United States
Environmental Protection
Agency
Office of Administration
and Resources Management
(3654)
April 1999
c/EPA PERFORMS
Self-Study Guide for
EPA Headquarters
Employees
The Five Components of PERFORMS
Planning
Performance
Monitoring
Performance
Performance
PERFORMS
Developing
Performance
Appraising
Performance
Internet Address (URL) http://www.epa.gov
Recycled/Recyclable Printed witti Vegetable Oil Based Inks on Recycled Paper (Minimum 30% Poctconsuner)
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PERFORMS Self-Study Guide
For EPA Headquarters Employees
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PERFORMS Self-Study Guide
for EPA Headquarters Employees
Table of Contents
Module 1: What is PERFORMS? l-l
Unit 1 a: Key Features of PERFORMS 1 -3
Unit Overview 1-3
Key Features of PERFORMS 1-4
Unit lb: The Five Components of PERFORMS 1-5
Unit Overview 1-5
The Five Components of PERFORMS 1-6
Unit 1 c: Performance Expectations Under PERFORMS 1-11
Unit Overview 1-11
Performance Expectations Under PERFORMS 1-12
Unit Id: Who Implements PERFORMS? 1-13
Unit Overview 1-13
Who Implements PERFORMS? 1-14
Responsibilities Under PERFORMS 1-15
Checkpoint 1-16
Additional References & Resources 1-16
Module 2: Planning Performance 2-1
Unit 2a: EPA's Organizational Goals 2-3
Unit Overview 2-3
About EPA's Goals 2-4
What are EPA's Goals? 2-4
Additional References & Resources 2-5
PERFORMS Self-Study Guide TOC-1
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Unit 2b: Linking Organizational Goals to Individual Goals 2-6
Unit Overview 2-6
A Systematic Approach 2-7
Focus Your Priorities 2-8
The Process 2-9
Check Point 2b-l 2-13
Check Point 2b-2 2-18
Unit 2c: Writing a Performance Plan 2-22
Unit Overview 2-22
What is a Performance Plan? 2-23
Communicating Performance Plans 2-25
Who Writes Performance Plans? 2-27
Step 1. Establish Element(s) 2-28
Check Point 2c-l 2-31
Step 2. Determine Measures and Standards 2-33
Step 3. Identify Assumptions 2-37
Step 4. Identify Sources of Appraisal Input 2-38
Step 5. Document the Elements & Standards 2-39
Reviewing Performance Plans 2-39
Check Point 2c-2 2-40
Check Point 2c-3 2-43
Maintaining Performance Plans 2-46
Module 3: Monitoring Performance 3-1
Unit 3a: Measuring Performance 3-3
Unit Overview 3-3
Measure Performance 3-4
Unit 3b: Providing Feedback to the Employee on a Regular Basis 3-5
Unit Overview 3-5
Providing Feedback to the Employee on a Regular Basis 3-6
Informal Assessment and Feedback 3-7
Progress Review 3.8
Progress Review Process 3-8
Check Point 3-11
Additional References & Resources 3-12
PERFORMS Self-Study Guide JOC-2
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Module 4: Developing Performance 4-1
Unit 4a: Feedback and Coaching 4-3
Unit Overview 4-3
Giving Feedback 4-4
Receiving Constructive Feedback 4-9
Coaching 4-11
Unit 4b: Developing an Individual Development Plan 4-12
Unit Overview 4-12
WhatisanlDP? 4-13
Formal Procedures for IDPs 4-14
Unit 4c: 3 60ฐ Feedback Instruments 4-15
Unit Overview 4-15
What are 360ฐ Feedback Instruments? 4-16
Who will use them? 4-16
When will 360ฐ Feedback Instruments Be Used? 4-17
Unit 4d: Formal Employee Development Discussion 4-19
Unit Overview 4-19
Formal Employee Development Discussion 4-20
Unit 4e: Performance Assistance 4-21
Unit Overview 4-21
Performance Assistance 4-22
Performance Assistance Process 4-23
Unit 4f: Performance Improvement Plan (PIP) 4-24
Unit Overview 4-24
Performance Improvement Plan (PIP) 4-25
PIP Procedure 4-26
Check Point 4-28
Additional References & Resources 4-28
PERFORMS Self-Study Guide TOC-3
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Module 5: Appraising Performance 5-1
Unit 5 a: When to Conduct Performance Appraisals 5-3
Unit Overview 5-3
When to Conduct Performance Appraisals 5-4
Exceptions 5-5
Unit 5b: The Performance Appraisal Process 5-6
Unit Overview 5-6
The Performance Appraisal Process 5-7
How to Conduct Performance Appraisals 5-8
Activity 5-1: Giving Performance Appraisal Feedback 5-17
Unit 5c: Unacceptable Ratings 5-20
Unit Overview 5-20
Performance Problems . 5-21
Employee Appeal and Grievance Rights 5-22
Check Point 5-24
Additional References & Resources 5-25
Module 6: Recognizing Performance 6-1
Recognizing Performance through Awards 6-3
Resources 6-3
Recognition Options 6-4
Procedures for Supervisor to Recommend a Monetary Award 6-5
Peer Nominations 6-7
Award Criteria 6-9
Awards Board Function 6-15
Authority 6-16
Awards Covered Under the Awards Process 6-17
Union Involvement with Awards Board 6-18
The Awards Board Process 6-19
Activity 6-1: Awards Nomination 6-20
Checkpoint 6-22
Additional References & Resources 6-23
PERFORMS Self-Study Guide TOC-4
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Module
What is PERFORMS?
The Five Components of PERFORMS
Module
Overview
In this module, you will review EPA's performance management
system, PERFORMS, and its critical components and features.
You'll learn the expectations and roles for employees and
supervisors when implementing this performance management
system.
PERFORMS Self-Study Guide
Page 1-1
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Module 1: What is PERFORMS? Module Overview
Module After reviewing this module, you should be able to:
Objectives . List the key features of PERFORMS.
Identify the five components of PERFORMS.
Identify how performance expectations have changed under
PERFORMS.
Identify who implements PERFORMS, including the roles
assigned to supervisors.
Page 1-2 PERFORMS Self-Study Guide
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Unit
Key Features of PERFORMS
Unit
Overview
The Environmental Protection Agency (EPA) on June 1,1998
implemented a new performance management system,
PERFORMS. In this unit, you'll learn more about the key features
of PERFORMS.
PERFORMS Self-Study Guide
Page 1-3
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Module 1: What is PERFORMS? Unit 1 A: Key Features of PERFORMS
Key Features Of ฎn ^une *' ^*ปme Environmental Protection Agency (EPA)
PERFORMS implemented a new performance management system
PERFORMS (Performance Planning, Employee Rating, Feedback,
Opportunity, and Recognition Management System). The goal of
this new system was to streamline and simplify the performance
management process. PERFORMS was designed in association
with the unions and was negotiated with AFGE and NTEU
representatives. PERFORMS:
Is an Agency-wide performance system for all EPA
employees.
Has an annual appraisal period from January 1 to
December 31, which shifts the administrative workload of
appraisals from the busy end-of-fiscal-year period.
Consists of a performance summary rating with two levels.
The simplified rating changes emphasis from appraising
performance to the other components of PERFORMS.
Discontinues the link between cash performance awards
and ratings of record. This encourages feedback and
rewards to be distributed year-round rather than only
during an appraisal. PERFORMS is intended to reinforce
excellence in a timely manner.
Encourages continuous feedback.
Mandates at least one mid-year feedback discussion and
employee development discussion. The mid-year feedback
discussion is a progress review that compares actual
performance with the standards developed in the
Performance Plan. This allows the employee time to
adjust performance before his/her performance appraisal.
Page 1-4 PERFORMS Self-Study Guide
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Unit
The Five Components of
PERFORMS
The Five Components of PERFORMS
Unit
Overview
PERFORMS breaks down performance management into five
components. Completion of these components is critical to the
success of PERFORMS. In this unit you'll learn more about the
five components of PERFORMS.
PERFORMS Self-Study Guide
Page 1-5
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Module 1: What is PERFORMS?
Unit 1B: The Five Components of PERFORMS
The Five
Components of
PERFORMS
PERFORMS consists of five components.
Planning
Performance
The Five Components of PERFORMS
Planning
Performance
Recognizing
Performance
Monitoring
Performance
PERFORMS
Appraising
Performance
Developing
Performance
The first component of PERFORMS is Planning Performance.
During this stage, you will develop clear objectives and expectations
for your Performance Plan. Your supervisor will review these
objectives and expectations with you.
Page 1-6
PERFORMS Self-Study Guide
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Unit 1B: The Five Components of PERFORMS
Module 1: What is PERFORMS?
Monitoring
Performance
The Five Components of PERFORMS
Planning
\ Performance
Recognizing
Performance
Monitoring
Performance
PERFORMS
Appraising
Performance
Developing
Performance
The second component of PERFORMS is Monitoring Performance.
In this stage, you and your supervisor will monitor your
performance against standards established in your Performance
Plan.
PERFORMS Self-Study Guide
Page 1-7
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Module 1: What is PERFORMS?
Unit 1B: The Five Components of PERFORMS
Developing
Performance
The Five Components of PERFORMS
Planning
Performance
Recognizing
Performance
Monitoring
Performance
PERFORMS
Appraising
Performance
Developing
Performance
The third component of PERFORMS, Developing Performance,
involves helping employees to improve job performance and to
develop their skills. You may conduct self-assessments and create
an Individual Development Plan (IDP) to identify developmental
needs and career objectives. Your supervisor will review with you
the various performance development tools: on-the-job training,
coaching, mentoring, and developmental assignments that may be
used to further enhance your work performance.
Page 1-8
PERFORMS Self-Study Guide
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Unit 1B: The Five Components of PERFORMS
Module 1: What is PERFORMS?
Appraising
Performance
The Five Components of PERFORMS
( Planning
\ Performance,
I Monitoring
\ Performance
Appraising
Performance
Developing
Performance
Recognizing
Performance
The fourth component of PERFORMS is Appraising Performance.
In this stage, you will be invited to provide a written or oral self-
assessment of your performance to your supervisor. Your supervisor
will assess your actual performance accomplishments against a set
of standards and assign an overall rating. Your supervisor will
assess your actual performance accomplishments against the agreed
upon standards hi your Performance Plan.
PERFORMS Self-Study Guide
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Module 1: What is PERFORMS?
Unit 1B: The Five Components of PERFORMS
Recognizing
Performance
The Five Components of PERFORMS
' Planning
v Performance
Recognizing
Performance
Monitoring
Performance
PERFORMS
Developing
Performance
Appraising
Performance
The fifth component of PERFORMS is Recognizing Performance.
Throughout the year you will have the opportunity to give and
receive recognition for accomplishments. Your supervisor will
nominate and reward employees who have demonstrated
exceptional performance. If you are not a supervisor, you will also
be able to nominate deserving peers for awards.
Page 1-10
PERFORMS Self-Study Guide
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Unit
Performance Expectations
Under PERFORMS
Unit
Overview
In order to achieve success under PERFORMS, EPA employees and
supervisors must have a clear understanding of the expectations set
forth under PERFORMS. In this unit, you'll learn more about what
those expectations are.
PERFORMS Self-Study Guide
Page 1-11
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Module 1; What Is PERFORMS? Unit 1C: Performance Expectations Under PERFORMS
Performance Under PERFORMS, performance expectations have not changed.
FynentatinnQ PERFORMS builds upon the premise that you and your supervisor
*\ will work together towards the goal of exceptional performance. In
Under so doing, supervisors are encouraged to support you with a variety
PERFORMS of performance development tools such as: coaching, feedback, and
recognition in an effort to enhance your performance.
Star performers will be recognized as soon as possible following
their exceptional accomplishments.
1-12 PERFORMS Self-Study Guide
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Unit
Who Implements PERFORMS?
Unit
Overview
In implementing PERFORMS, a number of roles and
responsibilities can be defined for both you and your supervisor for
each component of the PERFORMS process.
PERFORMS Self-Study Guide
Page 1-13
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Module 1: What is PERFORMS?
Unit 10: Who Implements PERFORMS?
Who Implements
PERFORMS?
PERFORMS Implementation
The Employee
The Supervisor
You and your supervisor are responsible for implementing
PERFORMS. During each component of the PERFORMS process,
you and supervisor must work together. Unless someone else is
assigned by management, your supervisor will work with you on
your performance.
Sometimes a person other than the Supervisor of Record may
interact with you about your performance. The Supervisor of Record
could assign the Designated Rater role to a team leader.
For a complete breakdown of the roles, responsibilities, and duties
for both you and your supervisor during the PERFORMS process,
please see the Responsibility Matrix on page 15.
Note to supervisor: If you plan to assign the Designated Rater
role to a Team Leader, you should be aware that these duties
need to be reflected in the Team Leader's position description.
You may want to consult with OHROS.
Page 1-14
PERFORMS Self-Study Guide
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Unit 1D: Who Implements PERFORMS?
Module 1: What is PERFORMS
Responsibilities
Under PERFORMS
The table below gives an overview of your responsibilities and your supervisor's
responsibilities for each component of the PERFORMS process.
Component
Your Responsibilities
Your
Supervisor's
Responsibilities
Planning
Performance
Collaborate with your
supervisor to develop
performance elements and
standards for the Performance
Plan.
Develop/review elements and
standards in the Performance Plan
and discuss them with employee.
Monitoring
Performance
Monitor your own
performance based on the
Performance Plan.
Monitor employee performance
against standards.
Developing
Performance
Prepare an Individual
Development Plan (IDP) to
identify developmental needs
and career objectives, if you so
desire or as supervisor assigns.
Identify developmental needs and
provide the employee with on-the-
job training, coaching, mentoring,
and developmental assignments to
further enhance work
performance.
Appraising
Performance
Provide a written or oral self-
assessment of your
performance if you so desire.
Sign performance appraisal
cover sheet after the
performance appraisal has
been completed.
Assess the employee's actual
performance accomplishments
against elements and standards
that are written in the Performance
Plan. Conduct performance
appraisal with employee
communicating this information
by the end of January. Sign
performance appraisal cover sheet
after the appraisal discussion has
been completed.
Recognizing
Performance
Nominate peer(s) for awards,
if you are not a supervisor.
Nominate and reward employees
who have demonstrated
exceptional performance.
PERFORMS Self-Study Guide
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Module 1: What is PERFORMS?
Unit 1D: Who Implements PERFORMS?
Check Point
Here's a chance to check your understanding of the unit material.
I. Match each of the items with its corresponding description.
A. Planning Phase
B. Developing Phase
C. Monitoring Phase
D. Appraising Phase
E. Recognition Phase
1. Provide a written or oral
self-assessment to your
supervisor
2. Acknowledge employee
accomplishments
3. Monitor your performance
against your Performance
Plan
4. Develop clear performance
elements and standards
5. Prepare an Individual
Development Plan (IDP)
2. For the following PERFORMS tasks, place an "E" on those that
are Employee's Responsibilities, "S" on Supervisor's
Responsibilities, and a "T" for Responsibilities that require the
employee and supervisor to work together:
Develop performance elements and standards
Develop Individual Development Plan (IDP)
Conduct performance appraisal
Nominate employees for awards
Additional
References &
Resources
PERFORMS Training, Unit!
PERFORMS HQ Supplemental Guidance
Page 1-16
PERFORMS Self-Study Guide
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Unit 1D: Who Implements PERFORMS? Module 1: What is PERFORMS
Answer Sheet for Check Point
1. Match each of the items with its corresponding description.
A. Planning Phase 4 1. Provide a written or oral self-assessment to your
supervisor
B. Developing Phase 5 2. Acknowledge employee accomplishments
C. Monitoring Phase 3 3. Monitor your performance against your Performance
Plan
D. Appraising Phase 1 4. Develop clear performance elements and standards
E. Recognition Phase 2 5. Prepare an Individual Development Plan (IDP)
2. Place an "E" on Employee's Responsibilities, "S" on Supervisor's Responsibilities, and a
"T" for Responsibilities that require the employee and supervisor to work together.
SfT Develop performance elements for standards
E.T Develop Individual Development Plan (IDP)
SfE Conduct performance appraisal
Sf E Nominate employees for awards
PERFORMS Self-Study Guide Page 1-17
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Module
Planning Performance
The Five Component* of PERFORMS
Module
Overview
An essential component of PERFORMS is planning your performance for
the upcoming year.
