HR SupervisoryPerformanceWorkbook2012 (1)

What is the Excellent in Performance Management Pilot Project

Excellence in Performance ManagementA Model for Success

Managing Performance:A Supervisory Workbook and Assistance Tool

****This reference guide was borrowed from the Dept. of Veterans Affairs so the reader will sometimes see reference to the VA. While the VA is a separate and distinct agency, the performance management process is very similar. Please keep that in mind while using this guide.

Table of Contents

Subject

PagePreface

3Introduction

4

Part I

6Developing Results-Oriented Performance Elements and StandardsPart II19Communicating the Performance Plan

and Giving Meaningful FeedbackRegarding PerformancePart III23The Evaluation Process and Discussing

the RatingAppendices29PrefaceThe workbook is designed to provide you (supervisors and raters) an informal and unofficial step-by-step guide to assist you in carrying out your responsibilities under the VAs 5-level performance appraisal program. This workbook contains examples and blank forms (see appendices) that can be used as tools to identify relevant performance elements, develop valid performance standards, provide employee feedback, organize individual performance results, and evaluate employee performance.

This workbook is not a source for VA policy and does not contain detailed policy language. It should be used in conjunction with VA Directive and Handbook 5013 as well as all applicable collective bargaining agreements.

Specific questions regarding your responsibilities and VA policy should be directed to your servicing human resources office. Other available resources can be found at:

VA Directive and Handbook 5013

http://vaww1.va.gov/ohrm/HRLibrary/Dir-Policy.htmVA Office Human Resources Employee Relations and

Performance Management Website http://vaww1.va.gov/ohrm//EmployeeRelations/Performance.htmU.S. Office of Personnel Managements

Performance Management Website

http://www.opm.gov/perform/

VA Office Labor-Management Relations Website

http://vaww1.va.gov/lmr/IntroductionAs a supervisor, you play a key role in setting performance expectations and goals for the employees you supervise. Not only is it your responsibility to develop performance plans and evaluate performance, you are also encouraged to regularly communicate with employees and encourage them to take an active role in the planning process.

Therefore, as you use this workbook, remember that you should attempt to include the employees you supervise in every step of the process as much as possible.

Specifically, you should . . . Encourage input from employees regarding the development of their performance plans, including the identification of specific duties and responsibilities that are to be evaluated as well as the standards or measures used to evaluate the work;

Ensure employees understand how their plan relates to and supports the organizational goals and objectives, including the highest priorities and most urgent challenges to the organization;

Discuss the meaning of the portions of the performance plan, including the defined standards or measures, and how the rating will be determined;

Engage in performance discussions, both informal discussions as well as formal mid-year performance reviews on a regular basis;

Give specific and meaningful feedback to employees as to how you view their work in regards to the performance standards;

Provide specific, relevant performance feedback at the end of the rating year; and

Encourage employees to fully participate in discussions regarding their end of year rating.PART IDeveloping Results-Oriented

Performance Elements and Standards

in Six Easy Steps

Developing Results-Oriented

Performance Elements and StandardsSIX Easy Steps

This section is designed to provide supervisors and rating officials with a simple, step-by-step process for developing performance work plans that: Link individual performance plans to the organizations strategic goals and objectives;

Encourage performance that contributes to the achievement of the organizations performance measures and performance goals;

Identify individual performance expectations in terms of desired results and successful outcomes rather than mere activities and actions;

Provide clear performance expectations for employees with meaningful and creditable performance measures; and

Support a process that differentiates levels of performance and allows for recognition of top performers. The SIX STEPS outlined in this workbook take the supervisor, or any official responsible for the development of performance plans, from the beginning to the end of the process. This can be used to develop new performance plans or to test or evaluate and revise existing plans. The SIX STEPS are:

ONE - Identify organizational goals and performance objectives.TWO Identify the work of the unit that directly contributes to the goals and objectives of the organization. This step creates those performance elements that are of such importance they warrant appraisal.THREE Identify factors or measures used to define success for the desired outcome or result. This step creates the performance standards for each element. FOUR - For each factor or measure, describe the level of performance that will be considered fully successful.

