Performance Management Appraisal Program Indian Health Service Part

Performance Management Appraisal Program Indian Health Service Part 7, Chapter 7 Indian Health Manual 1

What is Performance Management? The systematic process by which management involves its employees, as individuals and as team members, to improve organizational effectiveness in the accomplishment of the IHS mission and goals. 2

Performance Management . How important is it? Enables managers and supervisors to: Communicate/clarify organizational goals/objectives to employees; Promote individual and/or team accountability for accomplishing organizational goals; Effectively address the training and developmental needs for employees; Monitor progress and provide formal feedback to employees; Use appropriate measures of performance as the basis for recognizing and rewarding individual accomplishments; 3

Performance Management (continued) Enables Managers and Supervisors to: Use the results of performance appraisal as a basis for appropriate personnel actions; and Assess and improve individual and organizational performance. 4

Who’s Covered/Who’s Not Covered Civil Service Employees All USPHS Commissioned Officers All Non-SES managers, supervisors, and team leaders Not Covered A member of the SES A fellow, an expert or consultant, a member of an advisory committee, a resident, intern or other student employee who receives a stipend; An employee on detail to a public international organization or one who is outside the US 5

Who’s Not Covered cont An Administrative Law Judge; An individual appointed by the President; An employee appointed to the Excepted Service under 213.3102(o) for 1 year or less; An employee in a position for which employment is not reasonably expected to exceed 90 calendar days in a consecutive 12 month period; All employees who are on 90 days or less appt; and An individual whose temporary appointment is for less than one year, agrees to serve without a performance evaluation, and will not be considered for a reappointment or for an increase in pay based in whole or in part on performance. 6

CO’s and PMAP IHS requires a PMAP for each Officer. PMAPs will contain individual performance metrics designed to meet IHS specific strategic goals, plans and initiatives. PMAPs will serve as supplemental performance data when completing the COER. Timeframes and procedures will be consistent with those outlined in Commissioned Corps Instruction, CC 25.1.1, Commissioned Officer’s Effectiveness Report. 7

Civil Service PMAP Timeframes January 1 - Beginning of the appraisal period January 30 – Last day to establish new PMAP February 15 – Close-out previous year’s plans (45 days after end of rating cycle) July 31 - Complete progress reviews October 1 - Last day for new performance plan to be in place (minimum 90 days) December 31 – Last day of performance period **Any employee who enters on duty after January 1 – implement standards within 30 days of entrance on duty date. 8

Establishing a Performance Plan Administrative Element Individual Performance Outcomes Elements Expected between 2-5 Individual Performance Outcomes/Elements All Elements are Critical Must include one or more outcomes that are cascaded from the IHS Strategic Plan/Director’s Performance Plan/Management Objectives Each Element must have the Achieved Expected Results (AE) level described. *Managers are strongly encouraged to explain how employees can receive a level 4 and 5 rating on the element. Additional levels can be described on the form or as an attachment to the form. 9

Elements, Standards & Activities Elements: Describes what an employee is expected to do, such as a work assignment or responsibility. Standard: Describes how well an element is to be performed. The management approved expression of the performance threshold(s), requirement(s) or expectation(s) that must be met to be appraised at a particular level of performance. Activity: a compilation of tasks that must be completed in order to perform an element. 10

Developing Critical Elements SMART Method SPECIFIC Goals and Expectations are clearly stated and direct MEASURABLE ATTAINABLE RELEVANT TIMELY Outcomes are being achieved in comparison to a standard. Goals and outcomes must be achievable and realistic. Goals have a bearing on the organization’s overall direction. Results are measured in terms of deadlines, due dates, schedules, or cycles. 11

Levels of Performance – Level 5 Achieved Outstanding Results (AO) Consistently superior; significantly exceeds Level 4 - Achieved More than Expected Results (AM) performance requirements. Despite major challenges such as changing priorities, insufficient resources, unanticipated resources shortages, or externally driven parameters, employee leadership is a model of excellence. Contributions demonstrate exceptional initiative in achieving results critical to Agency success and strategic goals. Products and skills create significant changes in their area of responsibility and authority. 12

