Performance Planning, Employee Rating, Feedback, Opportunity & Recognition Management System
  ERFORM
      Headquarters Brieringfs
          ror
     Managers and Employees

      Marck 3rd-l6tk, 1998

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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

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  WHAT IS PERFORMS?
Name for EPA's new performance
management system

Difference In design

Distinctions between system and
program

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  Principles
Simplicity
Streamlining
Frequent, meaningful communication

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   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

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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

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              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

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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

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   Five Phases of PERFORMS » Equal
   Emphasis on Each Phase
      Planning
      Performance,
Monitoring
Performance
Recognizing
Performance,
     Developing
     Performance,
               Appraising
               Performance,

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Planning Performance
  Link organizational goals to individual
  performance agreements
  Types of Elements
  -critical
  -additional
  Write measurable standards at the
  successful level
                                    10

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Developing & Assisting
	Performance	

• Formal Training
• On-the-Job Training
• Coaching
• Mentoring
• Work & Developmental
 Assignments
• Work Process Improvements
• Performance Assistance
• 360 Degree Feedback

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                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

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                          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

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                Recognition Program
What Next?
Transition to the new recognition program

More information about the new recognition
program
                                      14

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 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

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     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

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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

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                                                                          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.

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(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.

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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.

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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%.

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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.

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                       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:

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       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.*

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