FIVE Identify when and how performance feedback will be obtained.SIX - Evaluate and revise.Developing Results-Oriented

Performance Elements and Standards

Before you begin As previously noted in the introduction to this workbook, supervisors are strongly encouraged to ask for and consider input from employees regarding the development of performance plans, i.e. elements and standards. In addition, many collective bargaining agreements include specific procedural requirements for the notification of employees and union officials and the consideration to be given to the input provided. Seeking and considering employee and union input into the development of standards can, and should, occur before, during, and after the steps outlined in this model. For additional guidance regarding your labor-management responsibilities in this area, please contact your local Human Resource Office.STEP ONE Identify Organizational Goals and Objectives.

The Department of Veterans Affairs has strategic goals and objectives as stated in the Departments Strategic Plan. In addition, each major organization and each of the Administrations (VHA, VBA, and NCA) have strategic goals and objectives. Depending on the organization within which you are aligned, there may be additional goals and objectives that apply to your work unit. For example, in VHA your VISN, facility or service within your VA facility may have expressed goals, objectives, or performance measures. STEP ONE involves identifying the most applicable goals, objectives, and/or performance measures from each of the levels of organization above your work unit and listing them.

Not every goal or objective will directly apply to each service, division or individual work unit. This is your opportunity to identify those goals, objectives, and/or performance measures that are most applicable to the work of your employees. Not only does this important step get you started down the path of developing sound performance plans, but it will ensure you have linkage between individual performance and the performance of your organization. STEP TWO Identify the Work of the Unit that Supports the Organization

This step is a very important one as you begin to identify the important job duties and responsibilities (the products, services, or results) of your work unit and the position(s) that directly support and contribute to the success of your organization and the VA. In STEP TWO you will identify the desired outcomes and results of your work unit that contribute to the achievement of the goals and objectives identified in STEP ONE. These desired outcomes and results will establish the performance elements for the position or group of positions for which you are developing a performance plan.

The following questions are useful in this step of the process: What does the work unit or position produce that contributes to these goals?

What services are provided to help accomplish this objective?

What program areas or responsibilities are related to the mission of the organization?

If it wasnt done, would there be a clear, negative impact on the organization?

What are the most important needs of the customers?

The example on the next page demonstrates the application of STEP ONE and STEP TWO of this process as it may apply to the position of a Program Support Assistant. Notice how the supervisor listed the relevant organization goals, objectives, and performance measures in the first column and then identified the work of the unit/position that directly supports those goals in the second column. A blank form for your use is available in Appendix A of this workbook.EXAMPLE Developing a Performance Plan for a

Program Support Assistant, GS-5

STEP ONE

Identify organizational goals and objectives. STEP TWO

Identify the work of the unit that directly contributes to the achievement of the organizational goals or objectives(PERFORMANCE ELEMENTS)

VHA Strategic Goal - Continuously improve the quality and safety of health care for veterans, particularly in those health issues associated with military service. Manages patient safety program for service.

VISN Performance Objective 2.1 - Continuously improve veteran and family satisfaction with VA care by promoting patient-centered care and excellent customer service.Communicates with and schedules patients for clinic appointments.

Facility Goal - Provide timely and appropriate access to health care.

Develops and maintains all clinic schedules.

STEP THREE Identify Factors and Measures used to Define Successful Outcomes and ResultsIn this step you begin to identify and describe what successful performance looks like for each of the performance elements you identified in STEP TWO. This includes describing what factors will be used and what measures will be applied to determine a successful product or successful service. These will become your performance standards.

Think of it as identifying the general manner or methodology in which you will determine a successful outcome or result. Will timeliness determine success? Is success based on a factor of completeness or cost effectiveness? Is accuracy a determinative of success?For each item identified in STEP TWO (those outcomes, i.e. products or services that directly support and contribute to the goals and objectives of your organization) describe factors or measures that will be used to identify successful outcomes.

