the new performance management system powerpoints
TRANSCRIPT
DOI 5-Level Performance Management System
November 2004
Coverage
All DOI Bureaus & Offices Non-SES employeesTemporary/Excepted service employees
in appointments of 120 days or more
ImplementationPolicy effective October 4, 200490-day transition period
Training of HR, Managers, EmployeesE-training available through DOI University. E-training
mandatory for managers and supervisors Full implementation -- January 1, 2005
Transition
Bureaus on October 1 – September 30 cycleClose out 2-levelMay re-establish 2-level during training phaseEstablish 5-level as soon as managers trained, and
NLT December 31, 2004
Bureaus on April 1 – March 31 cycleTrain managersEarly close out and establish 5-level by December
31, 2004
Comparison
Old2 levelsCritical ResultsGeneric
Performance Indicators
De-linked from recognition
New5 levelsCritical ElementsGeneric Standards
which can be augmented
Linked to recognitionRequires strategic
linkage
Development of EPAP(Employee Performance Appraisal Plan)
Employee participation encouragedEstablished within 60 daysNo more than 5 performance elements
All must be critical elementsAt least one element linked to a GPRA goalMandatory element for supervisors/managers
Established by rating official – no higher level review requiredBureaus MAY establish 2nd level supv review
Performance StandardsFocused on resultsCredible measures
quality, quantity, timeliness, cost-effectiveness, etc.
Established at the Fully Successful level (minimum required)
Benchmark (generic) standards provided at all levelsMay be augmented with standards specific to
the position
Performance Standards
Must allow for margin of error or deviation Must be able to exceed the standard
Must clearly state measurement criteriaUse benchmark as a guide
Appraisal Period
12 monthsCoincides with FY
Bureaus must request variation from DOI OHR
May extend up to 90 days Progress reviews
Required mid-yearContinuous feedback encouraged
Basis for Appraisal
Under signed performance plan for at least 90 daysIn same positionSupervised by same rating official
Includes details over 120 daysRating official must consider ratings from
details
Annual Rating
Completed within 30 days of end of appraisal periodOriginal submitted to HRO within 60 daysCopy to employee and supervisor
Employee on temporary assignmentRating official is supervisor of record
May NOT use arbitrary distribution system (such as a bell curve)
Presumptive ratings not allowedInclude narratives (required for E, MS & U)
Rating Individual ElementsRating Level Standard Pts
Exceptional Particularly excellent performance of such high quality that organizational goals have been achieved that would not have been otherwise…
5
Superior Unusually good performance that exceeds expectations in critical areas and exhibits a sustained support of organizational goals…
4
Fully Successful
Good, sound performance that meets organizational goals. Employee effectively applies technical skills and organizational knowledge to get the job done…
3
Rating Individual ElementsRating Level Standard Pts
Minimally Successful
Performance shows serious deficiencies that require correction. Work is marginal and only meets the minimum requirements with close supervision…
2
Unsatisfactory Quality and quantity of work are not adequate for the position. Work products do not meet the minimum requirements expected…
0
Annual Summary Rating Derived from numerical average of all elements
Summary Rating Points Summary Rating
4.60 - 5.00 AND No critical element lower than ‘Superior’
Exceptional
3.60 – 4.59 AND No critical element lower than ‘Fully
Successful’
Superior
3.00 – 3.59 AND No critical element lower than ‘Fully
Successful’
Fully Successful
2.00 – 2.99 AND No critical element rated lower than “Minimally Successful’
Minimally Successful
One or more Critical elements rated ‘Unsatisfactory’
Unsatisfactory
Special Circumstances
Supervisor of record leaves in final 90 days of rating periodPrepare summary rating to serve as rating of
recordEmployee does not have standards
Not eligible for ratingEmployee not supervised by rating official
for 90 daysSecond level supervisor may rate
Special Circumstances (cont’d)