In this module, you will learn about the procedures for developing,
reviewing, communicating, and maintaining a Performance Plan.
You'll also have the opportunity to write elements and standards for a
sample Performance Plan. Then you'll be ready to refine your own
Performance Plan.
PERFORMS Self-Study Guide
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Module 2: Planning Performance
Module Overview
Module
Objectives
After reviewing this module, you should be able to:
Identify EPA's organizational goals.
Given a job description and functional statement for a position or
your own Performance Plan, write elements for the Performance
Plan.
Identify the procedures for developing, reviewing, communicating,
and maintaining a Performance Plan.
Page 2-2
PERFORMS Self-Study Guide
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Unit
EPA's Organizational
Goals
Unit EPA has a hierarchy of goals that should link to your individual
Overview responsibilities.
In this unit, you will learn how these organizational goals and objectives
relate to your responsibilities and, ultimately, to your Performance Plan.
PERFORMS Self-Study Guide
Page 2-3
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Module 2: Planning Performance
Unit 2A: EPA's Organizational Goals
About
EPA's
Goals
What Are
EPA's
Goals?
The EPA Strategic Plan outlines ten strategic, long-term goals. These
organizational goals provide the overarching framework for the direction
of all work within the Agency.
The organizational goals are important to you because they can drive your
individual efforts. They can help you focus your work priorities so you can
work with a sense of strategic direction.
Organizational goals may also help you focus your own job expectations
as well as provide a basis for discussion about job performance and how it
can further the goals of the organization.
Let's begin by reviewing EPA's organizational goals as outlined in the
September 1997 EPA Strategic Plan. The organizational goals are the
compass by which the organization measures its direction.
EPA's organizational goals are:
1. Clean air
2. Clean and safe water
3. Safe food
4. Prevent pollution and reducing risk in communities, homes, workplaces
and ecosystems
5. Better waste management, restoration of contaminated waste sites, and
emergency response
6. Reduce global and cross-border environmental risks
7. Expand Americans' right to know about their environment
Page 2-4
PERFORMS Self-Study Guide
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Unit 2A: EPA's Organizational Objectives
Module 2: Planning Performance Unit
8. Provide sound science, improved understanding of environmental risk,
and greater innovation to address environmental problems
9. Provide a credible deterrent to pollution and greater compliance with
the law
10. Provide effective management
Additional
References
&
Resources
> The EPA Strategic Plan can be found on the Internet at:
http://www.epa.gov/octopage/plantoc.htm
PERFORMS Self-Study Guide
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Unit
Linking Organizational
Goals to Individual Goals
Unit Now that you've spent a moment reviewing EPA's organizational
Overview goals* yฐu are ready to learn how to link EPA's organizational goals to
your workgroup objectives and, ultimately, to your individual
responsibilities.
Page 2-6
PERFORMS Self-Study Guide
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Unit 2B: Linking Organizational Goals with Individual Goals Module 2; Planning Performance
A Systematic
Approach
Linking organizational goals to individual responsibilities helps
everyone at EPA work toward the same direction. The
organizational goals represent the broad direction EPA plans to
move toward. Refer to the EPA Strategic Plan for more about
EPA's strategic direction.
First, organizational goals are linked to the performance objectives
of the workgroup. Linking organizational goals to workgroup
objectives is primarily the responsibility of the supervisor.
Sometimes, however, supervisors involve the workgroup in
determining the workgroup objectives.
The next link in the chain is to connect the performance goals for
the workgroup (eg., department, office, or unit) to general
responsibilities for each member of the workgroup. The supervisor
and employee work together to determine the responsibilities for
each member.
PERFORMS Self-Study Guide
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Module 2: Planning Performance Unit 2B: Linking Organizational Goals to Individual Goals
FOCUS Your You may well ask, "Where do I begin?" Before you begin, it often
Priorities helps to focus your priorities by:
* Referring to documentation and
+ Conducting information-gathering activities
Useful documentation may include:
ป Mission statements,
* Functional statements, and
* Project plans
* Position descriptions
You can also conduct activities to gather additional information
about the results of your workgroup, such as:
* Customer service, or
* Quality management
Page 2-8 PERFORMS Self-Study Guide
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Unit 2B: Linking Organizational Goals with Individual Goals Module 2: Planning Performance
The Process
Once you've gathered all the material and information you need,
you are ready to begin the process of connecting organizational
goals with your individual responsibilities.
The following process is one of a number of methods for linking
goals to individual responsibilities.
The Planning Performance Process
Slept Review EPA
Goals, Mission, &
Strategic Plan
Measures at Work Unit
Step 4. Communicate
Workgroup's
Relationship to The
Strategic Plan
Step 3. Develop
Performance Elements
Step 1. Review EPA The first step in linking organizational goals to individual
Goals, Mission, &
Strategic Plan
responsibilities is to become familiar with EPA's:
* Organizational goals,
ป Mission statements,
> Strategic direction, and
ป Annual performance goals and performance measures
PERFORMS Self-Study Guide
Page 2-9
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Module 2: Planning Performance
Unit 2B: Linking Organizational Goals to Individual Goals
Step 2. Determine
Measures at
Workgroup Level
Step 2. Determine Measures at Work
Unit Level
Step 2a. Cascade
mission/goals to the
workgroup
Step 2b. Determine
workgroup results
Step2c. Develop a
workgroup process
Stop2d. Identify key steps
in the work process
You'll perform a number of activities to determine what will be
measured at the workgroup level, including:
a. Cascade the Agency's mission or goals down to the work unit
level to identify work unit products and services.
b. Determine the results the work unit provides for its customers.
c. Develop a process flow chart for the work unit
d. Identify the key step(s) in the work process.
Page 2-10
PERFORMS Self-Study Guide
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Unit 2B: Linking Organizational Goals with Individual Goals Module 2: Planning Performance
Step 2a. Cascading Mission/Goals to the Workgroup. To identify
work unit products and services, you must break EPA's mission or
goals down to your workgroup level.
To do this, ask yourself a few questions, including:
ป What is EPA's mission?
> What are EPA's organizational goals?
* Which function(s) or objective(s) is the workgroup responsible
for?
* Which goal(s) can the workgroup affect?
For example, imagine that a public relations workgroup is
developing their workgroup objectives for the upcoming year. They
chose the EPA goal: Expand Americans' right to know about their
environment. The following graphic illustrates how the workgroup
cascaded the organizational goal to the workgroup level.
Step 2a. Cascade Mission/Goals to Workgroup Level
Agency
Mission/Goals
Reduce global &
cross-border
environmental risks
Expand'Americans'
right to know about their
environment
Provide effective
management
Workgroup
Mission/
Objectives
'Produce brochure , .
on water pollution ;
in six major. ' a
U.S. rivers ; .
Write policy position
paper on the Clean Air
Act
Design informational
Web page for public on
Green House Gases
PERFORMS Self-Study Guide
Page 2-11
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Module 2: Planning Performance
Unit 2B: Linking Organizational Goals to Individual Goals
Step 2b. Determine workgroup results. Next you'll determine the
results your workgroup provides its customers.
The workgroup results are the goods and/or services your work unit
or office provides to customers. The 'customers' are sometimes
located within the Agency, such as other offices or workgroups.
Some customers may be located outside the Agency, such as other
federal, state, or local agencies.
The following is an example of results that a public relations
workgroup, or office, might provide to another agency.
Customer
Other federal agencies
General public
Workgroup Results
Information on water pollution
Brochure on water pollution in
six major U.S. rivers
Step 2b makes the process more specific as shown in the expanded
graphic that follows.
Page 2-12
PERFORMS Self-Study Guide
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Unit 2B: Linking Organizational Goals with Individual Goals Module 2: Planning Performance
Step 2a. Cascade Mission/Goals to Workgroup Level
Agency
Mission/Goals
Reduce global &
cross-border
environmental risks
Expand Americans'
right to know about their
environment
Provide effective
management
Program
Mission/
Objectives
Workgroup
Products & Services
Produce brochure
on water pollution
in six major
U.S. rivers
Respond to requests for
Additional Information
Design
informational
web pagefor
public on
Green House
Gases
Check
Point 2b-1
szf
Now that you have an example of linking organizational goals to
workgroup objectives, see if you can develop a link for your
workgroup. Begin by thinking about which EPA goal is most related
to your work.
EPA Goal
Workgroup
Objective
Workgroup
Product or
Service
PERFORMS Self-Study Guide
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Module 2: Planning Performance
Unit 2B: Linking Organizational Goals to Individual Goals
Step 2c. Develop a workgroup process flowchart. You can
develop a process flowchart for each result your workgroup provides
its customers.
When you're ready to develop the work process flowchart(s), take a
moment to ask yourself: How does the workgroup achieve its
results?
In this example, we determined that one of the results of the public
relations workgroup is that they produce brochures. Here is their
work process flowchart for that result.
Example of a Work Process for Developing
A Brochure
i If needs revisions ,
Design Brochure
i
,
Develop Brochure
,
Submit for Review
- - - . Una
*-|
sdsrevisk
1
Develop Sample
Brochure
Write Brochure Text
Revise Brochure
jfanumvad
Submit Sample for
Review
Develop Brochure
Graphics
Send to Printer
j
i
h
i
Page 2-14
PERFORMS Self-Study Guide
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Unit 2B: Linking Organizational Goals with Individual Goals Module 2: Planning Performance
Step 2d. Identify key steps in the work process. Identify which
steps in the process are the most critical to the workgroup. Keep in
mind that the key steps generally should be measurable and the
measurement should be tracked.
Ask yourself the following question: Which are the most important
steps in the process? The most important steps are the ones that
should be measured.
Example of a Work Process for Developing
A Brochure
i If needs revisions ,
Design Brochure
.
F
Develop Brochure
.
Submit for Review
*-l
edsrevisH
Develop Sample
Brochure
Write Brochure Text
rfnppravod
Revise Brochure
Submit Sample lor
Review
Develop Brochure
Graphics
Send to Printer
i
h
h
PERFORMS Self-Study Guide
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Module 2: Planning Performance Unit 2B: Linking Organizational Goals to Individual Goals
Step 3. Develop The third step in linking organization goals to individual
Performance responsibilities is to develop performance elements that support
Elements work unit objectives and mission or work process.
Keep in mind that performance elements may include both
individual and group assignments and responsibilities. The most
important aspects of workgroup performance have already been
identified in Step 2: Determine Measures at Workgroup Level.
Other types of processes that workgroups may want to measure
(which would not be identified through Step 2) include:
+ Internal group-dynamics processes or
* Team development
Internal group-dynamics processes refer to processes that are
performed in a group setting, such as:
> Decision-making processes or
> Problem-solving processes
Elements that address individual achievements can be identified
using a role-results matrix. To do this, list the workgroup results or
process steps across the top of the matrix. Then list each member of
the workgroup or each job position down the left side of the matrix.
In each cell, list the assignment or responsibility (i.e., the
performance element) that the workgroup member must produce or
perform to support the workgroup accomplishment or process step.
All performance elements should be measurable (quantifiable or
verifiable). You'll find an example of a role-results matrix in the
following chart.
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Unit 2B: Linking Organizational Goals with Individual Goals Module 2: Planning Performance
Example of a Role-Results Matrix
for the Public Relations Department
Workgroup
Members
Workgroup Results
Develop Brochures
Respond to Requests for
Additional Information
Annie
Develop brochure samples
Write text for brochures
Respond to phone calls that request
additional information
Complete phone log for additional
information requests
Mail out standard packages that
corresponds to the request
Bob
Develop new materials in response to
requests
Conduct follow-up research needed
to complete requests for additional
information
Cathy
Develop brochure graphics
Develop graphics for new
informational materials
Dave
* Design brochure layout
+ Review brochures
> Send to printer
Approve requests for new material
development
PERFORMS Self-Study Guide
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Module 2: Planning Performance
Unit 2B: Linking Organizational Goals to Individual Goals
In this example, the performance elements for the workgroup are:
> Develop brochure and
> Respond to requests for additional information
The performance elements for each workgroup member is located to
the right of the member's name. You can probably see how the
workgroup results provide a starting point for planning individual
performance. In Unit 2c, Writing a Performance Plan, you'll learn
more about these elements of performance in the next unit.
Keep in mind that there may be aspects of performance at either the
workgroup level or the individual level that:
> Cannot be measured
> Would cost too much or require scarce resources to measure
ป In such cases, these should not be used to develop standards
Step 4.
Communicate
Workgroup's
Relationship to The
Strategic Plan
If you are the supervisor, be sure to communicate regularly to the
staff the workgroup's relationship to the strategic plan. This will
help focus your team on any redirection your workgroup's efforts
must take during the year.
Check
Point 2b-2
Complete the Roles and Results Matrix on the following page. At
the top of each column, put a product or service produced by your
workgroup. List staff members in your unit and think about how
they contribute to those results.
Page 2-18
PERFORMS Self-Study Guide
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Unit 2B: Linking Organizational Goals with Individual Goals Module 2: Planning Performance
You can use this worksheet to develop the Roles & Results Matrix for your workgroup.
Roles & Results Matrix
EPA Goal:
Workgroup:
Workgroup
Members
Workgroup Results
PERFORMS Self-Study Guide
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Module 2: Planning Performance Unit 2B: Linking Organizational Goals to Individual Goals
Answer Sheet for Check Point 2b-l: Linking to Your Workgroup Goals J
In this Check Point you were asked to link EPA's organizational goal(s) to your own ^^J
workgroup's objectives.
It often helps to focus your efforts by asking yourself some questions. Check yourself to see if
you answered all of the following questions when developing your workgroup objectives.
Step 1. Review EPA Goals, Mission, & Strategic Plan
Did you refer to the previous unit in this module, Unit 2a, Organizational Goals or the
EPA Strategic Plan?
Step 2. Determine Measures at Workgroup Level
Step 2a. Cascading mission/goals to the workgroup.
Did you ask yourself:
What is EPA's mission?
> What are EPA's organizational goals?
* Which function(s) or objective(s) is the workgroup responsible for?
> Which goal(s) can the workgroup affect?
Page 2-20 PERFORMS Self-Study Guide
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Unit 2B: Linking Organizational Goals with Individual Goals Module 2: Planning Performance
Answers for Check Point 2b-2: Determining Your Workgroup's Results
In this Check Point you were asked to determine the results (products or services) of
your workgroup.
Check yourself to see if you answered all of the following questions when determining the
results of your workgroup.
Step 2b. Determine workgroup results.
Did you ask yourself:
* Who are the workgroup customers?
* What products or services does the workgroup provide our customers?
Roles & Results Matrix
EPA Goal:
Workgroup:
Workgroup
Members
[place members
of the
workgroup in
this column]
=====
Workgroup Results
Product or Service
[place a product or service here in
this column]
Product or Service
[place a product or service here in this
column]
PERFORMS Self-Study Guide
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Unit
Writing a
Performance Plan
Unit In this unit, you will see the relationship between the information entered
Overview on ^e ^ฐ^es ^ Results Matrix and the performance 'elements' used in
your annual Performance Plan.
You'll learn more about performance elements. You'll also learn about the
performance standards associated with each element. Performance
standards make it possible to measure the result of the performance. You'll
also have the opportunity to write elements and performance standards for
a sample EPA employee and then for your own Performance Plan.
Page 2-22
PERFORMS Self-Study Guide
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Module 2: Planning Performance
Unit 2C: Writing a Performance Plan
What is a
Performance
Plan?
A Performance Plan is a document that specifies the level of
performance for the upcoming performance period that is required
for job retention. The plan is created in the beginning of each
performance period (i.e., January) of every year. The Performance
Plan serves as a 'living document' it is not etched in stone and can
change according to organizational needs. The Performance Plan
also provides the foundation for other aspects of PERFORMS,
including employee:
> Monitoring
> Development
> Appraisal
You'll find an example of a Performance Plan on the following
page. You can download a copy from the PERFORMS Web site at:
http://vnvw.intranet.epa.gov/agcyintr/ohros or obtain a copy from
your Human Resources representative.
PERFORMS Self-Study Guide
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Unit 2C: Writing a Performance Plan Module 2: Planning Performance
Performance Plan
Name: Office: Year:
Element:
Type of Element: Critical Additional
Standards and Measurement Sources:
Assumption (if applicable):
Element Rating: Successful Unacceptable
Element:
Type of Element: Critical Additional
Standards and Measurement Sources:
Assumption (if applicable):
Element Rating: Successful Unacceptable
Employee's Signature/Date (Discussion and/or approval of the performance agreement)
Supervisors)^ Signature/Date
Page 2-24 PERFORMS Self-Study Guide
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Module 2: Planning Performance
Unit 2C: Writing a Performance Plan
Communicating
Performance
Plans
If you are a supervisor, it is your responsibility to communicate to
employees performance expectations as well as the process for
completing a Performance Plan, usually within the first month of the
appraisal period.