The following questions are useful in this step of the process:

What does success look like?

What are the indicators of successful performance in this element?

Is success dependent on accuracy, timeliness, quality and/or quantity?

Is success a matter of reducing costs or effectiveness?

What indicators of success are most important to the organization?

Performance Standards General MeasuresWhat do I measure? Performance standards are measures or expectations which must be met in order to be appraised at a particular level. Think of your standards as those factors that will be used to determine whether the desired outcome or result has been achieved. There are 4 types of general measures normally used for measuring employee performance. While these are not all inclusive and prescriptive, they are applicable to most positions and serve as a good starting point. These measures are:

Quality Refers to accuracy, appearance, usefulness, or effectiveness. Quality measures can include error rates and customer satisfaction rates.

Example: Training brochures are clear, concise, and the style and content is appropriate for the targeted audience.

Quantity Addresses how much work is produced within a specific period of time. Quantity measures are expressed as a number of products produced or services provided, or as a general result to achieve.

Example: Processes an average of 15 or more travel claims per day.

Timeliness Addresses how quickly, when, or by what date the employee produced the work or delivered the service. Timeliness measures must indicate the specific nature of the work to be performed and the given time period within which it must be performed.

Example: Completes the monthly reconciliation report within 3 days after the end of the month.

Cost-Effectiveness Addresses savings or cost control in terms of money, personnel, or time. This may include aspects of individual performance that deal with maintaining or reducing unit costs, reducing time to produce or provide a product or service, or reducing waste.

Example: Identifies suitable job offers for work-related injured employees and facilitates successful return-to-work job offers.

Performance measures, or the factors you will use to define successful performance, must be understandable, challenging, realistic, attainable, and within the employees control. Using the example of a Program Support Assistant, you can see the process carried out through STEP THREE on the next page. In this example, the supervisor identified what factors and measures will be used to define successful performance. These measures are the performance standards for the element and identify what will be measured in the performance of the element.

EXAMPLE Developing a Performance Plan for a

Program Support Assistant, GS-5 (continued)

STEP ONE

Applicable organizational goals and objectives that affect your work unit. STEP TWO

Outcomes or results (products or services) that directly contribute to organizational goals and objectives.STEP THREE

Identify factors and general measures that will be used to define successful outcomes or results.

PERFORMANCE ELEMENTSPERFORMANCE STANDARDS

VHA Strategic Goal - Continuously improve the quality and safety of health care for veterans, particularly in those health issues associated with military service. Manages patient safety program for service. 1. Staff training completed timely.2. Timeliness and accuracy of accident reports.3. Accuracy and accessibility of records.

VISN Performance Objective 2.1 - Continuously improve veteran and family satisfaction with VA care by promoting patient-centered care and excellent customer service.Communicates with and schedules patients for clinic appointments.

1. Timely and accurate patient scheduling and notification.2. Efficient handling of rescheduling, cancellations, and emergency appointments.3. Timely and accurate posting of schedules in computer for provider access.

STEP FOUR Describe the Fully Successful Level of Performance

Under the VA 5 level performance appraisal program, employees are assigned 1 of 5 overall rating levels based on their performance of all critical and non-critical elements. However, before this overall summary rating is assigned, each of the employees performance elements must be evaluated and assigned 1 of 3 levels. These levels are:Exceptional

Fully SuccessfulLess than Fully SuccessfulThese levels of achievement represent the employees performance as it relates to the entire performance element rather than each performance standard within the element. However, in order to determine the appropriate level of achievement to assign the element as a whole, you must consider the employees performance in each of the individual standards contained within that element. Further discussion of the evaluation process can be found beginning on page 23 of this workbook. However, for our purposes here, you need to understand that VA policy only requires that each performance standard be described at the Fully Successful level. So lets look at some ways to write standards at the Fully Successful level.The Fully Successful range in a numeric standard is usually fairly easy to establish with an upper and a lower end. However, for standards that are more descriptive in nature, the Fully Successful level should be described so as to allow some room for employees to exceed that level. The Fully Successful standard should not describe perfect performance as this may create absolute standards which are prohibited by the Merit Systems Protection Board. Here are some examples of standards for a position responsible for Safety Management duties:Numeric or data-driven standards:

Fully Successful: All accident investigations are completed within 3-5 days following incident.Fully Successful: 90-95% of all service employees receive required safety training within established deadline.