Interim appraisalsUpon completion of temp assignment over 120 daysEmployee or supervisor changes positionsDocument level of competence for WIGI
Becomes rating of record
Copy to employee and new supervisorUsed to determine annual summary rating
“Not Rated”When employee does not have opportunity to perform
a critical element
Finalizing Ratings
Discuss with employee AFTER rating completed (and approved if E, MS or U)
If employee refuses to signDocument refusal on rating form
Supplemental written commentsMay be submitted by employeeMay address element rating, overall rating, and/or
narrative commentsOnly when not contesting rating that would change RoRForwarded to HRO and filed in EPF
Reconsideration ProcessBureaus/Offices may develop their own processCriteria: Dissatisfaction with an element rating that
would affect the Summary Rating CBA with reconsideration process governsMust notify all employees of the reconsideration
process developedReconsideration Process must include:
Informal and Formal procedures Reasonable timeframesFinal decision must remain within Bureau/Office
DOI PROPOSEDInformal Reconsideration Process
Informal discussion with rating official within 7 calendar days of receipt of the EPAP
No agreement – employee may request formal reconsideration through HRO
Rating Official provides decision Verbal or writtenProvided within 7 calendar days after
discussion
DOI PROPOSEDFormal Reconsideration Process
Written request to HRO within 7 calendar days of receipt of informal decision
HRO reviews to determine if appropriate for acceptanceNot accepted – return with explanationAccepted – referred within 14 calendar days
Employee may be representedReview limited to reconsideration of rating on
critical element(s) that will impact the RoR
DOI ProposedFormal Reconsideration Process
Reconsideration OfficialReviews evidenceConsults with necessary individualsMakes changes if appropriateIssues final written decision within 20 calendar
daysCopy to employee and filed in EPF
Decision is final – no further right of review
Results of the PerformanceRating Process
Summary Rating Narrative required?
Award Eligibility & Actions Required
Exceptional YES Eligible for a cash award up to 5% of base pay, Time-Off, up to 5% increase in
base pay (QSI or HCPF)
Superior No Eligible for cash (up to 3% of base pay) or Time-Off award
Fully Successful NO Eligible for WIGI or career ladder promotion
Minimally Successful
YES Not eligible for WIGI
Unsatisfactory YES Requires formal corrective action (Performance Improvement Plan)
Guidance
370 DM 430, Performance Management System
Performance Appraisal Handbook Any questions should be directed to your
servicing HRO. Policy, Handbook and Form available at http://www.doi.gov/hrm/guidance/curronly.htm
ACCESSING THE PERFORMANCE MANAGEMENT SYSTEM COURSE
THROUGH THE INTERNET
Log into the DOI University Learning Management System (LMS)
Go to http://www.doiu.nbc.gov Click on “DOIU Login”
Questions???
Employee Performance Appraisal Plan (EPAP)
U.S. DEPARTMENT OF THE INTERIOR Employee Performance Appraisal Plan
Employee Name and Social Security Number:
Title/Series/Grade:
Duty Station:
Appraisal Period: From: To:
Part A: Notification of Standards: Signatures certify that critical elements and performance standards were discussed. Critical elements and performance standards are contained in Part E.
Employee:
Rating Official: Reviewing Official (if applicable*):
Date:
Date: Date:
*If determined by Bureau/Office Part B: Progress Review: Signatures certify that performance was discussed.
Employee:
Date: Rating Official: Date:
Part C: Summary Rating Determination: To determine a summary rating, assign one of the numerical rating levels that accurately reflects the employee’s performance for each of the critical elements (Use only whole numbers: Exceptional = 5 points; Superior = 4 points, Fully Successful = 3 points, Minimally Successful = 2 points, and Unsatisfactory = 0 points.) See reverse for complete instructions for assigning a Summary Rating.
Element Number Numerical Rating 1 2 3 4 5
Total:
Total Numerical Rating
÷ Number of Elements
= Numeric Summary Rating
Part D: Overall Summary Rating: Use conversion chart below to determine Summary Rating. Check the appropriate box:
Exceptional 4.6 – 5.00 AND No critical element rated lower than “Superior”.