1. The employee and the designated rater collaborate to draft plan.
2. The individual employee and designated rater agree on the plan.
If they cannot agree, the supervisor of record establishes the
plan.
3. To indicate approval, the designated rater initials the plan and
the supervisor of record signs and dates the plan. If a higher level
of review has been established, the reviewing official also signs
and dates the plan indicating concurrence with the plan.
4. The employee signs and dates the plan to indicate receipt. If the
employee refuses to sign, the supervisor of record dates the plan
and annotates the disagreement and date in the employee
signature block.
5. The supervisor of record keeps the original plan and the
employee receives a copy.
Setting High Performance Expectations. Supervisors have the
responsibility to communicate performance expectations to staff.
Although the Performance Plan is designed specifically to determine
if employee performance is rated successful or unacceptable
(adequate or inadequate), it is essential to the EPA mission and
employee satisfaction for the supervisor to communicate higher-
than-successful performance expectations.
Employees should be encouraged to seek training to improve their
skills, to find better ways of doing their jobs, to exceed customer
expectations, and/or to produce more than what is expected.
PERFORMS Self-Study Guide
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Unit 2C: Writing a Performance Plan Module 2: Planning Performance
If you are a supervisor, you must take every opportunity to:
* Communicate the organization's missions and goals and how the
employee fits into them,
* Articulate and model what excellence looks like,
> Assure that employees have the knowledge and skills necessary
to achieve, and
> Encourage the effort necessary to excel.
Page 2-26 PERFORMS Self-Study Guide
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Module 2: Planning Performance
Unit 2C: Writing a Performance Plan
Who Writes the
Performance
Plan?
Writing a Performance Plan is a collaborative effort between the
supervisor and the employee. If your job tasks haven't changed
much from the previous performance period, you may be able to
simply refine your existing Performance Plan.
Here's the process.
The Process for
Writing a Performance Plan
Step 2. Determine
Performance Measures
and Standards
Step 1. Establish
Element(s)
Step 3. Identify
Assumptions, if desired
Step 4. Identify Sources
of Appraisal Input
Step 5. Document
Elements & Standards
PERFORMS Self-Study Guide
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Unit 2C: Writing a Performance Plan
Module 2: Planning Performance
Step 1. Establish The first step in writing a Performance Plan is to establish the
Element/s) performance elements. Performance elements are job assignments or
responsibilities performed at EPA.
Step 1 of Writing a Performance Plan:
Establish Performance Element(s)
Step 1 a. Define or
Refine Performance
Elements
Step 1b. Determine Type of
Performance Element
Step 1. Establish the performance elements.
To establish performance elements for your Performance Plan:
a. Define or refine the performance elements.
b. Determine the type of each performance element.
Step 1 a. Define or If you created the Roles and Results Matrix in the previous unit, you
Refine the ^ave a start on ^fining vour performance elements.
Performance _ . _ , , A
._. . There are a few useful documents available to help you get started,
elements . , ,.
including:
* Organizational planning documents, and
* Employee position description.
Page 2-28
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Module 2: Planning Performance
Unit 2C: Writing a Performance Plan
Focus on Accomplishments When You Write or Refine your
Elements. As you write or refine your elements, keep in mind that it
is best to write performance elements as the results, or the
accomplishments of your work, rather than activities or behaviors.
Writing or Refining Performance Elements
Accomplishments results
Activities part of a process intended to produce
a desired result
Behaviors actions/comportment/demeanor that
produce desired results
The following are examples of performance elements.
Examples of Performance Elements
A resolved complaint Accomplishment
Facilitates client meetings Activity
Answers phones with courtesy Behavior
PERFORMS Self-Study Guide
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Unit 2C: Writing a Performance Plan
Module 2: Planning Performance
Step 1 b.
Determine the
Type of
Performance
Elements
There are two types of performance elements:
> Critical
* Additional
Critical Elements. Critical elements are the performance elements
that must be included in your Performance Plan. They are the key
components of your work and affect your summary level, or rating,
for that period. Your Performance Plan must have at least one and
no more than five critical elements.
While critical elements cannot be based on the performance of your
team, your critical element can be based on your specific personal
contribution to that team. Supervisors can have critical elements that
are based on the work of organizations they supervise.
Additional Elements. Another type of element is the additional
element. It is optional to include additional elements in your
Performance Plan and they do not affect your summary level, or
rating, in the performance period.
Although additional elements do not affect your rating, they can be
very useful to you. For example, they can:
* Clarify a developmental responsibility and encourage feedback
about it
ป Test a proposed critical element, standards, or measures to
determine if they are well designed without affecting your rating
> Measure team performance
Page 2-30
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Module 2: Planning Performance Unit 2C: Writing a Performance Plan
Check y Complete the following worksheet to check your understanding of
Point 2 1 T^n how to establish elements.
Write the elements for the position of a computer analyst. Refer to
the following position description as often as you need to.
Computer Analyst required responsibilities include setting up
staff within the workgroup with computer systems, performing
maintenance operations to keep the workgroup computers
functioning at maximum capacity, and resolving computer
problems for employees in the office.
The computer analyst's workgroup, the Office of Computer
Support (OCS), supplies budget data to the contracts' office.
You'll find a worksheet on the following page that shows a draft of
elements for a computer analyst at EPA. Use the worksheet to:
Identify whether the elements are critical or additional to a
computer analyst. Write Critical or Additional in the Type of
Element column.
PERFORMS Self-Study Guide Page 2-31
-------
Unit 2C: Writing a Performance Plan
Module 2: Planning Performance
Check Point 2c-1:
Establishing Elements
Position Description:
Computer Analyst required responsibilities include setting up staff within the workgroup
with computer systems, performing maintenance operations to keep the workgroup computers
functioning at maximum capacity, and resolving computer problems for employees in the office.
Element
Provide functional computer systems to employees
in the office
Maintain computer systems
Resolve computer problems
Train coworkers to maintain computer systems
Assist team members
Be polite to other employees
Complete training manuals
Type of Element
(Critical or
Additional)
Page 2-32
PERFORMS Self-Study Guide
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Module 2: Planning Performance
Unit 2C: Writing a Performance Plan
Step 2.
Determine
Measures
and
Standards
General
Performance
Measures
ii
All performance elements must be measurable. One or more specific
measures are needed for each performance element. For each
measure, a standard is set. If the measure is the performance
yardstick, then the standard is the point on the measurement
yardstick that needs to be achieved. Retention standards identify the
specific requirements that must be met in order to attain a successful
rating, and ultimately, to be retained in your current position.
General measures that can apply to all employees include:
* Quality
* Quantity
*- Timeliness
* Cost effectiveness
ป> Manner of performance
Other
Performance
Measures
In addition to the general performance measures used by all
employees, supervisors have some other performance measures to
choose from when writing then* Performance Plan. Other
performance measures for supervisors include:
Strategic effectiveness
Stakeholder satisfaction
Flexibility and innovation
Productivity
Budget approval
Financial management
Retention
Standards
Once you've determined your measures, you're ready to determine
the retention standards for each measure.
Retention standards should:
* Be reasonably attainable
> Not be absolute (allow room for error)
ป Inform you about the level of performance required to retain
your position
PERFORMS Self-Study Guide
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Unit 2C: Writing a Performance Plan
Module 2: Planning Performance
Here are some examples of retention standards.
I General Measure
I Timeliness
i Quality
I Quantity
Specific Measure
Response Time
Error Rate
Standard
Routinely provides answers
within 3 days
Fewer than 2% incorrect
answers
Number of Inspections A minimum of 2 inspections
per month
You may be able to think of other standards that could correspond
with these measures. For example, another quality measure could be
to meet or exceed customer expectations.
Page 2-34
PERFORMS Self-Study Guide
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Module 2: Planning Performance
Unit 2C: Writing a Performance Plan
Standards for
Resource
Managers
Managers and employees who have responsibilities for managing
resources, financial and human, must have performance standards
for those responsibilities.
Examples of positions with resource management responsibilities
include:
All supervisors
Budget officers
Contract managers
Work assignment managers
Delivery order project officers
Funds control officers
Certifying officers
Commitment clerks
Grants project officers
Property managers
Those who make or approve the use of payments
These resource management performance standards may be set up
under a separate critical element or, where managing resources are
incidental to the assignment, one or more standards may be included
under existing critical element(s).
An example of a standard for resource managers is shown below.
Critical Element: Coordinates and implements the XYZ
Program
General Measure: Financial management
Specific Measure: Budget tolerances
On the next page, you'll find a checklist you can use when you're
developing your own standards.
PERFORMS Self-Study Guide
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Unit 2C; Writing a Performance Plan Module 2: Planning Performance
Standards Checklist
Avoid Absolute Standards
An 'absolute' standard, one that allows for no errors, is acceptable only in certain circumstances.
Where a single failure to meet the retention standard would result in loss of life, injury, breach of
national security or great monetary loss, an agency can legitimately defend its decision to require
perfection from its employees. In other circumstances, the courts will usually find that the agency
abused its discretion by establishing retention standards that allow for no margin of error.
When Writing Standards
Ask yourself the following questions when writing standards. This can help you avoid writing
absolute standards.
Q How many times may the employee fail this requirement and still be acceptable?
Q Does the standard use words such as 'all,' 'never,' and 'each'? These words do not
automatically create an absolute standard, but they often alert you to problems.
Q If the standard allows for no errors, would it be valid according to the criteria listed above
(risk of death, etc.)?
Check Your Standards
Ask yourself the following questions to make sure your standards are effective and meet
regulatory requirements. It can help you clarify your standards.
Q Are the standards attainable? Are expectations reasonable?
G Are the standards challenging? Does the employee need to exert a reasonable amount of effort
to reach a fully successful performance level?
Q Are the standards fair? Are they comparable to what is expected of employees in similar
positions? Do they allow for some margin of error?
Q Are the standards applicable? Can the appraiser(s) use the standards to appraise performance?
Can the appraisers) collect measurement data efficiently?
Q Can the elements and standards be communicated and understood? Can employees be
expected to understand what is required?
Q Are the standards flexible? Can they be readily adapted to changes in resources or objectives?
Page 2-36 PERFORMS Self-Study Guide
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Module 2: Planning Performance
Unit 2C: Writing a Performance Plan
Step 3. Identify
Assumptions
Sometimes situations arise in which you have little or no ability to
control while you're completing your assignment. In PERFORMS,
these types of situations documented as 'assumptions' in the
Performance Plan.
'Assumptions' are known factors over which an employee has little,
if any, control, but that might exert a significant impact on your
performance or ability to achieve a successful rating on a critical
element. Supervisors will consider the factors that might
legitimately and significantly influence your ability to perform when
assessing your performance regardless of whether or not they are
documented in the Performance Plan as 'assumptions.' If you are
more comfortable with assumptions clearly documented in the
Performance Plan, then go ahead and include them when you're
writing or refining it.
Element: Coordinates and implements the XYZ Program
(Accomplishment)
Standard: Within budget constraints
Assumption: Materials, machinery, and adequate staff is
available
PERFORMS Self-Study Guide
Page 2-37
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Unit 2C: Writing a Performance Plan
Module 2: Planning Performance
Step 4. Identify
Sources of
Appraisal Input
Now you're ready to specify how you'll know if the standard has
been met. Ultimately, it is the supervisor's responsibility to use any
appropriate means of obtaining performance data as a means of
accurately assessing performance.
There are a variety of ways that you can track performance,
including:
> Manual or automated tracking systems
ป Direct observation of:
Supervisor
Designated rater
Team leader
Client/Customer feedback
Team members
ป Surveys
* Audits
ป Written products
Here's some examples of an element and standard that includes the
sources of appraisal input.
Element: Coordinates and implements the XYZ Program
(Accomplishment)
Standard: within budget constraints
Sources of Appraisal Input:
* Data from budget tracking system
Page 2-38
PERFORMS Self-Study Guide
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Module 2: Planning Performance
Unit 2C: Writing a Performance Plan
Element: Responds to congressional inquiries
Standard: Within three business days
Sources of Appraisal Input:
* Manual tracking system for inquiries
Element: Conducts inspections for Clean Air Act permits
Standard: Any violations are properly documented
Sources of Appraisal Input:
> Direct observation of lead attorney
Step 5.
Document the
Elements &
Standards
Reviewing
Performance
Plans
The final step in completing the Performance Plan is to document
the elements and standards on the Performance Plan form.
If you are a supervisor of record you have the authority to review
and approve Performance Plans. Some offices, though, require
additional level(s) of review because they may want to:
> Verify that a group of Performance Plans works toward meeting
the organizational objective
> Monitor the level of supervisory expectations across the
organization
The approving and reviewing officials) will sign the plan in the
Supervisor(s) Signature/Date block along with the initials of the
designated rater, if different.
Employee's Signature/Date
Supervisors)'* Signature/Date
PERFORMS Self-Study Guide
Page 2-39
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Unit 2C: Writing a Performance Plan Module 2: Planning Performance
Check V Now you'll get a chance to practice completing a Performance Plan
Point 2C-2 '^^M\ ^or a comPuter analyst. Complete the worksheet and then the
'^W-> Performance Plan form on the following pages.
Feel free to refer to the rest of the unit during this Check Point,
particularly the Standards Checklist.
1. Write the specific measure, or standard, for each element in the
Specific Measure/Standard column.
2. Write sources of appraisal input, or the methods for tracking
performance, for each standard in the Sources of Appraisal
Input column of the worksheet.
3. Write the assumptions, or the factors over which an employee
has little, if any, control in the Assumptions column of the
worksheet.
4. Use the blank Performance Plan form to document the
elements, standards, sources of appraisal input, and the
assumptions.
Page 2-40 PERFORMS Self-Study Guide
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Module 2: Planning Performance
Unit 2C: Writing a Performance Plan
Performance Plan Worksheet for a Computer Analyst
Element
1 . Provide functional
computer systems to
employees in the office
2. Maintain computer
systems
General
Measure
Timeliness
Timeliness
Manner of
Performance
Specific
Measure/Standard
Source of
Input
Assumptions
PERFORMS Self-Study Guide
Page 2-41
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Unit 2C: Writing a Performance Plan Module 2: Planning Performance
HQ EPA Performance Plan
Name: Office: Year:
Element:
Type of Element: Critical Q Additional G
Standards and Measurement Sources:
Assumption (if applicable):
Element Rating: Successful Q Unacceptable Q
Element:
Type of Element: Critical Q Additional Q
Standards and Measurement Sources:
Assumption (if applicable):
Element Rating: Successful Q Unacceptable Q
Employee's Signature/Date (Discussion and/or approval of the performance agreement)
Supervisor(s)'s Signature/Date
Page 2-42 PERFORMS Self-Study Guide
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Module 2: Planning Performance Unit 2C: Writing a Performance Plan
Check i^Xj For the final Check Point for this unit, you'll practice completing
'*jฃ-j your own Performance Plan. Complete the worksheet and then the
POint ^C-o Performance Plan form on the following pages.
Feel free to refer to the rest of the unit during this Check Point,
particularly the Standards Checklist.
1. Write your specific performance measures (standard) for each
element in the Specific Measure/Standard column.
2. Write your sources of appraisal input (the methods for tracking
performance) for each standard in the Sources of Appraisal
Input column of the worksheet.
3. Write the assumptions (the factors over which an employee has
little, if any, control) in the Assumptions column of the
worksheet.
4. Use the blank Performance Plan form to document your
elements, standards, sources of appraisal input, and
assumptions.