Descriptive or narrative standards:

Fully Successful: Conduct an average of at least one safety audit per week.

Fully Successful: Safety problems are identified and recommendations for corrections are submitted to the appropriate official within two weeks of identification. In these examples, we can clearly see when an employees performance would fail to meet the fully successful standard. In addition, the supervisor has allowed for performance to exceed the level described. For example under the descriptive standards, an employee who routinely conducts more than one safety audit per week and who immediately recommends corrections will likely be considered to have exceeded the Fully Successful level of performance.

However, exceeding the Fully Successful level of performance for individual performance standards does not necessarily result in assignment of the Exceptional level of achievement for the whole element. Under VA policy, the employee may be assigned an overall Exceptional level of achievement for a particular performance element if the employee significantly surpassed all Fully Successful performance standards for the element and whose performance in the element far exceeded normal expectations and results in significant contribution to the organization. Just remember, there is a distinction between exceeding the Fully Successful level on an individual performance standard and meeting the criteria for assignment of an Exceptional level of achievement for the overall element. Most elements have multiple performance standards. Exceeding the Fully Successful level for each standard is just one step towards warranting an Exceptional level of achievement for the entire element. The criteria established in the aforementioned policy must also be met when considering the achievement level of the element as a whole.

It is important to understand this as you write your standards and ensure your standards are reasonable yet challenging. Properly written performance standards are the first step in making effective and meaningful distinctions in employee performance.

Lets go back to the Program Support Assistant and look at some examples of performance standards that would be developed as STEP FOUR of the process for the performance element Management Patient Safety Program. STEP TWO

Work of the unit that directly contributes to the achievement of organizational goals and objectivesSTEP THREE

Factors and Measures used to define successful outcomes and results. STEP FOUR

Fully Successful level of performance.

PERFORMANCE ELEMENT:PERFORMANCE STANDARDS:FULLY SUCCESSFUL STANDARDS:

Manages patient safety program for service.

1. Employees are fully trained on all safety rules and policies. 1a. Safety training completed for all new employees within 30 days of EOD with no more than 5 instances of failure to meet this standard during the rating period.1b. All current employees are notified of required training at least once each quarter.1c. Supervisors notified of delinquent employees within 5 days of employees failure to complete required training.

2. Accident reports are completed within the timeframe required.

2a. Accident reports are completed accurately with less than 5 errors per rating period.2b. Accident reports are submitted to Chief in final form within 5 days of incident with no more than 2 valid instances during rating period of failure to meet this deadline.

STEP FIVE Identify When and How to Obtain Performance Feedback

Even the best performance standards do not necessarily lend themselves to being measurable. For example, if you have identified customer service as an important standard for success, how are you going to measure it? How do you get customer feedback? Is it readily available? Is it reliable? If your standard is based on days or errors, how will you track this? If your standard is based on quality of work, who will be the judge? Below is an example of how the Program Support Assistants supervisor identified the source of the data, how frequently it will be retrieved, and by whom. As you can see, some of these measures are going to be easier to retrieve, more reliable, and require less supervisory oversight than others. As the supervisor, you must ensure that the measures used to evaluate performance are reliable, reasonable, and accurate. Its also important that both you and the employee understand how the standard will be measured. A blank form for your use is available in Appendix A of this workbook.STEP FIVE

List each Fully Successful standard identified in STEP FOUR.What is the source of the data?When will the data be collected?Who will collect the data?

