PERFORMANCE APPRAISAL AND PLANNING 2010-2011 Performance Cycle Cheryl Rosanova Lead HR Specialist

1. PERFORMANCE APPRAISAL AND PLANNING 2010-2011 Performance Cycle Cheryl Rosanova Lead HR Specialist Performance Management Office of Human Capital Management

2. Agenda • Performance Management Recap • Performance Planning • Performance Monitoring • Performance Assessing • Who’s Covered • Overall Summary Rating Definitions • Reconsideration Guidance • Performance Awards Guidance • Important Dates • Next Performance Plan Year

3. Performance Management Overview Effective organizations: • Plan work and set expectations • Monitor performance • Develop the capacity to perform • Rate performance • Improve poor performance • Reward good performance

4. Performance Key Timeframes • Within 30 days of EOD: New Employees must be given plans. • 90 days: Minimum appraisal period (Time that an employee must be under a performance plan before a rating of record can be assigned.) • 120 days: Minimum appraisal period (Time that an employee represented by GESTA or AFGE must be under a performance plan before a rating of record can be assigned.) • >90 days: Length of detail, or time in another position, requiring written input from detail (or previous) supervisor to permanent (or current) supervisor. • >60 days: Length of detail, or time in another position, requiring written input from detail (or previous) supervisor to permanent (or current) supervisor for an employee represented by GESTA or AFGE . • 30 days: Minimum “opportunity to improve” period for an employee who fails to meet a critical element. • 60 days: Minimum “opportunity to improve” period for an employee represented by GESTA who fails to meet a critical element.

5. Performance Key Timeframes (con’t) • 15 days: (after receipt of rating): Employee deadline to request reconsideration. • 30 days: (after receipt of rating) Employee represented by GESTA deadline to request reconsideration. • At least once (generally at midpoint) in the cycle: Progress review .

6. Performance Monitoring • Provide on-going, regular communications and constructive feedback. • Hold at least one progress review. • Make revisions to plan, if necessary. • Initial and date NASA Form 1762/1763 (supervisor and employee). • “Difficult conversations” about performance: • May occur at any stage of the appraisal process. • Must occur as soon as it is apparent an employee might be rated Fails to Meet Expectations on any critical element and at least 30 days or more before the end of the appraisal period.

7. Performance Monitoring (con’t) • Seek prior advice from the Office of Human Capital Management. • Options to Address Poor Performance • Oral Counseling • Issue Formal Performance Warning Letter • Establish Performance Improvement Plan (PIP), identifying: • Critical element(s) involved • How employee is failing to meet expectations • What must be done to meet expectations • How performance will be monitored (tag ups, etc.) • What assistance will be provided and by whom • Period of time to improve (minimum of 30 days) • EAP Information, if applicable

8. Pre-rating Preparations • Verify rating and reviewing officials • Determine if all employees have plans on which they can be rated. • Review intra-Directorate process for review of Distinguished and Fails to Meet ratings. • Adhere to internal deadlines for: • Higher level review • Completion of all ratings • Completion of new plans • Award, QSI recommendations • Understand how award $ will be distributed within Directorate. Guidance will be forthcoming on Directorate award allocations.

9. Performance Assessment Ratings must normally be completed within 30 days of the end of the appraisal cycle: • Offer employee opportunity to provide input. • Input should focus on elements and standards • Input should identify specific accomplishments/results • Gather information from other appropriate sources: • Team Leads, detail supervisors, customers, etc. • Rate each element • Write narrative summary. A summary rating must be supported by a narrative that is clear and justifies the rating assigned

10. Performance Assessment (con’t) • Send proposed Distinguished, Needs Improvement and Unacceptable ratings to higher level for approval. • All ratings of Needs Improvement need to be reviewed by OHCM prior to the rating being conveyed to the employee. • Supervisors should contact OHCM for assistance with performance improvement.

11. Performance Assessment (con’t) • An employee receiving either a Needs Improvement or Unacceptable rating is not eligible for a within grade increase or to telework until performance improves to Fully Successful. • Meet with employee to discuss: • Performance and accomplishments • Element and summary ratings • Areas for improvement (if applicable) • Training, development, growth opportunities • Employee signs for receipt of rating. • Keep original rating in EPF and give copy to employee. • Upload rating into NOPS.

12. Who’s Covered • Rate all permanent, temporary, term, student educational employment program, and NASA excepted (NEX) appointment employees. • Detailed or Matrixed Employees • Detail/Matrix supervisors must provide written performance assessments to the supervisor of record when the detail is in excess of 90 days (60 days for employees represented by GESTA or AFGE ). • The written summary provided by the detail/matrix manager must be provided to the employee.