PERFORMS Self-Study Guide Page 2-43
-------
Unit 2C: Writing a Performance Plan
Module 2: Planning Performance
Performance Plan Worksheet
for Your Position at EPA
Element
General
Measure
Specific
Measure/Standard
Source of
Input
Assumptions
Page 2-44
PERFORMS Self-Study Guide
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Module 2: Planning Performance Unit 2C: Writing a Performance Plan
HQ EPA Performance Plan
Name: Office: Year:
Element:
Type of Element: Critical Q Additional Q
Standards and Measurement Sources:
Assumption (if applicable):
Element Rating: Successful Q Unacceptable Q
Element:
Type of Element: Critical Q Additional Q
Standards and Measurement Sources:
Assumption (if applicable):
Element Rating: Successful Q Unacceptable Q
Employee's Signature/Date (Discussion and/or approval of the performance agreement)
Supervisor's Signature/Date
PERFORMS Self-Study Guide Page 2-45
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Unit 2C: Writing a Performance Plan
Module 2: Planning Performance
Maintaining
Performance
Plans
If you are the supervisor, it is your responsibility to keep the
Performance Plans current and accurate. Although they can be
improved or updated throughout the performance period, substantial
change to a critical element must be dated so the appraisal can be
based on the minimum period of performance.
The supervisor maintains the Performance Plan for the workgroup
members for the performance period.
Page 2-46
PERFORMS Self-Study Guide
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Module 2: Planning Performance
Unit 2C; Writing a Performance Plan
Answer Sheet for Check Point 2c-l: Establishing Elements
At this Checkpoint, your task was to determine whether each element was an
accomplishment, activity, or behavior and then classify the type of element as either
critical or additional. Your worksheet probably looked like this.
Element
Provide computer systems to employees in the
office
Maintain computer systems
Resolve computer problems
Train employees
Assist team members
Be polite to other employees
Complete training manuals
Type of Element
Critical
Critical
Critical
Additional
Additional
Additional
Critical
If your worksheet differed from this one, review this unit.
PERFORMS Self-Study Guide
Page 2-47
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Unit 2C: Writing a Performance Plan
Module 2: Planning Performance
Answer Sheet for Check Point 2c-2: Complete a Performance Plan for a
Computer Analyst
This is how the Performance Plan Worksheet for a Computer Analyst and the actual Performance
Plan for an EPA computer analyst might look. Yours will differ a bit but if you asked yourself all
of the questions on the Standards Checklist, you've probably done fine. Also, if you have
additional questions about completing this Check Point, ask your supervisor.
Element
1 . Provide functional
computer systems to
employees in the office
2. Maintain computer
systems
General
Measure
Timeliness
Timeliness
Manner of
Performance
Specific
Measure/Standard
Usually within two
weeks of receiving the
request
Conduct maintenance
on a monthly basis
Process routine
requests for computer
maintenance to
completion, including
conducting the
maintenance, within
two working days.
Process high-priority
requests for computer
maintenance to
completion, including
conducting the
maintenance, usually
within one working
day
Prioritize requests by
order of importance
Source of
Input
As shown in
the request
log
Maintenance
SOPs
As shown in
the request
log
As shown in
the request
log
Maintenance
SOPs
Assumptions
The equipment
is in inventory
and is not on
back order with
the computer
company.
All replacement
parts are in
inventory and
adequate human
resources are
available to
handle the
number of
requests
received.
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Module 2: Planning Performance Unit 2C: Writing a Performance Plan
HQ EPA Performance Plan
Name:Computer Analyst Office: OARM/OHROS/SPPS Year: January 1 - December 31,1999
Element: Provide functional computer systems to employees in the office
Type of Element: Critical X Additional Q
Standards and Measurement Sources:
Usually within two weeks of receiving the request as shown in the request log
As verified by the supervisor
Assumption (if applicable): The equipment is in inventory and is not on backorder with the computer company.
Element Rating: Successful Q Unacceptable Q
Element: Maintain computer systems
TypeofEkmeat: Critical AT Additional Q
Standards and Measurement Sources:
Conduct computer maintenance checks on a monthly basts as outlined in the Maintenance SOPs
Prioritize requests by order of importance as outlined in the Maintenance SOPs
Process routine requests for computer maintenance to completion, including conducting the maintenance,
within two working days as shown in the request log and Maintenance SOPs
Process high-priority requests for computer maintenance to completion, including conducting the
maintenance, usually within one working day as shown in the request log and Maintenance SOPs
Supervisor spot checks maintenance logs and log of customer complaints.
Assumption (if applicable): All replacement parts are in inventory and adequate human resources are available
to handle the number of requests received
Element Rating: Successful Q Unacceptable Q
Employee's Signature/Date (Discussion and/or approval of the perferanace agrwaiuit)
Supervisor(s)'s Signature/Date
PERFORMS Self-Study Guide Page 2-49
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Unit 2C: Writing a Performance Plan
Module 2: Planning Performance
Answer Sheet for Check Point 2c-3: Write Your Own Performance Plan
If you had difficulty completing your own Performance Plan, review the following
questions for each section.
Preparation
* Did you create a Roles & Results Matrix for your workgroup?
> Did you determine how the workgroup achieves its results?
* Did you identify the key steps in the work process?
* Did you obtain your position description or organizational planning documents to use as
a starting point?
Categorizing the Elements
> Did you categorize the performance elements as Accomplishments, Activities, or
Behaviors? Keep in mind that the categories are:
Writing or Refining Performance Elements
Accomplishments results
Activities part of a process intended to produce
a desired result
Behaviors actions/comportment/demeanor that
produce desired results
Determining the Type of Performance Elements
> Did you identify critical elements as those that:
- Are based on the result of your individual performance during the performance
period?
- Affect your summary level, or rating, for that period?
> Did you identify at least one and no more than five critical elements?
* Did the critical elements include any of your contributions to a team effort?
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Module 2: Planning Performance Unit 2C: Writing a Performance Plan
Did you identify additional elements (optional) as those that:
- Clarify a developmental responsibility and encourage feedback?
- Test a proposed critical element, standard, or measure to determine if they are well
designed without affecting your rating?
- Measures team performance?
Then if you're still uncertain about a few things, consult your supervisor.
PERFORMS Self-Study Guide Page 2-51
-------
Module
Monitoring Performance
The Fivซ Components of PERFORMS
Module
Overview
Another essential component of PERFORMS is Monitoring
Performance. In this module, you'll learn how your performance is
measured and the procedures for conducting/participating in a
formal employee feedback discussion.
PERFORMS Self-Study Guide
Page 3-1
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Module 3: Monitoring Performance Module Overview
After reviewing this module, you should be able to:
Objectives
Understand how your performance will be measured.
Discuss methods of developing informal assessment and
feedback with your supervisor.
Identify the procedures for conducting/participating in a
formal employee feedback discussion (progress review).
Page 3-2 PERFORMS Self-Study Guide
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Unit
Measuring Performance
Unit
Overview
An important element of monitoring performance is measuring
performance. In this unit, you will learn how your performance is
measured by sources of appraisal input.
PERFORMS Self-Study Guide
Page 3-3
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Module 3: Monitoring Performance
Unit 3A: Measure Performance
Measure
Performance
I
Your performance can be measured through a variety of sources of
appraisal input. A combination of two or more appraisal inputs are
typically used in trying to depict an accurate assessment of your
performance. The sources of appraisal input that might be used are:
Manual or automated tracking systems
Client/Customer feedback
Audits
Team members
Direct observation of performance by a:
1. Supervisor
2. Designated Rater
3. Team Leader
Surveys
Written products
Management information systems developed for mission
purposes sometimes capture performance data as a secondary
product.
Examples of an appraisal input:
An inventory system may contain the name or code of the
employee who produced the item for tracking purposes. This
information could also be used to track employee productivity or
error rate.
A Team Leader may have direct experience with an employee's
performance that could then be communicated to the supervisor.
Customers may routinely complete a survey on their satisfaction,
which could be linked to the employee who works with that
customer.
If there is no source of appraisal input, the standards cannot be
measured or used.
Page 3-4
PERFORMS Self-Study Guide
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Unit
.
Providing Feedback to
the Employee on a
Regular Basis
Unit
Overview
Another important element of Monitoring Performance is the
formal and informal employee feedback discussions. In this
unit, you'll learn when employee feedback discussions should take
place and the procedures for conducting these discussions.
PERFORMS Self-Study Guide
Page 3-5
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Module 3: Monitoring Performance
Unit 3B: Providing Feedback on a Regular Basis
Providing
Feedback to the
Employee on a
Regular Basis
The best feedback systems provide performance feedback to you
throughout the entire year.
PERFORMS is intended to create an open atmosphere for the
exchange of information between you and your supervisor
throughout the entire year.
FEEDBACK
' r u \i ^ i^ .
Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec
Page 3-6
PERFORMS Self-Study Guide
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Unit 3B: Providing Feedback on a Regular Basis
Module 3: Monitoring Performance
Informal At the beginning of the year you and your supervisor should discuss
Assessment and different methods of feedback and what your individual preferences
are for giving and receiving feedback. You may want to document
i GGQD3CK , . . . .. . .
this in a feedback plan.
A feedback discussion might include:
1
What type of feedback is desired and appropriate (when
writing the Performance Plan)
2. How often you would like feedback
3. Appropriate setting for feedback
4. How to expand feedback opportunities
5. Who should contribute to it other than the supervisor
PERFORMS Self-Study Guide
Page 3-7
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Module 3: Monitoring Performance
Unit 3B: Providing Feedback on a Regular Basis
Progress Review Under PERFORMS, you will engage in at least one formal employee
feedback discussion (progress review) during the year, preferably
mid-year. During this progress review, you will be given an
assessment by your supervisor of your strengths and weaknesses.
You will also be given the opportunity toevaluate your own
performance.
The progress review process can be broken down into three steps.
Progress Review
Process
Step 1.
Designated rater |
consults with
supervisor of
record
Step 2. Designated
i rater meets with
employee to discuss
progress
Step 3. Designated
rater documents
review on Appraisal
Cover Sheet
Step 1. Designated
rater consults with
supervisor of record
The first step in the progress review is for the designated rater to
discuss with the supervisor of record:
1. The employee's performance progress.
2. The standards against which the employee's progress
will be measured.
3. Any information that could affect the employee's job.
If the designated rater is the supervisor of record this step is
unnecessary.
Step 2. Designated The second step in the feedback process is for the designated rater to
rater meets with meet with the employee to discuss his/her performance. It is during
employee to discuss this step that the performance review actually occurs. This should be
progress an open, two-way, candid, and work-oriented session between you
and your supervisor. If concerns are expressed about your
performance, you will have an opportunity to make an improvement
plan.
Page 3-8
PERFORMS Self-Study Guide
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Unit 3B: Providing Feedback on a Regular Basis Module 3; Monitoring Performance
Step 3. Designated The final step in the feedback process occurs when the designated
rater documents rater documents the performance review on the Appraisal Cover
review on Appraisal Sheet. In so doing, the designated rater should note the date and
Cover Sheet initial the form. In addition, the designated rater should have the
employee initial the "Formal Progress Review" on the Appraisal
Cover Sheet. If the designated rater is not the supervisor of record,
then the supervisor may also wish to meet with an employee.
PERFORMS Self-Study Guide Page 3-9
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Module 3: Monitoring Performance
Unit 3B: Providing Feedback on a Regular Basis
Appraisal Cover Sheet
HQEPA
PERFORMS
Appraisal Cover Sheet
Formal Progress Revlew(s):
Employee Name:
\SSN:
Office:
Calendar
To derive summary level:
1) If the rating for any critical
element is unacceptable, then the
summary level is unacceptable.
2) Otherwise the summary level is
successful.
3) Additional elements do not factor
into summary level.
Summary Level:
Successful
Unacceptable
My supervisor ind I hive discussed my performance for this period in relation to my performance
measures and standards, and my supervisor has informed me of my rating of record.
Employee's Signature/Date:
Supervisors) 's Signatures/Date:
Supervisor's Comments:
Employee's Comments:
Page 3-10
PERFORMS Self-Study Guide
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Unit 3B: Providing Feedback on a Regular Basis
Module 3: Monitoring Performance
Check
Point
Here's a chance to check your understanding.
1. Put a checkmark on the line that corresponds to a source of
appraisal input:
Client/Customer feedback
Vendor evaluation
Sick leave taken
Hearsay
Surveys
Manual or automated
tracking systems
Supervisor's observation
Management information
systems
Designated rater observation
Speech and mannerisms
Audits
Team members'
observations
Number of friends
Team leader's
observation
Written products
Peer's observation
Style of dress
2. When is the appropriate time to provide/receive performance
feedback?
Once per year
Only on the first of the year
Twice per year
. Anytime
3. What is the proper order of the steps of the performance feedback
process? Mark a "1" by the first step, "2" by the second step, and
so on until you have completed all the steps in the performance
feedback process.
Designated rater consults with supervisor of record.
Designated rater and employee document review on
Appraisal Cover Sheet.
Designated rater meets with employee to discuss progress.
PERFORMS Self-Study Guide
Page 3-11
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Module 3; Monitoring Performance Unit 3B: Providing Feedback on a Regular Basis
Additional
References & HQ SuPPlemental Guidance
Resources
Page 3-12 PERFORMS Self-Study Guide
-------
Unit 3B: Providing Feedback on a Regular Basis
Module 3: Monitoring Performance
Answer Sheet for Check Point
1. Put a checkmark on the line that corresponds to a source of appraisal input:
X Client/Customer feedback
Vendor evaluation
Sick leave taken
Hearsay
X Surveys
X Manual or automated
tracking systems
X Supervisor's observation
X Management information
systems
X Designated rater observation
Speech and mannerisms
X Audits
X Team members' observations
Number of friends
X Team leader's
observations
X Written products
Peer's observation
Style of dress
2. When is the appropriate time to provide/receive performance feedback?
Once per year
Only on the first of the year
Twice per year
_X_ Anytime
3. What is the proper order of the steps of the performance feedback process? Mark a "1"
by the first step, "2" by the second step, and so on until you have completed all the
steps in the performance feedback process.
Designated rater consults with supervisor of record.
3 Designated rater and employee document review on Appraisal Cover Sheet.
2 Designated rater meets with employee to discuss progress.
PERFORMS Self-Study Guide
Page 3-13
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Module
Developing Performance
The Five Components of PERFORMS
Planning
Performance
Module
Overview
The fourth component in PERFORMS is Developing Performance.
In this module, you'll learn more about the possible tools,
techniques, and performance assistance procedures that you and
your supervisor might use to help develop and enhance your work
performance.
PERFORMS Self-Study Guide
Page 4-1
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Module 4: Developing Performance Module Overview
Module After reviewing this module, you should be able to:
Objectives
Define coaching and feedback.
Explain the purpose of an Individual Development Plan (IDP).
Define 360 degree feedback.
Identify the procedures for implementing performance
assistance.
Explain the purpose of a Performance Improvement
Plan (PIP).
Page 4-2 PERFORMS Self-Study Guide
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Unit
Feedback and Coaching
Unit
Overview
Two possible performance development techniques your
supervisor may use are feedback and coaching. In this unit, you'll
examine the differences between these techniques and how they are
used to develop and enhance your work performance.
PERFORMS Self-Study Guide
Page 4-3
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Module 4: Developing Performance
Unit 4A: Feedback and Coaching
Giving
Feedback
One technique your supervisor may use in helping you enhance your
work performance and develop your work skills is feedback.
Feedback is the backbone of PERFORMS and is involved in each of
its components and processes (see Unit 5 - Appraising
Performance). It is the central thread that not only runs throughout
the entire PERFORMS process, but also each phase of
PERFORMS.
Feedback is the one-to-one interaction between you and your
supervisor with the intention of guiding and developing you.
Feedback fosters open communication about performance
between you and your supervisor.
Because of its importance to the overall success of PERFORMS,
you and your supervisor are encouraged to attend training in
feedback to learn:
1. The objectives of feedback
2. Approaches
3. Techniques
Constructive
Feedback
Constructive feedback is providing positive and negative
information to another in order to improve performance and
recognize desired behavior.
Constructive feedback is comprised of a number of important
elements that include:
Presenting observations in a noncritical manner.
Reinforcing positive behaviors and correcting
unsatisfactory behaviors.
Reinforcing positive behaviors in order to recognize
outstanding performance.
Page 4-4
PERFORMS Self-Study Guide
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Unit4A: Feedback and Coaching Module 4: Developing Performance
These tips should be considered when you provide feedback. You
should ask for feedback and be open to receiving it. When
contemplating giving feedback to a peer ask the person if they're
open to hearing some feedback.
Some additional feedback tips include:
Deliver feedback to the employee or group performing the
relevant task and provide the feedback yourself.
Give feedback as soon as possible after the event.
Provide specific feedback. For example, feedback should:
* Be tied to goals
* Be both quantitative and qualitative
* Include what the employee did that was right
* Be linked to the big picturehow what they do affects
their peers, project, and organization
Only give feedback on the issue or situation that you honestly
feel the employee can control. Be careful to keep the feedback
conversation from being personal. Focus on the behavior that is
a problem.