1a. Safety training completed for all new employees within 30 days of EOD with no more than 5 instances of failure to meet this standard during the rating period.1a. Safety records and employee training records.1a. Quarterly

1a. Supervisor

1b. All current employees are notified of required training at least once each quarter.1b. Computer reports.1b. Quarterly

1b. Training Coordinator

STEP SIX Evaluate and Revise

Priorities, missions, workload, and organizational goals and objectives are continuously evolving and changing. After all, that is what keeps the VA firmly established as the best organization to care for our veterans and beneficiaries.

For this reason, as supervisors you must continuously assess how these on-going changes impact the way you evaluate the performance of your employees. In order to maintain a productive and satisfied workforce, you must ensure employees are evaluated against current organizational requirements as well as recognized and rewarded for performance that is valued in your organization and is critical to its success.

The beginning of each rating period (October 1st for most VA organizations) is a prime time to evaluate and revise performance plans. However, performance plans can, and should be, updated at any time during the rating year when the need arises. While it may be practical to post-pone minor revisions until the beginning of the next rating period so as not to delay end-of-year ratings, important revisions should be implemented as soon as possible. Here are some questions you should ask yourself throughout the rating year: Have the priorities of my organization changed?

Has the mission of my organization changed?

Have the needs or expectations of our customers changed?

Have we changed the way we do business?PART IICommunicating the Performance Plan

and

Giving Meaningful Performance Feedback

During the Rating Year

Communicating the Performance PlanAfter you have finalized the performance plan, you must communicate it to the employee. Hopefully, the employee assisted you throughout the process of developing the performance plan, in identifying the employees job duties and responsibilities as well as constructing the standards and measures by which s/he is to be evaluated. Regardless of whether or not the employee was involved, however, you should ensure the employee understands how his or her plan relates to and supports the organizational goals and objectives. You should also discuss the contents of the performance plan, including the standards and the method by which you will be evaluating his or her performance, to ensure the employee clearly understands your expectations. Prior to issuing the performance plan, however, you should review the applicable collective bargaining agreement to ensure you have adhered to any relevant requirements regarding the communication of a performance plan.Giving Meaningful Feedback Regarding Performance

During the rating year, you will have many opportunities to give important feedback to your employees regarding their performance. These opportunities come in the form of at least one formal progress review or mid-year review, as well as informal discussions. Both types of discussions are extremely valuable to ensure you are communicating your expectations regarding how well your employees are performing the elements in their performance plan as well as giving you an opportunity to articulate ways that they can improve and/or exceed your expectations.

Informal performance discussions may come in the form of simple hallway conversations, informal office meetings, staff meetings, etc. If you consider every conversation between you and the employee as a potential opportunity for feedback about performance, the opportunities are endless. You should use these interactions as an opportunity to talk with the employee about his or her performance and give him or her valuable feedback on a frequent and regular basis. Discuss what you think about his or her work. Let him or her know whether or not his or her work is meeting your expectations. Tell him or her what you liked best about . . . Discuss areas in which s/he needs to make improvements.

Let him or her know if your priorities have changed.

Explain any additional information or guidance you have received in regards to his or her assignment(s). Provide feedback regarding your supervisors reaction. Give him or her feedback that has been received from your customers.Mid-year performance discussions must occur at least once during the rating year and are usually referred to as a mid-year review or progress review. These are formal opportunities for you to meet with each employee to discuss his or her performance in terms of the performance plan. This means your discussion should focus on the employees performance elements and whether s/he is performing at the fully successful level.

These discussions are excellent opportunities for you to accomplish the following:

Give clarification regarding performance standards or expectations;

Confirm the priorities of your work unit or organization;

Give feedback regarding how you see the employees performance;

Identify any challenges s/he needs to address for the remainder of the rating year or areas that require extra focus; and/or

Communicate any concerns you have regarding the employees ability to achieve a particular level of performance.Take the Lead! Ask the employee to communicate with you. Be prepared to answer his or her questions and receive feedback regarding any challenges s/he may be facing in order to accomplish the work. It is human nature to hesitate or feel uncomfortable when it comes to talking with someone about his or her work performance. If you open the door and initiate the request for specific feedback, the employee may feel more comfortable sharing with you information that can really help you address the needs of your employee and work unit.Use the next page to write out specific information that you would like to give to, and alternately, receive from, an employee during your next formal progress or mid-term review. This is an opportunity for you to clarify the performance measures in the performance plan and to communicate any specific challenges, goals or priorities you may have. A blank form for your use is available in Appendix B of this workbook.QUESTIONS: List comments and information you want to convey to the employee during the mid-year review as well as questions you have when you meet to discuss his or her performance plan. Your comments and questions should be specific to the performance elements and standards.