Superior 3.6 – 4.59 AND No critical element rated lower than “Fully Successful”.
Fully Successful 3.0 – 3.59 AND No critical element rated lower than “Fully Successful”.
Minimally Successful 2.0 – 2.99 AND No critical element rated lower than “Minimally Successful”.
Unsatisfactory One or more critical elements rated “Unsatisfactory”.
Employee:
Rating Official: Reviewing Official: (if applicable):
Date:
Date: Date:
Check here if Interim Rating: ______ Employee’s Signature above certifies that the overall summary rating was discussed. Reviewing Official’s signature is required for Exceptional, Minimally Successful and Unsatisfactory ratings, and otherwise if determined by Bureau/Office.
Performance Standards FormU.S. DEPARTMENT OF THE INTERIOR Employee Performance Appraisal Plan
Employee Name and Social Security Number:
Title/Series/Grade:
Duty Station:
Appraisal Period: From: To:
Sally Smart 000-00-0000 Visitor Use Assistant, GS-303-05
Grand Canyon NP 01/01/05 09/30/05
Part A
Part A: Notification of Standards: Signatures certify that critical elements and performance standards were discussed. Critical elements and performance standards are contained in Part E.
Employee:
Rating Official: Reviewing Official (if applicable*):
Date:
Date: Date:
*If determined by Bureau/Office
Sally Smart
010105V. Good
01/01/05
Part B
Part B: Progress Review: Signatures certify that performance was discussed. Employee:
Date: Rating Official: Date:
Sally Smart V. Good 05/01/0505/01/05
Part CPart C: Summary Rating Determination: To determine a summary rating, assign one of the numerical rating levels that accurately reflects the employee’s performance for each of the critical elements (Use only whole numbers: Exceptional = 5 points; Superior = 4 points, Fully Successful = 3 points, Minimally Successful = 2 points, and Unsatisfactory = 0 points.) See reverse for complete instructions for assigning a Summary Rating.
Element Number Numerical Rating 1 2 3 4 5
Total:
Total Numerical Rating
÷ Number of Elements = Numeric Summary Rating
5
4
3
NR
5
17
17 4.254
Part DPart D: Overall Summary Rating: Use conversion chart below to determine Summary Rating. Check the appropriate box:
Exceptional 4.6 – 5.00 AND No critical element rated lower than “Superior”.
Superior 3.6 – 4.59 AND No critical element rated lower than “Fully Successful”.
Fully Successful 3.0 – 3.59 AND No critical element rated lower than “Fully Successful”.
Minimally Successful
2.0 – 2.99 AND No critical element rated lower than “Minimally Successful”.
Unsatisfactory One or more critical elements rated “Unsatisfactory”.
Employee:
Rating Official: Reviewing Official: (if applicable):
Date:
Date: Date:
X
Sally Smart V. Good
10/15/05 10/15/05
Check Here If Interim Rating _____
Interim Ratings
Employee changes positionsEmployee completes temporary assignment or
detail of more than 120 daysThe rating official leaves a supervisory position
more than 90 days before the end of the rating cycle
To document a level of competence determination for granting or denying a with-in-grade increase
Part E: Critical Elements and Performance Standards: List below each of the employee’s critical elements (at least one, but no more than 5) and their corresponding performance standards. If Benchmark Standards are used, indicate “Benchmark Standards are attached” in the space below, and ensure they are attached to this form. Critical Element 1:
Performance Standards Exceptional
Superior
Fully Successful
Minimally Successful
Unsatisfactory
Narrative Summary Describe the employee’s performance for each critical element. A narrative summary must be written for each element assigned a rating of Exceptional, Minimally Successful, or Unsatisfactory. Rating for Critical Element 2:
[ ] Exceptional-5 [ ] Superior-4 [ ] Fully Successful-3 [ ] Minimally Successful-2 [ ] Unsatisfactory-0
Critical Elements
Were formerly the Critical Results
1
+ 1
2
Standard
Element #1
Standard
Element #2
Strategic Goals
(GPRA)
SMART TECHNIQUE
SpecificMeasurableAchievableRealisticTimely
Part E: Critical Elements and Performance Standards: List below each of the employee’s critical elements (at least one, but no more than 5) and their corresponding performance standards. If Benchmark Standards are used, indicate “Benchmark Standards are attached” in the space below, and ensure they are attached to this form.______________________________________________________________________Critical Element 1:
____________________________________________________________________
Park restrooms are maintained in a clean, sanitary and well-stocked manner. Facilities are in compliance health and safety standards, which contributes to visitor satisfaction. NPS Strategic Plan Goals IIa1A Visitor Satisfaction with Facilities, Services and Recreation, and IVa10A&B Facility Condition of Historic and Non-Historic Buildings.