Provide feedback on good behavior as well as behavior needing
improvement.
Use feedback as a motivator.
PERFORMS Self-Study Guide Page 4-5
-------
Module 4: Developing Performance Unit 4A: Feedback and Coaching
Activity 4.1 - Feedback Examples
Which of the following stories are examples of constructive
feedback?
1. 1 really enjoyed the way you handled the staff meeting when you
were filling in for Alice this week. You kept on schedule, did a good
job of leading discussion, and made it fun for all of us.
2. John Smallwood in the Multimedia Division asked me to tell you
that he thought you needed work on giving presentations.
3. You really need to improve your attitude if you are going to
continue working here.
4. You did a great job with the report on pollution in the
Mississippi River that you finished last week. It was clear, easy to
follow, and had great illustrations.
5. We couldn 't discuss the first topic on the agenda at the staff
meeting because you arrived late and were going to bring the
budget. We were looking forward to seeing what you came up with.
6. Have you ever considered taking a course in English grammar?
7. I think you are doing a good job, although others I have talked
with do not agree.
8. I was worried about where you were an hour ago. In the future,
please let me know when you will be going out to the other building
for a meeting. It's important that your time is accounted for and that
we know where to find you.
Answers are at the end of this module
Page 4-6 PERFORMS Self-Study Guide
-------
Unit 4A: Feedback and Coaching
Module 4: Developing Performance
Providing Negative
Feedback
Typically, people find it difficult to give negative feedback. The
following model should assist you and your supervisor in giving
negative feedback.
An important feature of this model is it allows the person receiving
feedback to have input and put forth a resolution to the performance
problem during the process and at the end of the discussion.
Giving
When you . . .
I'm concerned . . .
V
Because I ...
Pause
Feedback
c
c
I would like . . .
Because . . .
What do you
think?
Pause
PERFORMS Self-Study Guide
Page 4-7
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Module 4: Developing Performance
Unit 4A: Feedback and Coaching
Communication Techniques For Giving Negative Feedback
Step
"When you. . ."
"I'm concerned. . ."
"Because I. . ."
Pause and listen for
response
"I would like. . ."
"Because. . ."
"What do you think?"
Explanation
State specific facts of behavior
(non-judgmental).
Describe how behavior affects
you or the office.
State why the observed
behavior affected you in this
way.
Give the other person an
opportunity to respond.
Describe change you want the
other person to consider.
State why the change is needed.
Listen to response. Discuss
options and compromise on a
solution, if necessary.
Example
When you do not attend staff meetings as
you did today and last week. . .
. . .1 get concerned. . .
. . .because I value your contributions.
You play an important role in this office
and accomplishing its goals.
I would like you to consider planning your
schedule so that you can attend meetings
or calling in advance if there is an
important reason for the meeting to be
rescheduled.
Because you are a valuable member of our
team and we miss your input when you are
not there.
One way to ensure that both our needs are
met is to. . .
What do you think?
Page 4-8
PERFORMS Self-Study Guide
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Unit 4A: Feedback and Coaching
Module 4: Developing Performance
Receiving
Constructive
Feedback
What type of feedback do you think is the easiest to receive, positive
or negative?
Most supervisors and employees will say positive.
Responding to
Feedback
Feedback is a critical component of PERFORMS. Feedback is
expected to be a give-and-take, two-way conversationeven from
you to your supervisor. We can think of responding to feedback in
terms of three steps:
1. Listening to the feedback
2. Identifying problem, or success
3. Forming an action plan
When responding to performance feedback from your supervisor,
you should demonstrate and use active listening techniques to be
sure you understand what your supervisor is saying.
Keep in mind your supervisor's feedback should identify a specific
problem, or success.
Once you have had the chance to receive your supervisor's feedback
and give input on your performance, you and your supervisor should
work together to develop an action plan to correct any identified
performance problems, if necessary.
If the feedback has been positive you should reflect upon how you
can continue that performance in the future.
PERFORMS Self-Study Guide
Page 4-9
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Module 4: Developing Performance
Unit 4A: Feedback and Coaching
Tips for Receiving
Feedback through
Active Listening
Active listening is vital to understanding performance feedback
from your supervisor. Active listening is comprised of a number of
key behaviors. For you to further develop and enhance your work
performance, you will need to employ active listening techniques.
These active listening techniques focus on your behavior when you
are being given performance feedback from your supervisor.
The active listening techniques include: concentrating, not
interrupting, seeking the meaning, and asking questions.
Active Listening Tips
Concentrating on the words of the message.
: Not interrupting before the speaker has finished his/her
thoughts.
i Seeking the meaning of the words (connotation
i and denotation).
i
i Asking questions (open-ended, probing)
Identifying Problem
Behaviors
After receiving your supervisor's feedback it is important that you
reflect on what was said and identify what specific behaviors need
improvement.
Forming an Action
Plan
After reflecting on the behaviors that need improvement, you should
work with your supervisor to develop a specific action plan for
improvement.
As your performance improves it is important that your supervisor
notes your progress and provides positive feedback when it is
appropriate.
Page 4-10
PERFORMS Self-Study Guide
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Unit4A: Feedback and Coaching
Module 4: Developing Performance
Coaching
Another technique your supervisor might use to help enhance your
work performance and develop your work skills is coaching.
Coaching is the one-to-one interaction between you and your
supervisor with the intention of motivating you towards greater
work performance. Others may also act as coaches, including your
peers, or even subordinates.
The goal of coaching is to help you change your behavior(s),
improve skills, or enhance knowledge by:
Mentoring
Tutoring
Counseling
You and your supervisors are encouraged to attend training in
coaching to learn:
The objectives of coaching
Approaches
Techniques
PERFORMS Self-Study Guide
Page 4-11
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Unit
Developing an Individual
Development Plan
1
>-r
K-.
EC*
^
ป
^t
f^-
ฃlZ
Individual Development
Plan
Strengths f
"*
m
f
f
m
m
m
M
f
\
|
I
Unit
Overview
Another aspect of the Developing Performance component is the
development of your Individual Development Plan (IDP). In this
unit, you'll learn how and why it is important to develop an
Individual Development Plan.
Page 4-12
PERFORMS Self-Study Guide
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Unit 4B: Developing an IDP
Module 4: Developing Performance
What is an IDP?
An Individual Development Plan (IDP) identifies developmental
needs and career objectives. It is a useful tool for career
development that benefits you and the organization.
You and your designated rater/supervisor of record are
encouraged to make the IDP part of the performance
management process.
An IDP is required when either you request one or your
supervisor assigns one.
The Individual Development Plan process may include:
Conducting a self-assessment
Obtaining assessments from peers, superiors, and others
Identifying opportunities and other options for career
growth.
For more information on IDPs, see the workbook
Developing Your Strengths.
This workbook is designed to help you construct your Individual
Development Plan.
You can download a copy of the workbook from the
PERFORMS Intranet site at:
http://www.intranet.epa.gov/agcyintr/ohros or obtain a copy
from your Program Management Officer (PMO).
PERFORMS Self-Study Guide
Page 4-13
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Module 4: Developing Performance
Unit 4B: Developing an IDP
Formal
Procedures for
IDPs
An Individual Development Plan (IDP) is required when you
request it or your supervisor assigns it.
Your supervisor might assign an IDP if he/she determines that you
have a training need. If the supervisor identifies required training,
he/she will notify you and, if applicable, annotate your IDP.
After you and your supervisor have identified areas to develop or
improve, create an improvement plan or strategy in the IDP, which
includes:
A listing of training courses that will help you meet your goals,
Special projects you could undertake, or
Other assignments to improve your skills.
The IDP will form the basis for a developmental discussion after
which your supervisor may approve the IDP as proposed or as
modified.
Even if a formal IDP is not done, you are entitled to at least one
formal assessment and development discussion.
When working on or developing your IDP, if you and your
supervisor have any questions, contact your Human Resources
representative.
Page 4-14
PERFORMS Self-Study Guide
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Unit
360ฐ Feedback Instruments
Unit
Overview
Another frequently used tool is 360 degree feedback instruments.
This tool can be valuable in collecting anonymous performance
feedback data for developmental purposes.
In this unit, you'll learn more about 360 degree feedback and how it
could be used with PERFORMS.
PERFORMS Self-Study Guide
Page 4-15
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Module 4: Developing Performance
Unit 4C: 360ฐ Feedback Instruments
What are 360
degree feedback
instruments?
Another helpful tool in the Developing Performance component is
360 degree feedback instruments. The name of this tool suggests
looking at performance from all sides. These instruments are used to
assess broad performance variables based on the observations of
superiors, peers, and subordinates.
Some of the unique features and benefits of these instruments
include:
Using a feedback mechanism that includes feedback from work
associates at all levels.
Providing useful input in improving your performance. The
instruments solicit candid commentary anonymously from a
variety of sources and present the findings to you in an
aggregated, impersonal, and non-threatening format.
Who will use
them?
Headquarters may use 360 degree feedback instruments that affect
bargaining unit employees either as suppliers or recipients of
feedback only after negotiating its implementation with the
affected local unions.
Page 4-16
PERFORMS Self-Study Guide
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Unit 4C: 360ฐ Feedback Instruments Module 4: Developing Performance
When will 360 These instruments may be used at a later date.
degree feedback
be used?
PERFORMS Self-Study Guide page 4.17
-------
Module 4: Developing Performance
Unit4C: 360ฐ Feedback Instruments
360 Degree Feedback Instruments and Multi-Source Input
Although offices may not use 360 degree feedback instruments that have not been negotiated and
that affect bargaining unit employees, supervisors may use input from other persons in measuring
performance against the performance plan for appraisal purposes. The following table contrasts
the concept of the 360 degree feedback instrument against that of multiple sources for rating
input.
Authority
Use
Sources
Content
How Obtained
Filter
Multi-Source Input
Permitted by union
agreements.
Appraisal input.
Any relevant source, noted in
the performance plan, such as
people, documents, and
systems; source known to
employee.
Factual, specific, and relevant
to the performance standard.
Discussion with supervisor;
tailored survey as specified in
the plan; document review.
Routine.
Supervisor, who is
responsible for assessing its
suitability and quality.
360 Degree Feedback
Requires union negotiations.
Employee development.
Anyone: supervisors, peers,
suppliers, customers; usually
anonymous.
Broad, generalized.
Formal survey, usually with
consultant support and
computerized results.
Unfiltered, compiled by third
party professional.
Page 4-18
PERFORMS Self-Study Guide
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Unit
Formal Employee
Development Discussion
Unit
Overview
In determining what your work performance and skill needs are, you
and your supervisor, and possibly the designated rater, will have a
formal development discussion.
In this unit, you'll learn more about the formal employee
development discussion.
PERFORMS Self-Study Guide
Page 4-19
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Module 4: Developing Performance
Unit4D: Formal Employee Development Discussion
Formal
Employee
Development
Discussion
You should have at least one formal employee development
discussion with your supervisor per year.
This discussion can coincide with a:
Performance planning meeting,
Mid-year or other progress review, or
Appraisal interview.
The discussion can also be handled separately. Should you need
more time, additional formal and informal discussions should be
held as you and your supervisor feel necessary.
Page 4-20
PERFORMS Self-Study Guide
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Unit
Performance Assistance
Unit
Overview
Once your work performance needs and weaknesses have been
determined, your supervisor will work with you on identifying
possible resources that may be available to you in the form of
performance assistance. In this unit, you'll review and learn more
about the various types of performance assistance available to you
under PERFORMS.
PERFORMS Self-Study Guide
Page 4-21
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Module 4: Developing Performance
Unit 4E: Performance Assistance
Performance
Assistance
Performance assistance is designed for employees whose
performance has slipped significantly, but has not yet reached the
unacceptable level. Should you need this assistance, you should
understand that these performance assistance services are intended
to help you improve your performance to a level that is comfortably
in the successful range.
The performance assistance services offered to you will be tailored
to your specific needs. These services include:
Formal training
On-the-job training
Counseling
Assignment of a mentor or
Other assistance as appropriate
Note: At any time during the assistance period, your supervisor
may conclude that the assistance is no longer necessary. If this
occurs, your supervisor will notify you of his/her decision in
writing. On the other hand, if at any time during the assistance
period your performance is determined to be unacceptable in one
or more critical elements, a formal opportunity to demonstrate
success through a Performance Improvement Plan (PIP) will be
initiated.
Page 4-22
PERFORMS Self-Study Guide
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Unit 4E: Performance Assistance
Module 4: Developing Performance
Performance
Assistance
Process
Actions/Steps in the
Performance
Assistance Process
Any time a performance problem is noted and the level of
performance approaches an unacceptable rating, but before an
unacceptable rating has been assigned, the designated rater raises
the matter to the supervisor of record.
The supervisor of record and the designated rater (if desired) will
meet with you to work collaboratively to develop a plan to correct
the work performance problem. If you feel that additional
consultation is needed and if your supervisor concurs, then your
union representative may also participate in part or all of the
collaborative process to develop a plan to correct the problem.
The counseling session will be documented in writing and a copy
will be given to you. The developed plan will afford you an
opportunity of at least 45 days to resolve the identified
performance-related problem. During this period, your performance
will be considered successful for purposes of any performance/
personnel-related actions.
Stepl
Designated rater
discusses the
problem with the
supervisor of
record.
1
Stepl
The supervisor meets
J with the employee to
collaboratively develop
a corrective plan.
Step 3
If desired, an additional
meeting between the
supervisor, employee,
and possibly a union
representative is
conducted.
I ,
StepS
Employee is given 45
days to correct the
identifed performance-
related problem.
Step 6
When the assistance
period ends, if the
employee's performance
is satisfactory, the
supervisor notifies
employee in writing.
Step 4
Session is
documented and
copy given to
employee
Step?
At any time during the assistance
period, a PIP should be developed
if:
Performance assistance fails to
correct the performance
problem.
Employee performance
becomes unacceptable during
the performance assistance
period
PERFORMS Self-Study Guide
Page 4-23
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Unit
Performance Improvement Plan
(PIP)
Unit
Overview
When work performance becomes unacceptable, your supervisor
will develop a Performance Improvement Plan (PIP) in consultation
with you. In this unit, you'll learn what the goals of the PIP are,
how it developed, and how the Performance Improvement process is
initiated and terminated.
Page 4-24
PERFORMS Self-Study Guide
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Unit 4F: Performance Improvement Plan
Module 4: Developing Performance
Performance
Improvement
Plan (PIP)
The goal of any PIP is to return you to successful performance as
soon as possible.
60
Oct Nov Dec Jan Feb Mar Apr May Jun Jul Aug Sep
In a memo from your supervisor to you a Performance Improvement
Plan identifies:
Your performance deficiencies (performance below
successful)
Actions that you must take to improve performance
Provisions for assistance to achieve a successful
performance level
Note to supervisor: Contents of PIP can be found in
Appendix B of Supplemental Guidance.
PERFORMS Self-Study Guide
Page 4-25
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Module 4: Developing Performance
Unit 4F: Performance Improvement Plan
PIP Procedure
The Performance Improvement Process (PIP) is comprised of six
steps. It is important to remember that your PIP is developed in
consultation with you and your union representative, if requested.
Slept
Supervisor consults
with OHROS for advice
and assistance on
implementing PIP
Step 2
Supervisor initiates I
I PIP and an appraisal!
Step 3
Supervisor &
; reviewing official
: approve the PIP
Step 4
Supervisor
i communicates the
PIP to employee
! StepS
) Employee signs PIP
I and receives copy
Step 6
File the PIP with
Human Resources
Step?
Supervisor may
extend the PIP
Stepl
As soon as your performance on a Critical Element (CE) and overall
work performance becomes unsatisfactory, the supervisor of record
contacts the Human Resources Office to solicit guidance and
assistance in implementing a PIP for you.
Step 2
As soon as your performance becomes unacceptable on a critical
element that you have performed for at least 90 days, then your
supervisor initiates an appraisal and a written PIP. This written PIP
must be in place within 15 working days after you have been
formally informed that your performance has been unacceptable.
A PIP may be initiated at any time during the appraisal year
whenever your performance slips to the unacceptable level.
Page 4-26
PERFORMS Self-Study Guide
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Unit 4F: Performance Improvement Plan Module 4: Developing Performance
Step 3 Your supervisor of record signs and dates the PIP and then obtains
the reviewing official's signature.
