Thread: Keys to Effective Performance Management

Keys to Effective Performance Management – The Beginning

The performance appraisal should be viewed not only as a rewarding system, but as a highly interactive process between the supervisor and employee to:

• communicate job responsibilities and expectations,
• select relevant appraisal criteria,
• develop assessment tools and procedures, and
• encourage self-understanding as well as insight to the kind of development activities that are valuable to the employee and organization.

Performance management is a systematic process and not just an administrative duty that involves:

• planning work and setting expectations,
• continually monitoring performance,
• developing the capacity to perform,
• periodically rating performance in a summary fashion; and
• rewarding good performance.

The systematic process involves:

• motivating employees to perform effectively
• increasing self-esteem
• providing insight into employees and supervisors
• clarifying and defining job functions and responsibilities
• developing valuable communication among employees and supervisors
• clarifying organizational goals
• serving as an important tool to staffing requirements

Planning work and setting performance expectations are the first steps to effective performance management.

At the beginning of performance appraisal period, both the supervisor and employee should review the work responsibilities for clarity and accuracy of what the employee does (e.g., provides guidance, consultation, advice, and assistance in employee relations). Work responsibilities should be described using action verbs such as “plans,” “develops,” “writes,” rather than “demonstrates initiative” or “performs routine duties.” Work responsibilities provide guidelines of specific behaviors that the employee is expected to perform and are significantly influenced by the employee’s work efforts. Determining and clarifying what are the employee’s work responsibilities will aid you in preparing the critical elements that the employee will be rated on. Just remember that elements and standards should be measurable, achievable, understandable, verifiable, and equitable (MAUVE). (See “Elements” under Section 1-Planning in the Department of the Interior’s Performance Appraisal Handbook.)

The performance standards are performance thresholds, requirements, or expectations that must be met for each element, and should be focused on results and include credible measures. Standards should be stated concretely and specifically, practical to measure, meaningful, exceedable, realistic based on sound nature and not “backwards” or impermissibly “absolute.” When writing the standards at the different levels, the supervisor should keep in mind what these rating levels actually mean to his/herself and then express these levels to the employee clearly to ensure the employee understands the meanings of each performance standard. (See Appendix 2 - Developing Performance Standards in the Department of the Interior’s Performance Appraisal Handbook.)


Frequently Asked Questions

1. What period of time is covered by the 2005 performance appraisal?

Employees must be assigned a summary rating based on their performance from October 1, 2004 through September 30, 2005. Annual summary ratings are due no later than October 31, or upon completion of the 90-day rating extension period. The original ratings will be submitted to the servicing HRO office within 60 days following the end of the rating period.

2. Are there any exceptions to this rule?

The annual appraisal period may be extended for up to a maximum of 90 days past the end of the appraisal period to allow for rating of employees who have not been in the same position, under the same supervisor, or under a written performance plan for the full 90 days at the end of the appraisal year.

3. Who is eligible to receive a summary performance appraisal?

All permanent full-time and part-time employees who for the last 90 days have been under the supervision of one supervisor and who have been under an established performance plan for a minimum of 90 days and temporary employees who have worked more than 120 days during the annual appraisal period ending on September 30 and for the last 90 days and have been supervised by the same supervisor and covered by a performance plan.

4. What are the appraisal procedures if an employee did not have a written Employee Performance Appraisal Plan (EPAP) during the rating period?

Service employees are required by regulation to be working under written elements and standards. However, if the employee did not work under a written EPAP for the last 90 days of the rating cycle, the rating period must be extended and the extension documented on the EPAP. A performance plan must be immediately established and put into effect. When the 90-day period is met, a rating of record is assigned.

5. What are interim ratings and how are they used?

The regulations require that all interim appraisals that an employee may have received during the rating year be considered in arriving at a summary rating. In other words, if an employee completes a detail or temporary promotion more than 120 days, changes positions, transferred from another agency, and covered by standards for at least 90 days during the appraisal period, the former supervisor should have prepared an interim appraisal. Interim appraisals are also completed when the employee has been under the performance plan for at least 90 days and the supervisor leaves his/her supervisory position during the annual appraisal period. The rating official is responsible for combining such information in arriving at an overall summary rating.

6. Who is responsible for appraising employees?

The first-level supervisor of record as of September 30 is normally the individual who is responsible for preparing the written appraisal. If the first-level supervisor has not supervised the employee for 90 days and the employee is eligible for a rating (performed for at least 90 days under the EPAP), the reviewing official may perform the rating.

If the employee moves to another position during the last 90 of the rating period (i.e., August 1 to September 30), the supervisor of record on September 30 remains responsible for assigning the summary rating, but the rating period must be extended until the 90-day requirement is met. When the 90-day period is completed, the supervisor of record on September 30 arrives at an overall summary rating, based upon the last 90 days and any interim appraisals provided by the previous supervisor.

If the supervisor of record leaves in the final 90 days of the rating period, and the employees meet the criteria for rating, the departing supervisor will prepare a summary rating for his/her employees which will serve as the rating of record for that rating period.

7. What procedures does a first-level supervisor follow in appraising an employee?

The initial step in the annual appraisal process is to complete Part E: Critical Elements and Performance Standards of the EPAP by providing a narrative statement of how the employee actually performed in relation to the standard(s) established for each element rated Exceptional, Minimally Successful, or Unsatisfactory. The narrative must clearly state whether the employee exceeds, meets, or is less than fully successful for each critical element and must provide specific descriptions or examples of performance. The next step is to assign the employee an overall rating at one of the five prescribed levels. To determine the summary rating, use the conversion worksheet and conversion scale on page 1 of the EPAP. Also, a review of the accuracy of the position description and performance standards should be accomplished at the beginning of each performance appraisal cycle.

8. Where can I find additional guidance on the performance appraisal system?

For additional guidance on the Performance Appraisal System see the attached Department of the Interior Performance Appraisal Handbook, A Guide for Managers/Supervisors and Employees. If you have additional questions, please contact your servicing human resources office.

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