Performance Standards
Performance indicators in the Pass/Fail System
Exceptional Superior Fully Successful Minimally Successful Unsatisfactory
Standard
Element #1
Standard
Element #2
Strategic Goals
(GPRA)
Standards - Benchmarks
Fully Successful – The employee demonstrates good, sound
performance that meets organizational goals. All critical activities are generally completed in a timely manner and supervisor is kept informed of work issues, alterations and status.
Performance Standards
______________________________________________________________________Exceptional
______________________________________________________________________Superior
______________________________________________________________________Fully Successful
______________________________________________________________________Minimally Successful
______________________________________________________________________Unsatisfactory
______________________________________________________________________
Refer to attached benchmark and in addition: Employee generally keeps to cleaning schedules in a manner that avoids obvious deterioration of facilities or allows the cleaning schedule to fall obviously behind. Overall appearance of facilities very seldom reflects adversely on the park.
Exercise 1
In your participant handbook on pages 7-10. There are 4 examples with the critical element and the standard at the fully successful level. Your task is to write a level description at either the exceptional, or unsatisfactory level as assigned below.
Your task is to write a level description at either the exceptional, or unsatisfactory level as assigned below.
Alaska Region – Custodial Worker - Exceptional Pacific West Region – Custodial Worker - Unsatisfactory Intermountain Region – Visitor Use Assistant - Exceptional Midwest Region – Visitor Use Assistant - Unsatisfactory Southeast Region – Interpreter - Exceptional Northeast – Interpreter - Unsatisfactory National Capital Region & WASO – Program Assistant -
Exceptional The Centers (DSC, HFC) - Program Assistant -
Unsatisfactory BLM – Program Assistant - Exceptional FWS – Custodial Worker - Exceptional
Custodial Worker
Level 5 Standard - Refer to benchmark and in addition: Employee sets standard for excellence in maintaining restrooms. Continually keeps abreast of heavy use periods and adjusts schedules as necessary to keep facilities in a sanitary and well-stocked manner. Anticipates problems relative to the conditions of the restrooms and either resolves the problem independently or alerts higher levels of management and offers workable solutions. Overall appearance of facilities consistently reflects favorably on the park.
Custodial Worker
Level 1 Standard – Refer to benchmark and in addition: May fail to keep to established cleaning schedules, resulting in obvious deterioration of facilities and an inability to catch up. Overall appearance of facilities may frequently reflect negatively on the park.