Your supervisor of record will discuss the details of the approved
Step 4 PIP with you to ensure you understand what will be required of you
in the future.
Step 5 You will sign the PIP and be given a copy for your records. Your
signature on the PIP does not signify that you agree with the PIP,
but instead that you have received a copy of the PIP for your
records.
If you refuse to sign the PIP, your supervisor of record will note that
on the PIP and date your statement.
Step 6 Your supervisor of record will then send of a copy of the PIP to the
Human Resource Office along with the original Performance Plan
and the rating package. The PIP will then be filed in your Employee
Performance File.
Step 7 Your supervisor of record with the concurrence of the reviewing
official may extend the duration of your PIP at any time. If an
extension of the PIP is granted, the extension memo will be added to
your Employee Performance File and will become part of your PIP.
PERFORMS Self-Study Guide Page 4-27
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Module 4: Developing Performance
Unit 4F: Performance Improvement Plan
Check Point
Here's a chance to check your understanding.
1. In Step 5 of the Performance Assistance Process, the employee is
given at least days to correct an identified performance
problem.
A. 50
B. 90
C. 30
D.45
2. All of the following are forms of performance assistance except:
A. On-the-job training
B. Education assistance
C. Counseling
D. Paid vacation time
E. Assignment of a mentor
3.
is the central thread that runs throughout all the
components and entire PERFORMS process.
A. Reinforcement
B. Feedback
C. Rewards
D. Coaching
4. Put a checkmark next to the components that may be a part of
your IDP.
A. Writing a job description
B. Conducting a self-assessment
C. Obtaining assessments from peers, superiors, and
subordinates
D. Identifying opportunities and other options for career growth
Additional
References &
Resources
HQ Supplemental Guidance
Developing Your Strengths Workbook
Page 4-28
PERFORMS Self-Study Guide
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Unit4F: Performance Improvement Plan Module 4: Developing Performance
Answer Sheet for Feedback Exercise
1. I really enjoyed the way you handled the staff meeting when you -were filling in for Alice
this week You kept on schedule, did a good job of leading discussion, and made it fun for
all of us.
Meets all feedback criteria
2. John Smallwood in the Multimedia Division asked me to tell you that he thought you
needed work on giving presentations.
Second-hand feedback
Not very specific
Hearsay
3. You really need to improve your attitude if you are going to continue working here.
Not specific
Not based on observable behavior
Personal attack
4. You did a great job with the report on pollution in the Mississippi River that you finished
last week. It was clear, easy to follow, and had great illustrations.
Meets all feedback criteria
5. We couldn 't discuss the first topic on the agenda at the staff meeting because you arrived
late and were going to bring the budget. We were looking forward to seeing what you
came up with.
Meets all feedback criteria, but could describe how to correct behavior.
6. Have you ever considered taking a course in English grammar?
Not specific or direct about the type of behavior that needs correcting
Could be construed as a personal attack
7. I think you are doing a good job, although others I have talked with do not agree.
Not specific, too general
Not direct feedback in regard to others
8. I was worried about where you were an hour ago. In the future, please let me know when
you will be going out to the other building for a meeting. It's important that your time is
accounted for and that we know where to find you.
Meets all feedback criteria
PERFORMS Self-Study Guide Page 4-29
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Module 4: Developing Performance Unit 4F; Performance Improvement Plan
Answer Sheet for Check Point
1. In Step 5 of the Performance Assistance Process, the
employee is given at least days to correct an identified
performance problem.
A. 50
B. 90
C. 30
D.45
2. All of the following are forms of performance assistance except:
A. On-the-job training
B. Education assistance
C. Counseling
D. Paid vacation time
E. Assignment of a mentor
3. is the central thread that runs throughout all the
components and entire PERFORMS process.
A. Reinforcement
B. Feedback
C. Rewards
D. Coaching
4. Put a checkmark next to the components that may be part of your
IDP.
A. Writing a job description
B. / Conducting a self-assessment
C. / Obtaining assessments from peers, superiors, and
subordinates
D. / Identifying opportunities and other options for career
growth
Page 4-30 PERFORMS Self-Study Guide
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Module
Appraising Performance
The Five Components of PERFORMS
Planning
Performance,
Recognizing
Performance
Module
Overview
The fourth essential component in PERFORMS is Appraising
Performance. This component typically involves the interaction and
exchange of performance feedback between you and your supervisor
during the performance appraisal process.
In this module, you'll learn when it is appropriate to conduct a
performance appraisal and the steps in the performance appraisal
process.
You'll also have exercises to evaluate the performance of an
employee and provide that person with performance feedback. Then
you'll be ready for your performance appraisal.
PERFORMS belt-Study Guide
Page 5-1
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Module 5: Appraising Performance Module Overview
Module After reviewing this module, you should be able to:
Objectives
Identify the end-of-year performance appraisal process.
Identify the procedures for conducting performance appraisals.
Given a scenario of employee performance, assess the employee's
performance using the Performance Appraisal Cover Sheet and a
copy of the employee's Performance Plan.
Page 5-2 PERFORMS Self-Study Guide
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When to Conduct
Performance
Appraisals
Unit
Overview
In this unit, you will learn when it is appropriate to conduct a
performance appraisal.
PERFORMS Self-Study Guide
Page 5-3
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Module 5: Appraising Performance Unit 5A: When to Conduct Performance Appraisals
When tO Conduct Your performance appraisal (rating of record) will be done annually
Performs nee during January within one month of the close of the appraisal
. . period. Before your performance appraisal can take place, the
"PPra'sซ*ls following conditions must be met:
A minimum period of performance for you must be established.
This minimum period of performance is equal to the least amount of
time you must be under the standards before a designated rater can
provide a rating of record.
Typically the minimum period of performance is a
completed 90-day appraisal period. This 90-day period
begins when you sign or choose not to sign the Performance
Plan.
If the minimum 90-day period can not be met before the end
of the performance cycle, the appraisal period must be
extended until the 90 days are met.
Page 5-4 PERFORMS Self-Study Guide
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Unit 5A: When to Conduct Performance Appraisals Module 5: Appraising Performance
Exceptions Under special circumstances, appraisals may deviate from the
normal appraisal schedule:
If you have not completed the minimum period of
performance by the end of the performance cycle, or if a
critical element has been added or substantially modified in
the preceding 90 days, the appraisal must wait until you
have completed the minimum rating of performance.
If at any time during the year, you have been under an
approved plan for at least 90 days and are observed to have
performed below the successful level on a critical element,
your supervisor of record should initiate the appraisal (not a
rating of record) and a PIP.
If your designated rater changes, the previous rater prepares
an interim appraisal, which is weighed in proportion to the
amount of time you were supervised by the departing rater.
If you conclude a detail of 90 days or more to another
position or a temporary promotion. You must have an
appraisal of that performance by a designated rater. This
will be weighed in proportion to the time spent on that
detail.
PERFORMS Self-Study Guide page 5.5
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Unit
1
The Performance
Appraisal Process
Step 1. Assess
performance
Step 4.
Approve the
riling of
record
Step 3. Assign
the summary
level
Unit
Overview
The performance appraisal process is made up of seven steps.
Successful completion of each of these steps is needed for the
performance appraisal process to work properly. In this unit,
you'll learn about these seven steps and the critical components
that comprise them.
Juide
-------
Unit SB: The Performance Appraisal Process
Module 5: Appraising Performance
The
Performance
Appraisal
Process
The seven-step performance appraisal process occurs after the end
of the performance year.
A mid-year review is also typically conducted to allow time for the
employee to adjust performance as needed.
Performance feedback should not be limited to your formal
performance appraisal review or mid-year progress review, but
should be given at any time if your supervisor feels it is necessary or
if you feel it is needed.
Step 4.
Approve the
ting of
record
Step 3. Assign
""
level
Step 1. Assess
performance
i Step 5. Document
the rating
Step 6.
Communicate
the ratin
Step 7. Manage
the record
PERFORMS Self-Study Guide
Page 5-7
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Module 5: Appraising Performance
Unit SB: The Performance Appraisal Process
How to Conduct
Performance
Appraisals
Before you can have a performance appraisal, you and your
supervisor must understand the steps in assessing the performance
appraisal process. As long as there is open and consistent
communication between you and your supervisor, the performance
appraisal should be a smooth discussion.
Step 1: Rater
reviews the appraisal
input
The first step in the performance appraisal process is when the
designated rater assesses your actual performance. The designated
rater will assess your actual performance accomplishments against
the standards contained in your approved Performance Plan.
The designated rater should review the standard(s) established for
each performance element (both critical and additional) and the
agreed-upon sources of appraisal input to determine whether or not
you have met the standard(s).
Further, the designated rater is required to invite you to provide a
written and/or oral assessment to be considered before the rating is
finalized. If you are represented by NTEU then the designated rater
will also give you the opportunity to meet to exchange views on
your performance.
Step 1. Assess
performance
Step la.
Rater assesses actual
accomplishments against
standards in Performance Plan.
Step Ib.
Rater reviews sources of appraisal
input to determine if employee met
standards.
PERFORMS Self-t
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Unit SB: The Performance Appraisal Process
Module 5: Appraising Performance
Step 2: Rate the
elements of the
Performance Plan
After assessing the appraisal inputs against the standards, the
designated rater proposes a rating for each performance element. If a
performance element has more than one measure, then the
designated rater should treat the measures as a collective when
evaluating employee performance against the standards. The
designated rater should assess the input or data gathered for each
standard and then balance them against each other when proposing
the rating for the performance element.
If, on balance, the overall performance for a critical element (with
one or more standards) is at a successful level, then the element is
rated successful.
If, on balance, the overall performance for a critical element (with
one or more standards) is less than successful, then the element is
rated unacceptable.
Step 2. Rate the
element(s) of the
Performance Plan
If overall performance
for a critical element is
at a successful level
If overall performance
for a critical element is
less than successful
Element is rated
successful
Element is rated
unacceptable
PERFORMS Self-Study Guide
Page 5-9
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Module 5: Appraising Performance
Unit SB: The Performance Appraisal Process
Step 3: Assigning the Once all the performance elements have been rated, the designated
Summary Level rater assigns the summary level (rating) as follows:
If all critical elements are successful, then the summary level is
successful
If any critical element is unacceptable, then the summary level is
unacceptable
Step 3. Assign
summary level
(overall rating)
If ajLcritical elements
are successful
If any critical element
is unacceptable
Summary level is
successful
Summary level is
unacceptable
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PERFORMS Self-study Guide
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Unit SB: The Performance Appraisal Process
Module 5: Appraising Performance
Step 4: Approve the
rating of record
After the performance elements have been rated, the designated rater
has to meet the supervisory signature requirements for the ratings of
record.
The signature requirements are:
If the rating of the record (summary level) is successful, then
the designated rater initials and the supervisor of record
signs. The signature of the next level supervisor or reviewing
official is optional.
If the rating of the record (summary level) is unacceptable.
then the signature of the supervisor of record and next level
supervisor or reviewing official is required.
Step 4. Approve the
rating of record
If the summary level is
successful
1. Designated rater initials
2. Supervisor of record
signs the rating of record
3. Next level supervisor
signs (optional)
If the summary level is
unacceptable
1. Supervisor of record
signs the rating of
record
2. Next level supervisor
signs (required)
PERFORMS Self-Study Guide
Page 5-11
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Module 5: Appraising Performance
Unit SB: The Performance Appraisal Process
Step 5: Document
the rating
The fifth step in the performance appraisal process is documenting
the rating. Because of the confidential nature and importance of the
performance appraisal information gathered and discussed between
you and your supervisor, it is very important that the results ofyour
performance appraisal process be carefully and thoroughly
documented. The official documentation of the rating of record
consists of:
1. The completed Performance Plan (plus any amendments), which
shows the rating of each element.
2. The completed Appraisal Cover Sheet, which includes:
the rating of record (either successful or unacceptable) with
signature and date
any performance highlights (supervisor's comments)
employee comments
additional pages if needed
Step 5. Document the
rating
Step 5a.
Rate each element on
Performance Plan.
Step 5b.
Complete the Appraisal
Cover Sheet
study Guide
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Unit SB: The Performance Appraisal Process Module 5: Appraising Performance
Step 6: The sixth step in the performance appraisal process is
Communicate the communicating the rating. This is the most important step in the
rating performance appraisal because it is when your supervisor provides
you with his/her assessment of your performance. During this
discussion, your supervisor should explain how he/she came to
his/her assessment of your performance. Your supervisor should
take time to describe the degree to which your performance met,
exceeded, or did not meet the standard(s) and how any appraisal
input sources may have adversely affected your performance rating.
The performance appraisal meeting should not be a one-sided talk
from your supervisor, but instead should be an open exchange of
information between you and your supervisor conducted in a
professional and courteous manner.
During the formal appraisal meeting your supervisor should
describe:
1. How each element was rated.
2. The rating of record and how the rating of critical elements
determined the rating of record.
3. Areas in need of improvement, including suggestions from
both supervisor of record and yourself.
4. Proposed pay and other personnel decisions, if any.
5. If needed, requirements for a Performance Improvement Plan.
At the conclusion of the appraisal interview, you will sign the
Appraisal Cover Sheet:
1. This signifies that you acknowledge that the appraisal was
conducted.
2. It does not necessarily signify that you agree with the rating
ofrecord.
3. You can attach your disagreement or concern to the rating of
record.
4. The date you sign or refuse to sign will be considered the
date the rating of record was communicated to you.
5. You should receive a copy of the rating of record within
three days of appraisal interview.
PERFORMS Self-Study Guide Page 5-13
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Module 5: Appraising Performance
Unit SB: The Performance Appraisal Process
Step 6. Communicate
the rating
Step 6a.
Supervisor of record meets
i with employee to conduct the
| formal appraisal interview.
Step 6c.
Employee signs the Appraisal
I Cover Sheet.
Step 6b.
Supervisor of record communicates
I important information.
Note: Appraisal interviews with bargaining unit members must
be conducted in a private one-to-one meeting (employee and
designated rater or supervisor of record only), unless the
employee agrees otherwise.
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PERFORMS self-study Guide
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Unit SB: The Performance Appraisal Process
Module S: Appraising Performance
Step 7: Manage the
record
In the seventh and final step of the performance appraisal process,
your supervisor must submit the completed, original annual
appraisal package to the appropriate Human Resources Office,
which maintains it in the Employee Performance File for four years.
Safe storage of interim appraisals is the responsibility of the your
home office.
Step 7. Manage the
record
Step 7a.
Supervisors submit the completed,
original annual appraisal package to
OHROS, who maintains it for 4
years
Step 7b.
Interim appraisals are maintained
at the employee's home office
PERFORMS Self-Study Guide
Page 5-15
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Module 5: Appraising Performance
Unit SB: The Performance Appraisal Process
Appraisal Cover Sheet
HQEPA
PERFORMS
Appraisal Cover Sheet
Employee Name:
SSN:
Office:
Calendar Year:
Formal Progress Review(s):
(dated & initialed)
To derive summary level:
1) If the rating for any critical
element is unacceptable, then the
summary level is unacceptable.
2) Otherwise the summary level is
successful.
3) Additional elements do not factor
into summary level.
Summary Level:
Successful
Unacceptable
My supervisor and 1 have discussed my performance for this period in relation to my performance
measures and standards, and my supervisor has informed me of my rating of record.
Employee's Signature/Date:
Supervisors) 's Signatures/Date:
Supervisor's Comments:
Employee's Comments:
page 5-16
PERFORMSself-study Guide
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Unit SB: The Performance Appraisal Process
Module S: Appraising Performance
Directions:
Activity 5-1: Giving Performance Appraisal Feedback
You are the supervisor of Jane Doe, your administrative assistant. Review
her accomplishments against her performance standards as well as
performance records collected from your appraisal inputs as agreed upon.
PERFORMS Self-Study Guide
Page 5-17
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Module 5: Appraising Performance Unit SB: The Performance Appraisal Process
HQ EPA Performance Plan
Name: Jane Doe Office: Administrative Assistant Year: June 1-December 31, 1998
Element: Customer service: Provides customers with timely, accurate, and reliable information and
guidance on OHROS products, programs, and services.
Type of Element: Critical X Additional Q
Standards and Measurement Sources:
Generally meets customer information and guidance needs as shown by lack of customer complaints.
Usually communicates and exchanges information in such a way as to meet customer expectations as shown by
lack of customer complaints.