Examples of Level 5 Innovations, improvements, and contributions to management, administrative, technical or other functional areas that have influence outside the work unit; Increases in office and/or individual productivity; Improved customer, stakeholder, and/or employee satisfaction that results in positive evaluations, accolades, and recognition; methodology is modeled outside the organization Flexibility and adaptability in responding to changing priorities, unanticipated resource shortages, or other obstacles; Initiation of significant collaborations, alliances and coalitions; 13

Examples of Level 5 leadership on workgroups or teams, such as those that design or influence improvements in program policies, processes, or other key activities; anticipates the need for, and identifies, professional developmental activities that prepare staff and/or oneself to meet future workforce challenges; and/or consistent demonstration of the highest level of ethics, integrity, and accountability in achieving specific HHS, IHS, and/or program goals; making recommendations that foster clarification, and/or influence, improvements in ethics activities. 14

Levels of Performance - Level 4 Achieved More Than Expected-AM Consistently exceeds expectations of Level 3 –Achieved Expected Results (AE) performance requirements. The employee continually demonstrates successful collaborations within the work environment, overcoming significant organizational challenges such as coordination with external stakeholders or resources shortfalls. Employee works productively and strategically with others in non-routine matters, some of which may be complex and sensitive. The employee consistently demonstrates the highest level of integrity and accountability in achieving IHS program and management goals . Employee contributions have impact beyond their immediate level of responsibility. 15

Examples of Level 4 Effectively plans, is well-organized, and completes work assignments that reflect requirements; Decisions and actions demonstrate an organizational awareness. This includes knowledge of mission, function, policies, technological systems, and culture; 16

Level 4 Examples Continued Independently follows-up on actions and improvements that impact the immediate work unit; establishes and maintains strong relationships with employees and/or clients; understands their priorities; balances their interests with organizational demands and requirements; effectively communicates necessary actions to them and employee/customer satisfaction is conveyed; and When serving on teams and workgroups, contributes substantively and completely according to standards identified in the plan. 17

Levels of Performance- Level 3 Achieved Expected Results (AE) Consistently meets performance requirements. Work is solid and dependable; customers are satisfied with program results. The employee successfully resolves operational challenges without higher-level intervention. The employee consistently demonstrates integrity and accountability in achieving HHS/IHS program and management goals. Employee conducts follow-up actions based on performance information available to him/her. Employee seizes opportunities to improve business results and include employee and customer perspectives. 18

Examples of Level 3 Acquires new skills and knowledge to meet assignment requirements; Resolves operational challenges and problems without assistance from higherlevel staff; (Comparison to Level 4 – which is defined as non-routine, further described some may be complex or sensitive) Demonstrates ethics, integrity and accountability to achieve HHS and IHS goals; 19

Levels of Performance- Level 2 Partially Achieved Expected Results (PA) Marginally acceptable; needs improvement; occasionally does not meet Level 3 – Achieved Expected Results (AE) performance requirements. The employee has difficulties in meeting expectations. Actions taken by the employee are sometimes inappropriate or marginally effective. They do not significantly contribute to any positive results achieved. This is the minimum level of acceptable performance for retention on the job. Improvement is necessary. 20

Examples of Level 2 Occasionally fails to meet assigned deadlines; Work assignments occasionally require major revisions; Does not consistently apply technical knowledge to completion of work assignment; Occasionally fails to adhere to required procedures, instructions, and/or formats in completing work assignments; Occasionally fails to adapt to changes in priorities, procedures, or program direction; and/or The employee's impact on program performance, productivity, morale, organizational effectiveness and/or customer satisfaction needs improvement. 21

Levels of Performance – Level 1 Achieved Unsatisfactory Results (UR) Undeniably unacceptable performance; consistently does not meet Level 3 – AE performance requirements. Repeat observations of performance indicate negative consequences in key outcomes (e.g., quality, timeliness, results, customer satisfaction, etc.) as described in the annual performance plan. The employee fails to meet expectations. Improvement is essential for job retention. 22

Examples of Level 1 Consistently fails to meet assigned deadlines; Work assignments often require major revisions; Fails to apply adequate technical knowledge to completion of work assignments; Frequently fails to adhere to required procedures, instructions, and/or formats in completing work assignments; and/or Frequently fails to adapt to changes in priorities, procedures, or program direction. 23