Level 5 Standard - Refer to benchmark and in addition: Employee sets the standard for excellence in delivering formal interpretive programs. Programs are thoroughly researched and are based on the most current sound scholarship available to the park. Research encompasses a number of viewpoints (3 or more) to accommodate a wide variety of audiences. Program development is derived from park primary themes, is consistently successful as a catalyst in creating opportunities for the audience to form their own connections with the meanings and significance inherent in the resource, and demonstrates a fully developed theme. All programs fully utilize professional techniques in public speaking and presentation and exhibit excellence in the delivery of formal interpretive programs
Interpreter
Interpreter
Level 1 Standard - Refer to benchmark and in addition: Programs reflect little research and only some of the current sound scholarship available to the park; no in-depth research is completed. Research encompasses only one viewpoint and does not accommodate a wider audience. Program development derives little from park primary themes, is generally not successful as a catalyst in creating opportunities for the audience to form their own connections with the meanings and significance inherent in the resource, and does not demonstrate a developed theme. Few programs exhibit professional techniques in public speaking and presentation.
Program Assistant
Level 5 Standard – Refer to benchmark and in addition: Employee sets standard for excellence in time and attendance processing and maintenance. Coding of time and attendance sheets is nearly perfect and corrections due to timekeeper error are seldom, if ever, necessary. Timesheets are consistently submitted to the payroll office early. Time and attendance records are maintained in strict accordance with FPPS guidelines, with appropriate documentation for leave taken. Employee proactively addresses timekeeping issues with employees serviced or brings to supervisor’s attention for resolution. Employee is the “recognized” expert and is the person other timekeepers go to for advice and assistance. In these situations, employee is very responsive and helpful to their requests without neglecting his/her own duties and responsibilities.
Program Assistant
Level 1 Standard - Refer to benchmark and in addition: Coding of time and attendance sheets may frequently be inaccurate due to errors in coding or failure to ensure accuracy of data, resulting in the need for corrections due to timekeeper error. Employee may often require help with processing and maintaining time and attendance records. Time and attendance records may frequently be maintained in contradiction to FPPS guidelines. Deadlines for timesheet submission may commonly be missed. May fail to assure that leave taken is recorded in time to assure acceptable accuracy or facilitate reporting. Situations may frequently occur in which the normal workflow and routine processing of time and attendance sheets is interrupted or employees are adversely affected as a result of improper or ineffective maintenance of timesheets.
Visitor Use Assistant Level 5 Standard - Refer to benchmark and in addition:
Employee sets standard for excellence in fee collection activities. Within scope of authority and within the limitations of the specific situations encountered, assures that individuals required to pay entrance fees do so. Tactfully handles difficult communication issues with angry or frustrated visitors and consistently finds workable solutions to defuse tense situations. Consistently issues and records park passes at time of issuance in accordance with NPS policies and guidelines. Without fail handles monies, passports and records with adequate security to avoid theft or misplacement. Maintains reports and passport accountability records in accordance with NPS guidelines and policies.
Visitor Use Assistant
Level 1 Standard – Refer to benchmark and in addition: May frequently fail to assure that individuals required to pay entrance fees do so. May communicate poorly in difficult situations, often becoming angry, rude or non-communicative when confronted by angry or frustrated visitors. May often fail to handle park passes in accordance with NPS guidelines and policies. May fail to provide adequate security for monies, passports and records to avoid theft or misplacement. May frequently fail to maintain reports and passport accountability records in accordance with NPS guidelines and policies. May routinely experience shortages, overages, or unnecessary voids after attempts at correction have failed.
Narrative Summary
Must be completed for Exceptional, Minimally Successful and Unsatisfactory Level
May be completed for the Superior and Fully Successful level
Narrative Summary
Describe the employee’s performance for each critical element. A narrative summary must be written for each element assigned a rating of Exceptional, Minimally Successful, or Unsatisfactory.
Rating for Critical Element 2: [X ] Exceptional-5 [ ] Superior-4 [ ] Fully Successful-3 [ ] Minimally Successful-2 [ ] Unsatisfactory-0
Questions?
Next StepsComplete DOI’s web-based training on EPAPComplete Employee Performance Plan and Results
Report for Rating Period of 10/1/03-12/31/04 Establish Critical Elements for new Performance
Plan (EPAP)Define at a minimum the fully successful level of
each Critical ElementShare draft with employee and get feedback Finalize and implement EPAP by
January 1, 2005