Communicates effectively within and outside the organization as shown by lack of customer complaints.
From time-to-time, solicits customer feedback on information and guidance provided as shown by lack of
customer complaints.
Assumption (if applicable):
Element Rating: Successful Q Unacceptable Q
Element: Customer service: Provides products and services that are timely and high quality.
Type of Element: Critical X Additional Q
Standards and Measurement Sources:
Generally delivers products and services on schedule that are useful to the customer as shown on the product
delivery and service schedule.
Typically provides service considered courteous and responsive to customer issues and concerns and
demonstrates a basic level of understanding of the client's program and work as shown'by lack of customer
complaints.
Usually deals with problems in a timely manner and acts to resolve them with tact and diplomacy as shown by
lack of customer complaints.
Strives to ensure customer's input is factored into problem-solving process as shown by lack of customer
complaints as well as customer survey results.
From time-to-time, solicits customer feedback to improve/enhance the quality of the products or services by
providing customers with survey forms.
Assumption (if applicable):
Element Rating: Successful Q Unacceptable Q
Employee's Signature/Date (Discussion and/or approval of the performance agreement)
Supervisor's Signature/Date
Page 5-18 PERFORMS self-study Guide
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Unit SB; The Performance Appraisal Process Module 5: Appraising Performance
Activity 5-1
Your experienced administrative assistant, Jane Doe, has been showing signs of problem
performance for the past couple of months. When she started her job a year ago, she was
completing all of her tasks efficiently and on time. However, two months ago, the quality of her
work started to decline. Although she was still completing work requests on time, numerous
errors began appearing in her word-processing documents and she was not completing important
administrative matters. Yesterday a document that was sent to the regions for review had several
embarrassing typos, including referring to the "manager" of the office as the "manger" of the
office and giving his name as "Toad," rather than "Todd."
What are some of the specific behaviors that Jane has recently demonstrated that you
would hope to address in her performance appraisal?
How would you rate each of her performance elements? Why?
How would you address any performance problems?
What might be some of the possible solutions or suggestions you would give Jane regarding
her performance?
PERFORMS Self-Study Guide Page 5-19
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Module
Unacceptable Ratings
Unit
Overview
If your performance ever receives an unacceptable rating, you will
be supported under the various forms of performance assistance
offered under PERFORMS. In this unit, you will learn about the
types of performance problems and personnel actions stemming
from unacceptable performance.
PERFORMS Self-Study Guide
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Unit 5C: Unacceptable Ratings Module S: Appraising Performance
Performance ^ou snould never be surprised with an unacceptable rating.
Assistance must be provided to you as soon as the designated rater
identifies a significant performance-related problem. This should
be done well before you are given an unacceptable rating.
Once your performance becomes unacceptable, you will be
afforded an opportunity to raise performance to the successful
level.
If you fail to improve your performance to the successful level after
a reasonable opportunity period, the supervisor of record must take
one or more of the following actions:
Denial of within grade increase - you would not be
allowed to advance to the next higher step of the grade
for your position, even though you are otherwise eligible.
Reassignment - you could be moved from one position
to another without promotion or demotion.
Reduction in grade - you could be involuntarily assigned
to a position at a lower classification or job grading level.
Removal - you could be involuntarily separated from
employment with EPA and the Federal Service.
PERFORMS Self-Study Guide Page 5-21
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Module 5: Appraising Performance
Unit 5C: Unacceptable Ratings
Employee Appeal
and Grievance
Rights
You have certain rights to appeal and/or grieve some decisions or
personnel actions associated with your performance.
You may not agree with critical elements included in your
Performance Plan, or you may not agree with the standards for
assessing performance. Also, you may not agree with recognition
decisions.
You may object by following certain procedures.
Note: If you believe that a decision or other action taken or not
taken under PERFORMS resulted from a prohibited personnel
practice or an act of discrimination, you may: (1) File a
grievance under the negotiated grievance procedure or file a
charge of discrimination with the Equal Employment
Opportunity Commission and/or (2) File a complaint with the
Office of the Special Counsel.
Kage 0-22
PERFORMS Self-Study Guide
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Unit SC: Unacceptable Ratings
Module 5: Appraising Performance
Objection to Rating of You may also reject the rating of record. Your signature on the
Record Appraisal Cover Sheet does not indicate concurrence with the
rating of record nor does it preclude you from filing a grievance.
You may disagree with your final rating of record and decide on
one of two different paths to follow depending on whether or not
you are covered by negotiated grievance procedures.
If you are not covered by negotiated grievance procedures, you
should follow grievance procedures covered in EPA Order 3110.8
EPA Administrative Grievance System.
If you are covered by the negotiated grievance procedures, you may
file a grievance under the provisions of the negotiated grievance
process.
Note: If you believe that a decision or other action taken or not
taken under PERFORMS resulted from a prohibited personnel
practice or an act of discrimination, you may: (1) File a
grievance under the negotiated grievance procedure or file a
charge of discrimination with the Equal Employment
Opportunity Commission and/or (2) File a complaint with the
Office of the Special Counsel.
PERFORMS Self-Study Guide
Page 5-23
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Module 5: Appraising Performance
Unit 5C: Unacceptable Ratings
Check Point
Here's a chance to check your understanding.
1. Performance feedback should be limited to your formal
performance appraisal review. True or False
2. What is the proper order of steps in the performance appraisal
process from the list below:
A. Review appraisal input, assign the summary level, manage
the record, rate the elements, document the rating, approve
the rating of record, communicate the rating.
B. Manage the record, approve the rating of record, review
appraisal input, assign the summary level, communicate the
rating, rate the elements, document the rating.
C. Assess performance input, rate the elements, assign the
summary level, approve the rating of record, document the
rating, communicate the rating, manage the record.
D. Review appraisal input, assign the summary level, rate the
elements, approve the rating of record, communicate the
rating, document the rating, manage the record.
E. Communicate the record, document the rating, review
appraisal input, assign the summary level, manage the
record, rate the elements, approve the rating of record.
3. When is the summary level successful?
A. When most of the critical elements are rated successful.
B. When all the critical elements are rated unacceptable.
C. When all but one of the critical elements are rated
successful.
D. When all the critical elements are rated successful.
rage
PERFORMS Self-Study Guide
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Unit SC: Unacceptable Ratings
Module 5: Appraising Performance
4. The next level supervisor is required to sign the rating of the
record when:
A. The summary level is successful.
B. The summary level is unacceptable.
5. The supervisor of record communicates all the following except:
A. The rating of record and how the rating of critical elements
determined the rating of record.
B. How each element was rated.
C. Proposed pay and other personnel decisions, if any.
D. How other employees in the office were rated.
Additional
References &
Resources
HQ Supplemental Guidance
PERFORMS Self-Study Guide
Page 5-25
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Module 5: Appraising Performance Unit 5C: Unacceptable Ratings
Answer Sheet for Check Point
1. Performance feedback should be limited to your formal performance appraisal
review. True or False
2. What is the proper order of steps in the performance appraisal process from the list below:
A. Review appraisal input, assign the summary level, manage the record, rate the elements,
document the rating, approve the rating of record, communicate the rating.
B. Manage the record, approve the rating of record, review appraisal input, assign the
summary level, communicate the rating, rate the elements, document the rating.
C. Assess performance input, rate the elements, assign the summary level, approve the
rating of record, document the rating, communicate the rating, manage the record.
D. Review appraisal input, assign the summary level, rate the elements, approve the rating of
record, communicate the rating, document the rating, manage the record.
E. Communicate the record, document the rating, review appraisal input, assign the summary
level, manage the record, rate the elements, approve the rating of record.
3. When is the summary level successful?
A; When most of the critical elements are rated successful.
B. When all the critical elements are rated unacceptable.
C. When all but one of the critical elements are rated successful.
D. When all the critical elements are rated successful.
4. The next level supervisor is required to sign the rating of the record when:
A. The summary level is successful.
B. The summary level is unacceptable.
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Unit SC: Unacceptable Ratings Module 5: Appraising Performance
5. The supervisor of record communicates ail the following except:
A. The rating of record and how the rating of critical elements determined the rating of
record.
B. How each element was rated.
C. Proposed pay and other personnel decisions, if any.
D. How other employees in the office were rated.
PERFORMS Self-Study Guide Page 5-27
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Module
Recognizing Performance
The Five Components of PERFORMS
Recognizing
Performance
Module
Overview
The sixth and final component of PERFORMS is Recognizing
Performance. Recognizing exceptional performance in an immediate
and proper manner is an important goal of PERFORMS.
In this module, you will learn about the PERFORMS nomination
award processes and procedures, including peer nominations.
PERFORMS Self-Study Guide
Page 6-1
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Module 6: Recognizing Performance Module Overview
Module After reviewing this module, you should be able to:
Objectives Compare and contrast the procedures for awards that go
through the Awards Board and those that do not go through
the Awards Board.
Identify the roles and responsibilities of the Awards Board.
Nominate employees for awards when scenarios are
presented.
Page 6-2 PERFORMS Self-Study Guide
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How to Recognize Performance
Module 6: Recognizing Performance
Recognizing
Performance
through Awards
Before we begin, it is important that you understand the different
award classifications listed in the table on the following page.
Informal non-monetary awards are those awards granted to you or
your team for accomplishments of lesser scope than those
recognized by formal honor or monetary awards.
Monetary awards are lump sum cash payments to you or your team
for noteworthy accomplishments or high quality work performance.
Two other forms of awards are quality step increases and time-off
awards.
Resources
The EPA Recognition Policy and Procedures Manual or the
Recognition Handbook is another source of supplementary
information on the award types and criteria for each award.
PERFORMS Self-Study Guide
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Module 6: Recognizing Performance
How to Recognize Performance
Recognition Options
Award
Type
Classification
Description
Non-
Monetary
Formal Honor Award
A non-monetary award is given for the recognition of
individual employees or teams for exceptional,
distinguished, or heroic achievements.
Informal Recognition
A non-monetary award granted to an employee or team to
recognize accomplishments of lesser scope than those
recognized by a formal honor award or monetary award.
Monetary
Individual/Team
Awards
Quality Awards
(Q Award)
This award is given to recognize an employee or a team for
exceptional and rare accomplishments of extraordinary
scope, impact, difficulty, and precedent. This award is
intended to recognize an employee or team that displays
the highest level of accomplishment achievable in the
Agency. The value for this award is between $5000 and
$10,000.
Superior
Accomplishment
Recognition Awards
(S Award)
This award is given in recognition of a one time special act,
service or achievement of a nonrecurring nature, and for
high quality performance of assigned duties by an
employee or a team of employees. The value for this award
is up to $5,000.
On-the-spot Awards
This award is given in recognition of a one time special act,
service or achievement of a non-recurring nature and for
high quality performance of assigned duties by an
employee or a team of employees. This award will not
exceed a net amount of $250.
Quality Step
Increases
Quality Step Increases (QSIs) are additional salary step increases granted for
continuing high quality performance during a rating period and for expected
maintenance of high quality performance over the next rating period.
Time-off
Awards
Time-off awards are intended to reward one time, nonrecurring employee
contributions to the quality, efficiency, effectiveness and/or economy of EPA
operations. A maximum of forty hours can be given during any particular pay period
and 80 hours during a leave year, unless a higher amount is approved at the AA
level.
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How to Recognize Performance
Module 6: Recognizing Performance
Procedures for
Supervisor to
Recommend a
Monetary Award
When nominating you or another employee for an award, your
supervisor will follow a simple three-step process. The intent of
this process is to provide a simple and consistent method for
disseminating awards.
Step I
Complete EPA Form 3130-1,
Recommendation tor
Incentive Recognition.
Step 3
Forward approved
award(s)to
OHROS.
i Step 2
Supervisor will provide a narrative that
; includes:
1 a description of the accomplishments
- in simple and factual terms of what
you or your team has accomplished.
! a listing of the appropriate tangible or
i intangible table to be used as a basis
I for determining the benefits or value of
i tangible benefits.
PERFORMS Self-Study Guide
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Module 6: Recognizing Performance
How to Recognize Performance
EPA Form 3130-1, Recommendation for Incentive Recognition
EPA
UNITED STATES
ENVIRONMENTAL PROTECTION AGENCY
RECOMMENDATION FOR INCENTIVE RECOGNITION
Direction* Check below as appropriate Refer to Recognition Manual 3130 for criterion. For monetary awards, cite appropriate table, calculation of tangible benefit, and/or
extent end scope of intangible benefits in written description
I) "Q" Award - QUALITY ACCOMPLISHMENT RECOGNITION AWARD. The Agency's highest monetary award. Exceeds criteria for "S" Award, for
exceptional and rare accomplishments. (Attach detailed description of accomplishments.)
[] QUALITY STEP INCREASE (QSI) - Step increase to base salary: based on high quality performance during most recent rating period of record: and.
anticipated during next rating period. Employee may receive no more than one QSI in a 52 week period (Attach completed EPA Form 3130 - QSI)
[| "S" Award- SUPERIOR ACCOMPLISHMENT RECOGNITION AWARD - For noteworthy accomplishments including one-time acts or high quality
performance. (Attach brief description of accomplishments)
[J On-The-Spot (OTS) - Same general criteria as "S" Award, except intended to recognize modest accomplishments quickly. Maximum cash value: $250
(Attach brief description of accomplishments).
(] TIME-OFF AWARD (TO)-Award of excused absence, in inciumcms of from 1 hour to 40 hours, for noteworthy achievements, either one-time acts or
performance. (Attach description of achievement).
[] T" Award - TEAM AWARD - For accomplishments by entire leain. individual team members, and/or team peers on a team. (Attach brief description of
achievement, as appropriate, description of individual member achievement & justification of cash amounts other equal shares). Indicate whether this is a
"Q" or "S" Award,
[] Award to entire Team
[] Award to Individual Team Members)
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NAME (For HUซปiikMUckllMik>ซiซ(ปieL SSNl powion Ulkv Kriu. fatlciacfi
POSITION TITLE, SERIES, GRADE/STEP
ORGANIZATION AND LOCATION
SOCIAL SECURITY NUMBER
TIMEKEEPER NUMBER
PERSON TO RECEIVE CHECK
PERIOD OF SERVICE ON WHICH AWARD IS BASED
FROM
OFFICIAL
SIGNATURE
TITLE
DATE
NOMINATING
EMFLOYItnUU.)
UCOMMINDINC
OFFICIAL
APPROVING OmCUL
OBLIGATION OFFICIAL
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How to Recognize Performance
Module 6: Recognizing Performance
Peer
Nominations
In addition to award recommendations from supervisors, a non-
supervisory employee has the opportunity to nominate another non-
supervisory coworker (with whom there is a working relationship)
or team for either an informal non-monetary or a monetary award.
Non-monetary
Awards
When you nominate a fellow employee or team for a non-monetary
award, the award should be intended to recognize accomplishments
of lesser scope than would be recognized by a formal honor award
or monetary award.
Your creativity is encouraged; noteworthy accomplishments should
not go unnoticed.
; Examples include:
Trophies
Coffee mugs
Certificates
Employee of the month
Pens
Tee shirts
Team office luncheon
PERFORMS Self-Study Guide
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Module 6: Recognizing Performance
How to Recognize Performance
Monetary Awards
You can also nominate a fellow employee or team for a monetary
award. To do this, you should follow the same procedures as a
supervisor would except that you do not recommend a dollar
amount. The approval of the award and determination of the dollar
amount is up to the supervisor.
Stepl
Complete EPA Form ."130-1.
Recommendation for
Incentive Recognition
Step 3
Forward approved
award(s) to
OHROS.
I Step 2
1 Supervisor will provide a narrative that
includes:
' a description of the accomplishments
in simple and factual terms of what
you or your team has accomplished.
a listing of the appropriate tangible or
intangible table to be used as a basis
for determining the benefits or value of
tangible benefits.
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How to Recognize Performance Module 6: Recognizing Performance
Award Criteria ^ ls important to understand a couple of key concepts when using
the following Award Criteria Guideline Tables. The amount of an
award should be related to the benefit of the performance to EPA.
This benefit may be tangible or intangible.
Tangible benefits are benefits that have a measurable monetary
value. Documentation of this accomplishment must specify how the
measurable benefits were calculated.
Intangible benefits are calculated when no measurable monetary
benefits can be substantiated and when tangible benefits are
considered of little significance in relation to the total benefits.
Good judgement should be shown in setting values on
accomplishments that do not result in benefits having a measurable
monetary value. The documentation must describe hi specific terms
how the benefits are to be realized.