1. __________________________________________________

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2. __________________________________________________

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3. __________________________________________________

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4. __________________________________________________

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5. __________________________________________________

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7. __________________________________________________

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10. _________________________________________________

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PART IIIThe Evaluation Processand

Discussing the Rating

The Evaluation Process

At the end of the rating year, you must assess each employees performance as it relates to the performance elements and performance measures in the performance plan. You will recall that during STEP FIVE of the development of a performance plan, you identified when and how you would obtain performance feedback as it relates to the employees established performance elements. Since you are continually reviewing, evaluating and providing feedback to the employee during the rating year, you should be well on your way to assessing the employees overall performance for the rating year. However, prior to evaluating the employees performance, you should also encourage every employee you supervise to give you a self assessment, including specific examples of how s/he met the performance elements and standards. This will further assist you in assigning the employee an overall rating of record for the rating year. Evaluating the Data Now that you should have all of the relevant information you need to measure the employees performance, you need to review the fully successful standard that you established for each performance standard and determine how the employees actual work performance during the rating year compares with this standard. Remember that after you have measured the employees actual work performance against the fully successful standard, you are going to have to determine the most appropriate level of achievement to be assigned to each element based upon your overall assessment of the standards within the element. These levels are:

Exceptional

Fully Successful

Less than Fully Successful

When you are evaluating the employees actual work performance, remember that exceeding the Fully Successful level of performance for individual performance standards does not necessarily result in assignment of the Exceptional level of achievement for the whole element. As stated earlier in this workbook, VA policy requires that in order to be assigned an overall Exceptional level of achievement for a performance element the employee must significantly surpass all Fully Successful performance standards for the element and the performance in the element must far exceed normal expectations and result in significant contribution to the organization.

Three things to focus on when evaluating the employees overall performance in each element are:

1) Making the connection between what s/he has accomplished as it applies to each element and explain how it contributes to the success of the organization. You should look at the organizational goals and objectives that are related to each performance element and discuss how his or her performance supported those specific goals.2) Giving specific examples of how the employee met or exceeded the standard. Avoid broad generalizations such as S/he regularly completed important assignments in advance. Instead, you should list the specific projects or assignments that s/he completed in advance and discuss how these results benefited the organization in a significant way. 3) Identifying and discussing any personal (meaning relevant to his or her position) or organizational challenges that the employee was faced with and overcame during the rating period. This may include his or her ability to accomplish a particular project given the limited resources or presence of difficult circumstances.The evaluation is not an exercise in fancy writing and does not need to document everything the employee did during the appraisal period. Rather, you should provide information regarding the most significant contributions and performance results that relate directly to his or her performance plan and if the employees work exceeds the fully successful level, give sufficient information to justify this conclusion.Here are some questions that you might want to ask for each performance element:

What is the purpose of this element and which organizational goal or objective does it support?

What significant or most noteworthy accomplishment did the employee achieve that relates to this performance element?

Describe it in sufficient detail:

How did this accomplishment contribute to the success of the organization?

Were there any specific challenges that the employee overcame in accomplishing this achievement?

The example on the next page shows the data the supervisor gathered as well as other information regarding the employees performance during the rating year that will assist him or her in determining the overall achievement level to assign the element. A blank form for your use is available in Appendix C of this workbook.PERFORMANCE ELEMENTPERFORMANCE MEASURESFULLY SUCCESSFUL STANDARDSDATA COLLECTEDOTHER CONSIDERATIONS

Manages patient safety program for service.

