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
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On-the-Spot
Time-off
Team Award
QSI
Formal Non-Monetary
New Emphasis
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*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
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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
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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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