PMAP Implementation PMAP Development: Employee participation into the development of his/her performance plan is encouraged. includes raising the issue of the accuracy of their position description. The Rating Official has final authority for establishing the plan – including it’s contents. Complete the Employee Performance Plan by establishing the elements, standards and activities – at Level 3 Achieved Expected Results Level. PMAP Implementation: Plan for Implementation - Set up a meeting to discuss and review the plan and performance expectations. Bargaining Unit employees covered by LIUNA – have two (2) workdays to review evaluation documents prior to signing. 24

Implementation continued PMAP Implementation: Signatures: Employee will be requested to sign PMAP. If employee declines to sign the PMAP, Rating Official annotates on HHS-704B “Employee declined to sign”, initials and dates the form. Employees will not be required to back date PMAP documents. Supervisor Signs Plan is effective upon signature Employee is provided with a copy of the newly implemented PMAP while original PMAP is retained by Rating Official. 25

Monitoring Performance Progress Reviews: Minimum of one formal mid-year progress review, however, continuous feedback is the best method. Provides for interim assessment of performance AND provides an opportunity for supervisors to discuss and document evolving priorities or other changes impacting employee work assignments. No ratings assigned for progress reviews. No written narrative required unless performance is less than AE – Level 3. If required – written narrative is made under Part IV of the Performance Plan. 26

Monitoring Performance - cont Assistance can be provided for employees performing at AE or higher. Employees may seek to improve or enhance their performance. *Employee’s performance at Partially Achieved Level: Provide written documentation, including identifying specific deficiencies and steps needed to bring performance to the AE Results level. *Actions required if employee’s performance is determined to be at unsatisfactory results (UR) level – at ANY time during the rating period; Supervisor will provide assistance to help the employee improve performance to a Partially Achieved Expected Results level. At a minimum: Provide written notice to the employee of his or her failure to demonstrate acceptable performance and provide the employee an opportunity to demonstrate acceptable performance under a Performance Improvement Plan. *HR Assistance is required. 27

Monitoring Performance Evaluate performance via appropriate sources and information. (If PA or UR, consult with HR for appropriate action.) Meet with employee for performance review. Employee and Manager/Supervisor sign and date PMAP. Employee receives a copy and manager retains original. 28

Rating Performance – End of Appraisal Period Plans required to be in place at least 90 calendar days (signed by both the employee and the rating official) Normal performance period/year ends December 31. Narrative comments required for all rating levels. Second level of review required before it is presented to employee. Between January 1 and February 15 –rating of record will be completed and discussed with employee. 29

Rating Performance Rate each Element (Administrative and Individual Performance Outcomes) based on employee performance data and performance standards. Critical Element Ratings Points Assigne d Level 5: Achieved Outstanding Results (AO) 5.00 Level 4: Achieved More than Expected Results (AM) 4.00 Level 3: Achieved Expected Results (AE) 3.00 Level 2: Partially Achieved Expected Results (PA) 2.00 Level 1: Achieved Unsatisfactory Results (UR) 1.00 30

Preparing the Summary Rating Average the Score. Total points/number of critical elements (up to two decimal places). Critical Element Ratings – Summary Chart Points Assigned Level 5: Achieved Outstanding results (AO) 4.50 to 5.00 Level 4: Achieved More than Expected Results (AM) 3.60 to 4.49 Level 3: Achieved Expected Results (AE) 3.00 to 3.59 Level 2: Partially Achieved Expected Results 2.00 to 2.99 (PA) Level 1: Achieved Unsatisfactory Results (UR) 1.00 to 1.99 31

Exceptions to Mathematical Formula If employee is rated Partially Achieved Expected Results on one or more critical elements, he or she cannot receive a summary rating higher than “Achieved Expected Results” regardless of the average point score. A summary rating of Achieved Unsatisfactory results must be assigned to any employee who is rated Achieved Unsatisfactory results on any critical element. 32

