Performance Planning, Employee Rating, Feedback, Opportunity & Recognition Management System ERFORM Headquarters Brieringfs ror Managers and Employees Marck 3rd-l6tk, 1998 ------- Today's briefing will cover: What is PERFORMS? Why did we change to PERFORMS? Principles & Objectives PERFORMS1 key features Five phases of PERFORMS > Planning Performance * Performance Monitoring * Developing Performance + Appraising Performance + Recognizing Performance ------- WHAT IS PERFORMS? Name for EPA's new performance management system Difference In design Distinctions between system and program ------- Principles Simplicity Streamlining Frequent, meaningful communication ------- Objectives Support the strategic plan, mission, & organizational goals Integrate individual, team, & organizational performance/results Promote good performance & correct undesirable performance Foster a motivated, trained, equipped workforce Accept system as useful, meaningful & fair Improved performance through continuous feedback ------- Why Did We Change to PERFORMS? 1. NewOPM Regulation issued September 1995 gave room for more flexibility 2. Managers & employees had issues with current system 3. NPR and Reinvention Recommendations 4. Agency Steering Committee made recommendations to senior management 5. Agency's Senior Leadership decided to move from 5-tier to 2-tier performance management system ------- KEY PERFORMS SYSTEM FEATURES [Program 11 * 1 ' _ | Program 2J | Program I An Agency-wide performance system covering all EPA employees A one year appraisal period from January 1 to December 31 An Agency-standard summary-level pattern with two levels Successful Unacceptable **» De-linkage of cash performance awards from ratings of record ------- BEFORE (CURRENT) 5 levels -Outstanding -Exceeds Expectations -Fully Successful -Minimally Satisfactory -Unacceptable One year appraisal period Oct - Sept Awards program-annual awards tied to ratings AFTER(PERFORMS) 2 levels -Successful -Unacceptable One year appraisal period Jan - Dec Awards program-cash performance awards delinked from performance ratings. Awards throughout the year-tied to performance but not ratings 8 ------- Five Phases of PERFORMS » Equal Emphasis on Each Phase Planning Performance, Monitoring Performance Recognizing Performance, Developing Performance, Appraising Performance, ------- Planning Performance Link organizational goals to individual performance agreements Types of Elements -critical -additional Write measurable standards at the successful level 10 ------- Developing & Assisting Performance Formal Training On-the-Job Training Coaching Mentoring Work & Developmental Assignments Work Process Improvements Performance Assistance 360 Degree Feedback ------- Recognition Program Why Change? Cash awards for performance have been "de-linked" from performance ratings Change What? The process for giving cash awards How? The Special Act and Sustained Superior Performance awards have been replaced by the S-Award and Q-Award 12 ------- Award Types OLD Sustained Superior Special Act On-the-Spot Time-off Group Award QSI Formal Non-Monetary Informal Non-Monetary NEW ' ,'%,/* %s ^ '* ' ' ' t ' ^ ' \ S eflL" "*& - > ' ' ' ' f ' '' -' ' &A*^V'V:v';:''- l[ '^'^i,k On-the-Spot Time-off Team Award QSI Formal Non-Monetary New Emphasis ^' ,' , +* sx*'* ^ ' , ^ % -'" ' ";,,-? '" ^a#hww»)^;),s^ '<-, Ai.-'<*ri J^ *New Award Types 13 ------- Recognition Program What Next? Transition to the new recognition program More information about the new recognition program 14 ------- POTENTIAL RIF CONSIDERATIONS Final Government-wide RIF Regulations Published December 24,1997 Gives agencies a mechanism to take into account ratings given under different rating patterns ------- Headquarters Implementation & Next Steps Suprv/Employees Briefings-3/3/98 thru 3/16/98 Suprv/ Employees Establish 2-Tier Performance Agreements Close Out Performance Appraisal Documents Under 5-Tier System Suprv/Employee Training On How To Develop Standards & Measures Under PERFORMS 3/30/98 thru 9/30/98 Suprv/Employee Training On How To Give & Receive Feedback~4/13/98 thru 9/30/98 Mid-Year Review Under PERFORMS 16 ------- PERFORMS Performance Plans How to Get Started Using Current Agreement Identify from 1 to 5 critical elements - Choose elements that represent the essence of your work must, must, must be performed successfully - All other current elements should either be "additional" or dropped Choose standards that are essential and measurable - Write standards at the successful level - For each standard, list measurement sources and also assumptions, if desired 17 ------- Handout Converting Current Performance Agreements To PERFORMS Performance Plans As part of a phased process, an initial performance plan for 1998 can be developed using the current performance agreement and the following two steps. Formal training in developing measures and standards under PERFORMS will be available from mid-April through September. Performance plans are "living" documents; the formal training will help you to refine your initial measures and standards and begin tying them to the Agency's strategic plan. 1. Identify from one to five critical elements. Q From your current performance agreement, select those elements that - represent the essence of your work and - must be performed successfully. Q All other elements from your current performance agreement should either be reclassified as additional elements or dropped. (Additional elements do not count towards your rating.) 