Some of the key factors to consider when determining the amount of
intangible benefits include:
1. Significance of contribution
2. 1 mportance of the program affected
3. Extent of the accomplishment
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Module 6: Recognizing Performance
How to Recognize Performance
Guidelines for Monetary Awards
Based on Tangible Benefits
Estimated First Year Benefits to
Government
Amount of Award
Up to $10,000 in benefits
10% of benefits
Between $10,000 and $100,000 in
benefits
$1,000, plus 3% to 10% of benefits over
$10,000
More than $100,000 in benefits
$3,700 to $10,000* for the first $100,000
in benefits plus
0.5% to 1.0% of benefits above $100,000
* NOTE: For awards over $ 10,000. the approval authority is the Office of Personnel
Management. For Awards over $25,000, the approval authority is the
President of the United States through the Office of Personnel Management.
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How to Recognize Performance
Module 6: Recognizing Performance
Guidelines for Q Awards
Based on Intangible Benefits
Value of
the Benefit
Extent of Application
Broad
The contribution affects the
duties, work assignments, and
employees of offices or larger
organization.
A broad area of science,
technology, a program, legal
or environmental element that
has been affected.
General
The contribution affects the
dudes, work assignments, and
employees of multiple agencies
or are Agency-wide.
An extensive area of science,
technology, a program, legal or
environmental element that has
been affected.
High Value
A superior contribution to a critical or
sensitive product, activity, program or
service that substantially improves the
effectiveness, efficiency, quality,
productivity or service.
A complete revision of operating
principles or procedures.
This cell is not applicable for
Suggestions, Team Award or
Q-A\vard.
SS.001 - $6,300
Exceptional Value
An extraordinary contribution to a
highly critical or highly sensitive
product, activity, program, or service
that defines a new standard of
excellence for effectiveness, efficiency,
quality, productivity or service.
Initiation of a new principle or major
procedure with extensive impact.
$5,001 - $6,300
$6,300 -$10,000
PERFORMS Self-Study Guide
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Module 6: Recognizing Performance
How to Recognize Performance
Guidelines for S Awards
Based on Intangible Benefits
Value of the
Benefit
Moderate Value
A limited contribution to
a product, activity,
program or service that
improves the
effectiveness, efficiency.
quality, productivity, or
service.
Substantial Value
A noteworthy
contribution to a product,
activity, program or
service thai improves the
effectiveness, efficiency,
quality, productivity, or
service.
A revision to a major part
of an operating principle
or procedure.
Extent of Application
Limited
The contribution
affects the duties.
work assignments,
and employees of
one division or
office.
A limited area of
science, technology.
a program.
environmental or
legal element that
has been affected.
$25 -$125
$125-5325
Extended
The eontribution
affects the duties.
uork assignments.
,ind employees of
multiple divisions or
offices.
.A substantial area of
science, technology.
;i program,
environmental or
legal element that
has been affected.
SI 25 -$325
S325 - $600
Broad
The contribution
affects the duties,
work assignments,
and employees of
offices or larger
organization.
A broad area of
science, technology.
a program.
environmental or
legal element that
has been affected.
$325 - $650
$650 -$1,300
General
The contribution
affects the duties,
work assignments,
and employees of
multiple agencies or
are Agency-wide.
An extensive area of
science, technology.
a program.
environmental or
legal element that
has been affected.
$650 -$1,300
$1,300 -$3,100
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How to Recognize Performance
Module 6: Recognizing Performance
Guidelines for S Awards
Based on Intangible Benefits
Value of the
Benefit
High Value
A superior contribution to
a critical or sensitive
product, activity, program
or service which
substantially improves the
effectiveness, efficiency,
quality, productivity or
service.
A complete revision of
operating principles or
procedures.
Exceptional Value
An extraordinary
contribution to a highly
critical or highly sensitive
product, activity,
program, or service that
defines a new standard of
excellence for
effectiveness, efficiency,
quality, productivity or
service.
Initiation of a new
principle or major
procedure with extensive
impact.
Extent of Application
Limited
The contribution
affects the duties.
work assignments,
and employees of
one division or
office.
A limited area of
science, technology.
a program,
environmental or
legal element that
has been affected.
$325 - S650
$650-51,300
Extended
The contribution
affects the duties,
work assignments.
and employees of
multiple divisions or
offices.
A substantial area of
.science, technology,
a program,
environmental or
legal element that
has been affected.
S650-$ 1,300
$1,300 -$3,150
Broad
The contribution
affects the duties,
work assignments,
and employees of
offices or larger
organization.
A broad area of
science, technology,
a program,
environmental or
legal element that
has been affected.
$1,300 -$3,150
$3,150 -$5,000
General
The contribution
affects the duties,
work assignments,
and employees of
multiple agencies or
are Agency-wide.
An extensive area of
science, technology,
ft program,
environmental or
legal element that
has been affected.
$3, 150 -$5,000
This cell is not
applicable to the S-
Award.
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Module 6: Recognizing Performance
How to Recognize Performance
Quality Step Increases
Criteria Information
Quality Step Increases
What is the purpose
of Quality Step
Increases (QSIs)?
QSls are additional salary step increases for continuing high quality performance
during a rating period and for expected maintenance of high quality performance
over the next rating period.
A QSI may be granted to an employee when: (a) the employee's most recent
performance rating of record is successful and the recommending official certifies
the employee's performance was at a high level of performance during the period
covered by the most recent rating; and (b) the recommending official anticipates
that the employee's performance during the next performance rating period will
merit a successful rating and will continue at a high level of performance.
Who is eligible for
these awards?
QSls may be granted to General Schedule employees who occupy permanent
positions, or who are serving in a term or Temporary Appointment Pending
Establishment of a Register (TAPER) position, and are paid less than the
maximum rate of their grade.
Agency employees on Intergovernmental Personnel Act assignments are not
eligible for Quality Step Increases.
Are there any
limitations?
An employee may receive only one Quality Step Increase in any 52-week period.
Are there any special
stipulations to these
awards?
Quality Step Increases are granted in conjunction with the employee's annual
performance appraisal.
Recommending official will complete EPA Form 3130-1 and Form 3130-QSI for
processing.
Approved Quality Step Increases will be effective as soon as possible after all
approvals have been received.
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How to Recognize Performance
Module 6: Recognizing Performance
Awards Board
Function
Each AAship (or equivalent) will have at least one Awards Board.
Each board will he comprised of an equal number of members
appointed by AFGE. KTEU. and management from the local
organization that the board serves.
All award nominations covered by the board will be collected by an
employee assigned by management and given to the board. The
designated employee will send out a call for nominations, schedule
board meetings, and distribute award nomination packages to board
members.
An Awards Board functions solely as an advisory and
recommending body for the purpose of:
Reviewing award processes to promote fairness and
to prevent arbitrary and capricious procedures.
Reviewing award nominations and making
recommendations for bargaining unit employees for
honor awards, and monetary awards (i.e., S Awards
and Q Awards).
An Awards Board will meet at least quarterly for monetary awards
and at least annually for honors awards. Any three board members
present comprise a quorum.
PERFORMS Self-Study Guide
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Module 6: Recognizing Performance How to Recognize Performance
Authority ^n Awards Board WM review all appropriate award nominations,
and provide the management official at the board level with a ranked
list of nominations recommended for awards and a list of
nominations not recommended.
When applicable:
The management official with the delegated authority will retain
final approval of all award and recognition matters.
The management official will decide which nominations to put
forward to the next level board.
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How to Recognize Performance
Module 6: Recognizing Performance
Awards Covered
Under the
Awards Board
Process
An Awards Board has recommending authority over many awards
including:
Honor Awards - A non-monetary award that is given for the
recognition of individual employees or teams for exceptional,
distinguished, or heroic achievements.
Gold Award - This is the highest honor award granted
by the Agency in recognition for distinguished service
of major significance to environmental improvement
and public service.
Silver Award - This honor award is presented for
contributions or services of unusual value beyond that
ordinarily required.
Bronze - This honor award is in recognition of
significant acts or achievements that materially affect
the successful accomplishment of the Agency mission or
service to the public interest.
Quality Awards (Q Award) - This award is given to recognize an
employee or a team for their exceptional and rare accomplishments
of extraordinary scope, impact, difficulty, and precedent. This award
is intended to recognize an employee or team displaying the highest
level of accomplishment achievable in the Agency. The value for
this award is between $5,000 to $10,000.
Superior Accomplishment Recognition Awards (S Awards) -
This award is given in recognition of a one time special act, service
or achievement of a non-recurring nature, and for high quality
performance of assigned duties by an employee or a team of
employees. Awards Boards review and recommend S Awards over a
specified monetary amount.
PERFORMS Self-Study Guide
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Module 6: Recognizing Performance How to Recognize Performance
Union A^ awards for bargaining unit employees must go through an
Involvement With Awards Board- The development of the Awards Board and awards
. . _ . procedures was through a negotiated agreement between:
/\WฃtrCIS DOarQ
AFGE Local 3331
NTEU Chapter 280
EPA Headquarters Management.
Additional Sources of For more information on these agreements, please visit the EPA
Information Intranet at:
http://www.intranet.epa.gov/agcyintr/ohros/awdsboard.htm
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How to Recognize Performance
Module 6: Recognizing Performance
The Awards Board Process
The Non-Awards Board Process
Step 1. Supervisor or peer
nominates.
Step 2. Designated official collects/1
batches nominations for next board
meeting.
Step 3. Board reviews nominations j
and sends list of recommendations i
and nominations not recommended i
to manager at board level. i
Step 4. Designated official
distributes to supervisors with
delegated authority to approve.
Step 5. Supervisor approves/
disapproves; for peer nominations,
decides award amount.
Step 6. Designated official
compiles list of award decisions
Step 7. If board is division level,
office director initials list of award
decisions.
Step 8. Award is made.
Step 9. Board reviews batch of
management actions.
Step 1O. Board discusses its written!
comments with board-level i
manager. |
Step 1. Designated rater nominates
(initials) or the supervisor with
delegated authority approves.
Step 2. Designated rater nominates
(initials) or the supervisor with
delegated authority approves.
Step 3. Award is made.
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Module 6: Recognizing Performance
How to Recognize Performance
Activity 6-1: Awards Nomination
Directions: Review the three scenarios of employee performance. After
reviewing the scenarios, determine which employees to recommend
for an award and the type of award they should receive. Answer the
questions below.
Refer to the reference information before this exercise in this Self-Study Guide. The chart and
Types of Awards may be particularly useful to you. Be specific and creative in this activity.
Scenario: You are a supervisor in the Environmental Compliance Division at EPA and are
reviewing a number of employees in your Division for awards.
Who would you nominate for an award? What type of award would you nominate them
for (i.e., informal non-monetary or monetary)?
Why would you nominate the individuals you chose for awards? Why did you not
nominate the others?
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How to Recognize Performance
Module 6: Recognizing Performance
Employee Information
Employee #1: Elda Price, your office clerk, has been doing her daily tasks of filing, writing
memos, scheduling your appointments, and other assorted administrative
functions exceptionally well since she joined your office a year ago. Nobody
ever calls with complaints about her work and you have received many
comments on what a pleasure it is to deal with her.
Employee #2: Moss Green is a relatively new Federal employee. He has been on the job for a
little over eight months. From your discussions with his other supervisors, you
find out that Mr. Green is typically the first one of his team to volunteer for
new projects and take on additional responsibilities. In addition, he is typically
the first team member in every morning and one of the last, if not the last, to
leave at the end of the day. His work has been of high quality and he has
recently uncovered a number of problems at chemical plants, including waste
elimination into a river and groundwater contamination.
Employee #3: Susan Sunny is an EPA OSHA inspector. She has been on the job for five
years and has regularly received praise from her supervisors. In addition, Ms.
Sunny initiated a community-based Clean Up Our Streets program. This
program has been driven by her overwhelming passion to clean up her own
community in the Washington area. It has been so well received by her
community that it has attracted local and national media coverage. EPA is
considering making this a national program.
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Module 6: Recognizing Performance
How to Recognize Performance
Check Point
Here's a chance to check your understanding.
1. Match each of the items with its corresponding description.
A. Monetary Award 1. Award that is granted to an
individual or team for
accomplishments of lesser
scope.
B. Q Award
C. S Award
D. Quality Step Increase
2. Award given for a one-time
act or service or high quality
performance of assigned
duties.
3. An additional salary increase
granted for continued high
quality performance.
4. Lump sum cash payments
for individual employees and
teams for a noteworthy
accomplishment.
5. Award given to an individual
employee or team for
exceptional and rare
accomplishments of
extraordinary impact.
2. If you were going to nominate a fellow employee or team for an
award what process would you have to follow?
A. Awards Board process
B. Non-Awards Board process
3. If you are nominating a peer or team of peers for a monetary
award, you can set the value of that award at $500 or less.
True or False
E. Non-monetary Award
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How to Recognize Performance Module 6: Recognizing Performance
Additional ^Q Supplemental Guidance
t 0 Recognition Pol ic\ and Procedures Manual
References & n . . ,, ' ,
Recognition Handbook
Resources
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Module 6: Recognizfng Performance How to Recognize Performance
Answer Sheet For Unit 6 - Activity 6-1
Employee #1: Elda Price, your office clerk, has been doing her daily tasks of filing, writing
memos, scheduling your appointments, and other assorted administrative
functions exceptionally well since she joined your office a year ago. Nobody ever
calls with complaints about her work and you have received many comments on
what a pleasure it is to deal with her.
ANSWERS: On-The-Spot Award, S Award, or QSI.
You may feel that it is Elda's job to perform these tasks proficiently.
However, it is invaluable to work with someone who never gets complaints
and is consistently pleasant. Also, this position is one that often gets
overlooked for awards. S Awards allow you to provide recognition for
exceptional job performance. If you think Edna's outstanding performances
will continue, a QSI might be appropriate (especially if she is at the top of
her career ladder or in the higher steps of her grade).
Employee #2: Moss Green is a relatively new Federal employee. He has been an EPA site
inspector for a little over eight months. From your discussions with his other
supervisors, you find out that Mr. Green is typically the first one of his team to
volunteer for new projects and take on new responsibilities. In addition, he is
typically the first team member in every morning and one of the last, if not the
last, to leave at the end of the day. His work has been of high quality and he has
recently uncovered a number of problems at chemical plants, including waste
elimination into a river and groundwater contamination.
ANSWERS: On-The-Spot Award, S Award, or Time-off Award.
Moss has been doing a great job and could be nominated for an On-the-Spot
Award, S Award, or Time-off Award. (Moss may be especially appreciative
of a Time-off Award because he has not accrued much annual leave.)
Employee #3: Susan Sunny is an EPA OSHA inspector. She has been on the job for five years
and has regularly received praise from her supervisors. In addition, Ms. Sunny
initiated a community-based Clean Up Our Streets program. This program has
been driven by her overwhelming passion to clean up her own community hi the
Washington area. It has been so well received by her community that it has
attracted local and national media coverage. EPA is considering making this a
national program.
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How to Recognize Performance Module 6: Recognizing Performance
ANSWERS: Informal Non-monetary Award; and Time-Off Award or S
Award.
Susan volunteered her personal time to initiate a community-based
program that EPA is considering making a national program. An informal
non-monetary award would be an appropriate way to recognize her
contribution outside of EPA. If EPA adopts her community based program
or if you want to recognize Susan's praise worthy EPA work performance, a
time-off Award or S Award should be appropriate.
PERFORMS Self-Study Guide Page 6-25
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Module 6: Recognizing Performance How to Recognize Performance
Answer Sheet for Check Point
1. Match each of the items with its corresponding description.
A. Monetary Award _4_ 1. Award that is granted to an individual or team for
accomplishments of lesser scope.
B. Q Award _5_ 2. Award given for a one-time act or service or high quality
performance of assigned duties.
C. S Award _2_ 3. An additional salary increase granted for continued high
quality performance.
D. Quality Step Increase 3 4. Lump sum cash payments for individual employees and
teams for a noteworthy accomplishment.
E. Non-monetary Award 1 5. Award given to an individual employee or team for
exceptional and rare accomplishments of
extraordinary impact.
2. If you were going to nominate a fellow employee or team for an award what process would
you have to follow?
A. Awards Board process
B. Non-Awards Board process
3. If you are nominating a peer or team of peers for a monetary award, you can set the value of
that award at $500 or less. True or False
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