Extending the Appraisal Period As of December 31 (End of Appraisal Cycle) THEN . If employee has performed for more than 45 but less than 90 calendar days under a PMAP . Extend the rating period to allow for a full 90 day performance period. If the employee has performed fewer than 45 calendar days . The rating period will not be extended and the employee would not receive a rating for that cycle. If a summary rating was issued earlier in the performance cycle, while in another position or while under another supervisor . That summary rating becomes the rating of record if the employee has not worked under a performance plan for the new position at least 90 calendar days. 33

Disagreement with Rating Informal actions: Employee discusses with rating official Employee discusses with reviewing official Formal actions: Employee provides written response – no change in rating. Employee files grievance through IHS Grievance Procedures (Agency or CBA); or EEO complaint procedures if he or she believes the rating is based on prohibited discrimination. 34

Performance Awards Performance Awards are an integral part of the performance appraisal process, Tied to rating of record – submitted and considered for approval only at the conclusion of the rating period. 35

Actions based on Achieved Outstanding Results Employees who receive a rating of record of AO: Will receive a performance award (subject to funds availability) QSI Eligible (Cannot be granted in consecutive years); Cash Award; Time Off – not to exceed an aggregate calendar year total of 40 hours for performance; Cash Award/Time Off combination (Conversion of cash into TOA – with remaining cash balance to be paid out in cash). 36

Actions Based on Achieved More than Expected Results (AM) Employees who receive a rating of record of AM: May be eligible for performance award at the discretion of the IHS – subject to funds availability (AO level must first be paid in full). Not eligible for QSI Cash Award; Time Off – not to exceed an aggregate calendar year total of 40 hours for performance Cash Award/Time Off combination (Conversion of cash into TOA – with remaining cash balance to be paid out in cash). 37

Actions based on Achieved Expected Results (AE) Employees who receive a rating of record of AE: May be eligible for performance award at the discretion of the IHS – subject to funds availability (AO and AM” levels must first be paid in full). Not eligible for QSI Cash Award; Time Off – not to exceed an aggregate calendar year total of 40 hours for performance; Cash Award/Time Off combination (Conversion of cash into TOA – with remaining cash balance to be paid out in cash). 38

Actions based on Partially Achieved Expected Results (PA) Employees who receive a rating of record of PA: Minimum level adequate for retention in the position; Not eligible for performance award; Ineligible for WIGI (**supervisor action required;) Supervisors strongly encouraged to closely monitor and offer any assistance needed to bring employee’s performance up to AE. 39

Actions based on Unsatisfactory Results (UR) An employee who receives a summary rating of UR: Ineligible for performance awards; Ineligible for WIGI PIP required. *Supervisor action required to initiate a PIP. Must consult with HR for assistance. 40

Individual Development Plan IDP’s will be developed for each employee. May contain: Formal classroom training; HHSU sponsored training; Developmental assignments; Cross-training; Mentoring; and One-on-one guidance. (Sample IDP attached to PMAP policy) 41

Recordkeeping and Record Uses Supervisor’s notes: Supervisors may make notes on significant instances of performance so that the instances will not be forgotten. Such notes are: neither required by, nor under the control of, the IHS. These notes are not subject to the Privacy Act as long as they: remain solely for the personal use of the supervisor, or are not provided to any other person, are not used for any other purpose, and are retained or discarded at the supervisor’s sole discretion. 42

PMAP File Maintenance Original employee performance plans will be forwarded to Servicing HR Office: After completion of the year end performance cycle or Any time the employee changes positions, duty locations or separates from the organization. Servicing HR Office will retain performance records for four (4) years; and, will transfer such records with the employee’s Official Personnel File when the employee separates or transfers to a new organization. 43

Using PMAP Ratings – FYI Rating of Record - Used in cases of organizational downsizing aka Reduction in Force – RIF’s. The IHS will assign retention credit (years) to an employee’s length of service based on the requirements and rating pattern identified in the HHS Instruction 351-1. (EX: 20 additional years for Level 5, 16 for Level 4, 12 for level 3.) 44

Tools Learning Management System: Various nocost on-line training opportunities available Indian Health Manual: Part 7, Chapter 7, Performance Management Appraisal Program HHS Intranet: HHS-704b, Employee Performance Plan – available: http://intranet.hhs.gov/hr/ohr/forms/hhs forms/hh s-704b 5tier.pdf Servicing Human Resources Office 45