How to Prepare for Your Annual Performance Appraisal

1. How to Prepare for Your Annual Performance Appraisal Federally Employed Women Denver Federal Center Chapter November 18, 2009

2. Performance Management An Employee’s Perspective Kim Montoya, DOI

3. Key Points • Definition of Performance Appraisal • Performance Survey - Federal Employee Performance Appraisal: The Good, Bad, and Ugly • Tips for Employees • Summary

4. Definition of Performance Appraisal • Performance appraisal, also known as employee appraisal, is a method by which the job performance of an employee is evaluated (generally in terms of quality, quantity, cost and time). • Performance appraisal is part of career development • Performance appraisal are to: • Give feedback on performance to employees • Identify employee training needs • Document criteria used to allocate organizational awards • Form a basis for personnel decisions: salary increases, promotions, disciplinary actions, etc. • Provide the opportunity for organizational diagnosis and development • Facilitate communication between employees and supervisor • Validate selection techniques and human resource policies to meet federal Equal Employment Opportunity Requirements

5. Federal Employee Performance Appraisal: The Good, Bad, and Ugly • Survey garnered over 2000 responses • Survey Make-up • 70% non-supervisors • 10% human resources/capital management • 20% supervisors • Results published in FedSmith by Robbie Kunreuther on October 7, 2009 Source: FedSmith.com October 7, 2009 By Robbie Kunreuther ULR: http://www.fedsmith.com/article/2139/federal-employee-performance-appraisal-good-bad-ugly.html

6. Did you get adequate feedback during the year regarding your job performance? Do you believe your last performance rating was accurate? How are your performance standards/objectives/expectations generally composed? Is your performance actually evaluated against specific expectations Does management manipulate ratings? Was your last performance rating changed by managers other than your supervisor? Do you believe your agency has a “quota system” for performance ratings? Was your last performance rating affected by supervisory favoritism? Does your supervisor have a system of records or notes concerning your individual performance? Federal Employee Performance Appraisal: The Good, Bad, and Ugly (continued)

7. Federal Employee Performance Appraisal: The Good, Bad, and Ugly (continued) • Results of Survey • 63% stated they do not get adequate feedback from their supervisors • 7% felt unsure as to whether they were accurately rated or not • Fewer than 10% view their performance standards as purely “objective” • 37% felt that standards/objectives really are being used to evaluate their achievement • 2/3’s said management manipulates the rating; 17% believed changes occurred; 20% unsure • 62% said agency’s has a “quota system;” 19% were unsure; 19% indicated some desired curve or profile wasn’t at work • Perception of bias 42% Yes; 42% said No • 25% said their supervisor had a system of records/notes concerning individual performance; ¾’s said No

8. Federal Employee Performance Appraisal: The Good, Bad, and Ugly (continued) • Survey Comments • No interim reviews (and in some cases, no ratings) occurred during the year; • Supervisors are too far away to really know what the employee is doing • Supervisors lack the background/expertise needed to give meaningful feedback • Feedback is vague and of little use to the employee • Changes in supervision/leadership have left a vacuum • Feedback focuses on negatives rather than future improvements • Performance feedback is treated by management as a distasteful chore • Feedback is reserved for those who management likes the most • Supervisors are too busy with other duties

9. Federal Employee Performance Appraisal: The Good, Bad, and Ugly (continued) • Survey Comments (continued) • Pre-determined quotas prevented accurate ratings from being approved • Budgets for PFP systems limited the number of high ratings • Favoritism among supervisors/managers influenced performance ratings • Subjective standards lead to subjective ratings • Lack of management familiarity with the job being evaluated • Evaluation metrics don't reflect individual performance/contribution • Less visible jobs ("farther from the flagpole") generally get rated lower • Supervisory determinations are commonly overruled in pay pools • Higher ratings are limited and rotated among deserving employees

10. Tips for Employees • Know your agency’s performance appraisal guidelines, rules, and regulations • Participate (or provide feedback) in the development of your performance plan i.e., elements, standards and benchmarks • Keep a standing list of accomplishments and track throughout the year • Give the list of accomplishments to your supervisor for his/her consideration in preparing your rating • Keep a “kudos” folder with you accomplishments • Come prepared for the performance appraisal review (mid & annual) • Take a look at your supervisors perspective on the performance discussion • Summary of key accomplishments • Work you did well • Work that could have been improved • Area needing more efforts • Provide feedback to your supervisor

11. Summary • Become knowledge about the performance appraisal process • Communication is key in giving and receiving feedback • Opportunity to grow • You are in charge of your own career – getting an excellent performance rating is what we all work towards – it will get you your next job, a promotion, an award, in addition to good references

12. Performance Management A Supervisor’s Perspective Beth Nettles, DOL

13. Performance Plan • Purpose • Align performance with organizational goals • Communicate and clarify goals • Performance Plan (Elements and Standards) • The plan -- ongoing performance management • Progress reviews • Monitor performance • Give feedback • Support employee development • Clarify expectations

14. Tracking Accomplishments • Supervisor’s tracking methods • Should be ongoing throughout the year • Should include personal monitoring and documentation – of results as well as observing employee interactions • Feedback from customers/coworkers • Solicited and unsolicited feedback from stakeholders • Feedback from employee

15. Mid-Term Review • Opportunity • What you are doing well • What you need improvement on • What more do you need from your supervisor • Identify training opportunities

16. Annual Appraisal • Should be no surprises • Formal documentation of pattern of performance • Objective assessment of elements and standards • Opportunity for employees to provide input • Ensures that nothing is overlooked • Tells supervisor what you find most significant about your performance

17. Resources/Further Reading • Lots of information available • http://www.labornet.dol.gov/DCS_FileSystem/DPR/Chapter430.htm • LaborNet – Supervisor’s Toolbox • Learning Link • www.opm.gov/perform • Review the document index for hundreds of articles on performance management

18. Performance Management A Manager’s Perspective Brian Reilly, USDA

19. Introduction, Performance Objectives and Plans What is Performance Management? • Systematically managing all the people in an organization, for innovation, goal focus, productivity and satisfaction--it is a goal- congruent win - win plan

20. What is Performance Management? • Performance Managed Organizations are likely to have the following characteristics: • Measurable performance targets • Manage-learning linked with organizational goals on the one hand and with career development on the other

21. Key to Performance Management • Three basic principles, which effective leaders use to transform their organizations into high-commitment models of management are: • build trust • encourage change • use appropriate measures

22. Performance Management and People Management • Performance management is that part of an organization’s people-related function, which is performed by those directly managing the people

23. Performance Management System • Three broad sub-systems: • planning managee performance and development • monitoring managee performance and mentoring managee development • annual stocktaking

24. Performance Standards • Organizations need performance standards, at the level of individual managees as well as at the project or functional or programmatic levels • Organizations want to standardize precise expectations

25. Performance Standards • Managees expect that managers everywhere in the organization will use identical--at least similar---standards to measure the performance of competing positions

26. Questions?