2. Write standards at the successful level. Q Choose from the current "fully successful" standards only those that are essential and measurable and adjust them, as needed, to the "successful" level of performance. Discard any standards above fully successful. The point of standards under PERFORMS is to draw a bright line between successful and unacceptable performance, not to describe gradations of superior performance. (Remember that the successful rating includes what used to be outstanding, exceeds expectations, fully successful, and minimally satisfactory.) In some cases, writing standards at the unacceptable level, as well, will help to clarify the distinction between successful and unacceptable. Q For each standard, - identify measurement sources, for example, supervisory observation or a laboratory result, and - list assumptions if desired. While it is a given that employees cannot be held accountable for events outside their control, some may feel more comfortable documenting assumptions regarding their standards. You may want to reference the attached sample elements and standards, which are provided by OPM. Also attached are the formats of the performance plan and the appraisal cover sheet. ------- (These sample standards and measures are courtesy of the Office of Personnel Management (OPM)). Policy Processing aerie Element(Accomplishment) Successful Standard Completed Audits No more than 5 errors per month are found on audits. At least 10 weeks per year where no audits are more than 30 days old. Quotes and Proposals No more than 5 quotes and proposals per month are found to be inaccurate at issuing. No more than 5 quotes per month are processed in more than 5 days. No more than S proposals per month are processed in more than 24 hours. Solutions to Problems No more than 2 times per quarter are incorrect results or procedures spotted by the supervisor or other team members. No more than 2 times per quarter are problems corrected in more than 3 business days. Finished Policies No more than 5 errors per month are spotted by team members. No more than S times per month when someone can't do the next step on a policy due to illegibility, incompleteness, or vagueness in the file. No more than 3 times per month someone on the team gets a second call for the same issue/problem. At least 10 weeks per year there are no changes more than 30 days old. At least 5 weeks per year where there is no new business more than 10 days old. Answers to Questions 80% of customers say: The technician stops what (s)he's doing and immediately tries to answer the question. They don't find out later that the answer is wrong. If the technician doesn't know the answer, (s)he either researches the solutions or directs the person to the correct source. ------- Research Chemist Element (Accomplishment) Successful Standard Analytical results and' specifications The Research Manager is satisfied that: The method measures the appropriate variable. The results are relevant. The method is scientifically sound. There is a well-written protocol. The method is accurate, precise, reproducible, fast, and cost-effective. The customer is satisfied that: They can understand and observe the results. The cost is within their budget The information gives understandable answers to their questions. Solved customer problems The Research Manager is satisfied that: Reports and solutions address the question that was asked. The assumptions or hypotheses are based on scientific principles. The proposed solutions, suggestions and/or recommendations are understandable. The recommendations were provided within the agreed-upon time frame. The customer is satisfied that: The report and any answers to questions address the question that was asked. The proposed solutions, suggestions, and/or recommendations are understandable. The proposed recommendations were provided within the agreed- upon time frame. The solutions work. The information gives understandable answers to their questions. They are able to implement the recommendations. ------- Engineer Element (Accomplishment) Successful Standard Designs for capital improvements and operations changes The supervisor is satisfied that: The cost estimate is sufficiently itemized. There is backup documentation for all cost estimates. There is consistency across design documents. The design looks like it will solve the problem or meet the need. The design doesn't cause new problems while solving the original problem. In addition: There is no more than 3% cost overruns due to inaccurate quantities. The design is completed by the agreed-upon deadline. Budget management The budget report is submitted by the fifteenth day of the month. The engineer is able to answer questions about project financial status at any time. Completed projects The supervisor is satisfied that: The project is constructed according to the design. Unexpected conditions are successfully worked around. Recommendations are made by agreed-upon deadline. The contract cost is within a plus or minus 5%. ------- Program Analyst (Budget). Element (Accomplishment) Successful Standard Business decision recommendations, including budget analysis and cost information/analysis The supervisor is satisfied that: Cost impacts surrounding the decision have been identified and evaluated. The numbers are accurate and do not require second guessing or rework. Reports/analyses logically state the issues and reach conclusions that are supported by the data and analyses. The analysis is useful and answers the questions asked. The analysis/information was provided by the agreed-upon deadline. Financial systems improved The supervisor as well as the users of the system are satisfied that: The system change is within the scope of control The change provides information in a more efficient, accurate, and useful manner than previously. The time required to implement the changes meets the customer's needs and deadlines. The value of the improvement exceeds the cost of the implementation. Budget process evaluation and analysis The supervisor is satisfied that: The reports/analyses logically state the issues and reach conclusions that are supported by the data and analyses. The evaluations address all issues and cost impacts. ------- HQ EPA Performance Plan Name: Office: Year: Element: Type Element: Critical D Additional a Standards and Measurement Sources: Assumption (if applicable): Element Rating: Successful a Unacceptable a Element: Type Element: Critical D Additional Standards and Measurement Sources: Assumption (if applicable): Element Rating: Successful D Unacceptable Employee's Signature/Date: (Discussion and/or approval of the performance agreement) Supervisor(s)'s Signature/Date: ------- HQEPA Appraisal Form Employee Name: SSN: Office: CalendarYear: Formal Progress Review(s): (dated & initialed) To derive summary level: 1) If the rating fa- 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: Q Successful Q Unacceptable My supovaor nd 1 have djsnmed my pofonunce for rim penod in rcttton to my pafonmcc imnuni Md stvidvdi. nd my supervinr hat tnforaedneof my nting of raoocd. Employee Signature/Date: Supervisors)'* Signature/Date: Supervisor's Comments: Employee's Comments.* ------- |