “horns effect” occurs when performance evaluations are based on past, poor performance, poor performance in one performance element or on one occasion; or the employee engages work methods independent of the rating official’s methods.

“Central tendency” does not appear to be a problem for rating officials here at Goddard, however, it’s when the rating official evaluates the performance of every direct report at the Fully Successful level.

“Leniency tendency” occurs when the rating official rates the performance of all or almost all direct reports Exceeds or Significantly Exceeds. Generally, this results from a desire to avoid conflict.

Length of service A higher rating is assigned due to the employee’s years in the position or years with the Agency or Center.

Other biases Rating based upon political affiliation, the employee’s race, color, national origin, gender, age (40 or older), religion, reprisal, marital status or sexual orientation.

Attribution bias is when poor performance is attributed to the employee; good performance is attributed to the rating official, technical supervisor, project manager, or others.




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Request for Reconsideration An employee who is dissatisfied with the appraisal rating or

narrative may request reconsideration. During the appraisal discussion. During the discussion the

employee may provide additional information to consider. As supervisor, upon hearing the employee’s justification

for change, you may change the rating.Or, you may determine the additional information does

not warrant a change. After the appraisal discussion. The employee may come at

a later date and ask for a change. If you agree, you may change the rating.

SEE HANDOUT FOR THE RECONSIDERATION AND GRIEVANCE PROCESS STEPS FOR BARGAINING UNIT AND NON-BARGAINING UNIT EMPLOYEES.




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Effecting the Performance Plan for the Next Period

Discuss new objectives thoroughly. Consider the employee’s input.

Remember the employee’s input is invaluable as one who is closest to the work and may be aware of barriers.

Make changes, as needed. Discuss development and updates to IDP. Sign and date the form, under the following sections.

Performance Plan Development Development Discussions

There are two places to document:1. Development discussion: Sign and date2. Individual Development Plan offered: Initial and

date




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Improving Performance:

Identify areas in which you would like to see a change.1.2.How can the employee improve these areas? (i.e. training, mentoring, career coaching, reading, practicing, professional associations)1.2.(GSFC’s Career Coaches can help you with an IDP.)




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When Performance is Deficient

When performance is assessed below Fully Successful, it is considered deficient.

Call the Performance and Work Life Dynamics Office (X6-4832) for assistance with developing guidance describing improvement needed.

Schedule a subsequent meeting to discuss the counseling or performance improvement letter.




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Lessons Learned:

Three things I can do to have a successful performance appraisal discussion.

1.

2.

3.




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Contacts:Contacts:

General Performance Management:Cheryl Rosanova, Program ManagerPerformance Management Programs(301) 286-4832

Recognition:Awards Officer(301) 286-5087

Handling Poor Performance:Tina LaFountainEmployee Relations Officer(301) 286-3729

Individual Development Plans:Lynda Jones and Sara Walser,

Career Coaches(301) 286-5794

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