13. Who’s Covered (con’t) • The rating official will summarize feedback provided from matrix assignments and details that are less than 90 days (60 days for employees represented by GESTA or AFGE) when the feedback has been relied upon to determine the performance rating. • The Rating Official should utilize NF 17-121/122 Addendum to identify individuals who provided performance feedback. • SES/ST/SL employees are not covered under this performance process.

14. Overall Summary Rating Definitions Performance when all elements are rated Significantly Exceeds. DISTINGUISHED Performance when all elements are rated no lower than Exceeds Expectations. ACCOMPLISHED FULLY SUCCESFUL Performance when no element is rated below Meets Expectations. Performance when any element is rated below Meets and no critical element is rated Fails to Meet. NEEDS IMPROVEMENT Performance when any critical element is rated Fails to Meet Expectations. UNACCEPTABLE

15. Performance Rating Disagreements • Reconsideration requests • An employee who disagrees with his/her rating of record may submit a request of reconsideration . Employee deadline to request reconsideration is 15 days or 30 days for employees represented by GESTA after receipt of rating. • Employee will be given opportunity to present supporting information. • Rating (or Reviewing) Official must reconsider and issue a decision within a reasonable time (normally within 10 days).

16. Performance Rating Disagreements • Grievances • EO Complaints

17. Performance Award Guidance 2011 Awards Percentages* • Distinguished: 2.1% to 3% • Accomplished: 1.1% to 2% • Fully Successful: 0 to 1% *Note: Percentages provide greater flexibility to make meaningful rating distinctions Performance Rating-Based Awards • Cash • Time Off** • Combination of Cash and Time Off **Note: A Time Off Award (TOA) cannot exceed 40 hours per achievement. Not more than 80 hours total TOA may be granted per leave year.

18. Performance Award Guidance • Approval of Monetary Performance Awards --“Directors Of” and Staff Offices: • All Individual cash awards up to $4,000 for GS and WG employees. --Directors of may re-delegate any portion of these authorities down to any subordinate level for GS and WG employees. --Center Director • All Individual cash awards $4,001 to $10,000 for General Schedule and Federal Wage System employees. • All Awards for SES/ST/SL** --

19. Performance Award Guidance NASA Headquarters • All Individual cash awards that exceed $10,000. **Before inputting any cash or time off award into the NASA Automated Awards System (NAAS) for SES/ST/SL employees a request for approval must be sent to Center Management (Rob Strain, Rick Obenschain, Christyl Johnson, and Nancy Abell) and OHCM (Crystal Gayhart and Cheryl Rosanova). The request should be about 2-3 sentences and justify the award to include the dollar amount or the number of hours.

20. Performance Award Guidance Approval of Time Off Performance Awards • Immediate supervisors • 8-40 hours of time off for award based on performance rating of record for GS and WG employees. • This does not apply to time off awards for Special Acts. Performance Awards (monetary, time off, and QSI’s) must be entered for processing NLT August 1, 2011. TOA nominations for employees external to your organization must first be approved by the employee’s immediate supervisor. Once approved the immediate supervisor should be courtesy copied on the award via the awards database.

21. Performance Award Guidance • Processing Awards in NAAS -- For employees rated “Distinguished”, “Accomplished”, or “Fully Successful” supervisors need only to state the following in the justification block in NAAS: • “This award is based on the performance rating of (insert rating summary level).” • The performance plan & appraisal, including the narrative justifying the summary rating should be retained in the Employee Performance Folder (EPF). • Once in NAAS, ensure you select the correct designation for Time Off Awards to indicate whether the award is based upon the performance appraisal rating or a Special Act.

22. Performance Appraisal Close-Out Key Dates

23. 2011-2012 Performance Rating Begin 2011-2012 performance cycle • Have performance plans in place by June 30, 2011. • Contact detail supervisors to ensure the performance plan form will accommodate evaluation of the work that will be performed while on detail. If necessary, add additional elements needed to assess performance. • Performance Elements & Standards • Designate elements critical or non-critical. • The Program/Project/Functional Objective element is a required, critical element. Note: PPFO should link to Agency/Center/Directorate goals and objectives.

24. Creating Performance Standards Define expectations at Meets performance level: Specify the range of position competencies, skill set, and expectations at a minimum at the Meets performance level using SMART measurements to evaluate employee performance. Specific: the “what” Measurable: metrics, targets, data Aggressive yet achievable: commensurate with employee’s position Results-oriented: describe outcomes; emphasize link to mission Time based: identify specific timeframe

25. Points of Contact Cheryl Rosanova Program Manager, Performance Management (301) 286-4832 Christina Lafountain Employee Relations Officer (301) 286-3729

26. Q and A Thank You!

27. Starting tomorrow, please complete the 2011 OPM Federal Employee Viewpoint Survey (EVS) and… Encourage your employees to do the same! Invest 30 minutes today in your Center’s tomorrow!!