1. Employees are fully trained on all safety rules and policies.

1a. Safety training completed for all new employees within 30 days of EOD with no more than 5 instances of failure to meet this standard during the rating period.

1b. All current employees are notified of required training at least once each quarter.

1c. Supervisors notified of delinquent employees within 5 days of employees failure to complete required training. 1a. 90% of training conducted within 5 days of EOD. No instances of failure.

1b. No instances of failure to meet this standard

1c. 95% of notifications made with 2 days. No instances of failure.Wrote SOP for service. Trained coworker as alternate. Created tracking database.

Employees attending training as required and number of accidents reduced.

2. Accident reports are completed within the timeframe required.

2a. Accident reports are completed accurately with less than 5 errors per rating period.

2b. Accident reports are submitted to Chief in final form within 5 days of incident with no more than 2 valid instances during rating period of failure to meet this deadline.2a. Only one minor error noted with no negative impact.

2b. 90% of reports submitted within 3 days of incident. No instances of failure.Worked with Workers Comp Specialist to improve report format to facilitate more efficient submission of OWCP claims.

In addition, the supervisor can use the following format to ensure enough justification is provided to warrant the assignment of Exceptional to the performance element.

Performance Element: Manages patient safety program for service.

#1Describe significant accomplishments that relate to this performance element?

Describe it in sufficient detail: Significantly exceeded all deadlines in that 90% of new employee safety training was conducted within 5 days of EOD instead of the required 30 days.How did this accomplishment contribute to the success of the organization?

VHA Strategic Goal - Continuously improve the quality and safety of health care for veterans, particularly in those health issues associated with military service. Timely training ensures that new employees are fully aware of the most current safety methods, procedures and concerns that need to be addressed in a health care environment for the safety of the veteran patient.Were there any specific challenges that were overcome in accomplishing this achievement? Requires frequent reminders to supervisors so they will ensure new employees are scheduled to attend and actually do attend the training sessions.Writing the EvaluationUnder VA policy you must submit a final evaluation of the employees performance using VA Form 0750 for Title 5 or Title 38 hybrid employees, except performance appraisals for VHA supervisors who would be evaluated on VA Form 3482e. If you have determined that the employees performance warrants a rating other than fully successful, you must provide appropriate justification to support the assigned rating. Therefore, should you determine that an employee has achieved an Exceptional achievement level in one or more performance elements, the justification that you provide to establish this level of achievement is sufficient to support the employees overall performance rating since it is calculated based on the performance achievement levels you assign to all critical and non-critical elements. Additionally, this justification should also be sufficient to justify recommending the employee for a performance award if you chose to do so. A blank form for your use is available in Appendix C of this workbook.

Discussing the Rating

All employees are entitled to meet with their supervisor to discuss their overall rating for the rating year and receive a copy of the appraisal form. This is your opportunity to give valuable feedback to the employees you supervise.

Just like other performance discussions, you should be prepared and use this opportunity to discuss the employees past performance and give information regarding how s/he can improve or what areas to focus on in the next rating year. Below are some topics you should consider discussing with an employee during a performance discussion about his or her annual rating.

What you consider to be his or her most important or significant accomplishment during the past rating year. Suggest steps the employee can take to improve his or her evaluation. Consider whether or not the performance plan needs to be revised and if so, ask the employee to submit input to you regarding suggested elements and performance standards.

Discuss the highest priorities for the organization and work unit during the next rating year. Discuss what you see as the employees top priorities for the next rating year. Give the employee three challenges (technical or interpersonal) for the next rating year.A blank form for your use is available in Appendix D of this workbook.

APPENDICES

Appendix A SIX STEPS to Developing Results-Oriented Performance Elements and Standards

STEP ONE

Identify organizational goals and objectives. STEP TWO

Identify work unit products or services that directly contribute to the achievement of organizational goals and objectives.

(STRATEGIC ALIGNMENT)(PERFORMANCE ELEMENTS)

1.

2.

3.

4.

Complete this form for EACH performance element.

