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
                                             Page 1-9

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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
                                                       Page 1-15

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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
                                                    Page 2-1

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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
                                                          Page 2-5

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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
                                                       Page 2-7

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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
                                                         Page 2-13

-------
 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
Page 2-15

-------
 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.
Page 2-16                                                      PERFORMS Self-Study Guide

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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
                                                       Page 2-17

-------
 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

-------
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
Page 2-19

-------
 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
Page 2-21

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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
                                                    Page 2-23

-------
 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
                                                      Page 2-25

-------
 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

-------
 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
                                                   Page 2-27

-------
 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
      PERFORMS Self-Study Guide

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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
                          Page 2-29

-------
 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
                                    PERFORMS Self-Study Guide

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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
                                                         Page 2-33

-------
 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
                                                    Page 2-35

-------
  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

-------
 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

-------
  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

-------
 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

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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

-------
 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.










 Page 2-48
    PERFORMS Self-Study Guide

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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

-------
  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?
  Page 2-50
    PERFORMS Self-Study Guide

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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

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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

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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 picture—how 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

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 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

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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 conversation—even 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
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Individual Development
Plan





Strengths f
"* •
m
f
f
m
m
m


M
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 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

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 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

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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
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                                                      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
rage o-iu
            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

-------
 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

-------
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

-------
 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.
rage o-^o                                                   PERFORMS Self-Study Guide

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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

-------
 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
                                                   Page 6-3

-------
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.
Page 6-4
                                                 PERFORMS Self-Study Guide

-------
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
                                                          Page 6-5

-------
 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)
             ^M^'-'^^S^^"^ ! •
  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
                                            AITKIM1 IIHH
                                                          BUDOETUtOCUOC
                                                                         mnuuiLEUorr
Page 6-6
                                                            PERFORMS Self-Study Guide

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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
                                                   Page 6-7

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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.
Page 6-8
                                         PERFORMS Self-Study Guide

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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
PERFORMS Self-Study Guide                                                    Page 6-9

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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.
Page 6-10
                 PERFORMS Self-Study Guide

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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
                                                 Page 6-11

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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





Page 6-12
  PERFORMS Self-Study Guide

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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.






PERFORMS Self-Study Guide
                      Page 6-13

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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.
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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.
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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
Page 6-22
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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.
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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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