STEP TWO

List work unit products or services that directly contribute to organizational goals and objectives.STEP THREE

Identify general factors or measures that will be used to define success, i.e. timeliness, cost effectiveness, etc. STEP FOUR

Describe the Fully Successful level of performance

STEP FIVEDescribe where, when and how performance feedback will be obtained, i.e. reports, observation, etc.

PERFORMANCE ELEMENTPERFORMANCE MEASUREFULLY SUCCESSFUL STANDARDSFEEDBACK

1. a.

b.

c.

d.

e.

Appendix B

QUESTIONS: List comments and information you want to convey to the employee during the mid-year review as well as questions you have when you meet to discuss his or her performance plan. Your comments and questions should be specific to the performance elements and standards.

1. __________________________________________________

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2. __________________________________________________

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3. __________________________________________________

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4. __________________________________________________

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9. __________________________________________________

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10. _________________________________________________

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Appendix C Evaluating the Data

PERFORMANCE ELEMENTPERFORMANCE MEASURESFULLY SUCCESSFUL STANDARDSDATA COLLECTEDOTHER CONSIDERATIONS

WORKSHEET: This worksheet may be used to assist you in organizing and preparing an evaluation. Complete this worksheet for each element in the employees performance plan (make additional copies of this worksheet as necessary). You may convert this outline into a narrative format for inclusion with the performance appraisal or submit these worksheets.

Performance Element: _______________________________________________

Describe significant accomplishments that relate to this performance element?

#1Describe it in sufficient detail: ____________________________________

_________________________________________________________________

How did this accomplishment contribute to the success of the organization?

_________________________________________________________________

Were there any specific challenges that were overcome in accomplishing this achievement? _________________________________________________________________

#2Describe it in sufficient detail: _________________________________________

_________________________________________________________________

How did this accomplishment contribute to the success of the organization?

_________________________________________________________________

Were there any specific challenges that were overcome in accomplishing this achievement? _________________________________________________________________#3Describe it in sufficient detail: _________________________________________

_________________________________________________________________How did this accomplishment contribute to the success of the organization?

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Were there any specific challenges that were overcome in accomplishing this achievement? _________________________________________________________________Appendix D Discussing the RatingNOTES: Keep notes of comments or suggestions you will make when you meet with a employee to discuss his or her performance rating, including any notes regarding particular challenges and opportunities for excellence that were discussed for the next rating year.

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Establish

Strategic Alignment

STEP ONE

Identify relevant organizational goals and performance objectives.

1. ___________________

___________________

2. ___________________

___________________

3. ___________________

___________________

STEP THREE

Identify factors and measures used to define successful outcomes or results.

General Measures

1. ___________________

___________________

2. ___________________

___________________

3. ___________________

___________________

STEP ONE

Identify Organizational Goals and Performance Objectives.

Establish

Strategic Alignment

1. ___________________

___________________

2. ___________________

___________________

3. ___________________

___________________

STEP TWO

Identify the work of the unit that directly contributes to the achievement of goals and objectives.

1. ___________________

___________________

2. ___________________

___________________

3. ___________________

___________________

Performance

Elements

Revisions to Performance

Plans

STEP FIVE

Evaluate and Revise Performance Plans

1. ___________________

___________________

2. ___________________

___________________

3. ___________________

___________________

STEP TWO

Identify the work of the unit that directly contributes to the achievement of goals and objectives.

1. ___________________

___________________

2. ___________________

___________________

3. ___________________

___________________

Performance

Elements

STEP SIX

Evaluate and Revise

STEP THREE

Identify factors or measures used to define successful outcomes or results.

1. ___________________

___________________

2. ___________________

___________________

3. ___________________

___________________

General Measures

STEP FOUR

For each factor or measure, describe the Fully Successful level of performance.

1. ___________________

___________________

2. ___________________

___________________

3. ___________________

___________________

Fully Successful Standards

Performance Feedback

1. ___________________

___________________

2. ___________________

___________________

3. ___________________

___________________

STEP FIVE

Identify when and how performance feedback will be obtained.