Lesson 4 NSPS in Action

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Lesson 4NSPS in Action
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Lesson Objectives

• After completing this lesson you will be able to
• Describe the NSPS performance management system
  in detail.
• Write and work with SMART objectives.
• Explain the performance evaluation process,
  including appraising, rating, and rewarding.
• Explain how the pay pool process and the
  performance management cycle affect each other.

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Two Interwoven Processes
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Performance Management Players

• Employees
• Rating officials (usually managers/supervisors)
• Pay pool manager
• Pay pool panel members
• Sub-pay pool managers (possible)
• Sub-pay pool panel members (possible)
• Performance Review Authority (PRA)

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Relationship Between the Players
PRA
Oversees process
Pay pool
Pay pool
Sub-pay pools
Sub-pay pools
Evaluation recommendations

• Structural information

Rating officials

• Mission and goals

• Pay pool calendar

• Pay band data

Publish Information
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Organizational Structure with Pay Pool Panel
PRA

• Sample organization
• with
• roles

Pay Pool Panel
DirectorPay Pool Manager
Division Chief Pay Pool Panel Member
Division Chief Pay Pool Panel Member
Branch Chief Rating Official
Branch Chief Rating Official
Branch Chief Rating Official
Branch Chief Rating Official
Branch Chief Rating Official
Employee
Employee
Employee
Employee
Employee
Employee
Employee
Employee
Employee
Employee
Employee
Employee
Employee
Employee
Employee
Employee
Employee
Employee
Employee
Employee
Employee
Employee
Employee
Employee
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Sub-Pay Pool Panel Structure

• Example Sub-Pay Pools that follow Organizational
  Structure

Director
Sub-Pay Pool Panel B
Sub-Pay Pool Panel A
Sub-Pay Pool Manager
Sub-Pay Pool Manager
Sub-Pay Pool Panel Member
Sub-Pay Pool Panel Member
Sub-Pay Pool Panel Member
Sub-Pay Pool Panel Member
Sub-Pay Pool Panel Member
Employee
Employee
Employee
Employee
Employee
Employee
Employee
Employee
Employee
Employee
Employee
Employee
Employee
Employee
Employee
Employee
Employee
Employee
Employee
Employee
Employee
Employee
Employee
Employee
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NSPS Performance Management

• The first of two journeys through the system
• Job objectives are the spine of the NSPS
  performance management system.
• Lets trace the structure

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What Are Job Objectives?
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Requirements for Job Objectives

• For managers For employees

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What Are SMART Objectives?
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Sample Job Objective

• Example 1
• Help my supervisor develop a spreadsheet that
  allows easy comparison of individual travel
  expenses across our work team.

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Sample Job Objective

• Example 2
• Develop standard operating procedures for the
  newly acquired mail sorting tool for release no
  later than the end of FY07. By July 30, 2007,
  revise no less than 80 of existing procedures to
  reflect the impact of the new system.

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Sample Job Objective

• Example 3
• Independently develop at least 10 IDPs for
  various employees. Independently created IDPs
  will be reviewed by a Senior HR Specialist with
  no less than 85 accuracy measured against the
  IDP requirements matrix.

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Tips For Writing SMART Objectives

• Not a style or composition competition.
• Capture key elements in using and applying the
  SMART framework.
• Sequence.
• Consider
• Milestones
• Self-management tool

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Exercise Part 1

• Step 1 Write one job objective for your job or
  someone who works for you.
• Step 2 Discuss selected participants examples.

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Exercise Part 2

• Step 3 Revise supervisory job objective below
  and align it to your organizational or mission
  goals.
• Implementation of NSPS is at 80 percent by
  September 30, 2007.

Performance Management for Managers/Supervisors NS
PS in Action
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Criteria for Good Job Objectives
Large Buckets
SalaryAppropriate
ResultFocused
Lineof Sight
SMART
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Distinguishing Performance

• Several criteria distinguish the levels of
  performance
• Effort
• Complexity
• Achievement
• Quality of outcome
• Independence
• Level of skill and expertise
• Motivating and modeling behavior for others

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Assessing Performance

• Accomplishments towards each objective are
  measured by using
• Performance Indicators.

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Performance Indicators

• What are Performance Indicators?
• Descriptions of levels or thresholds of employee
  performance
• Applied in the rating of job objectives
• Standardized across the DoD
• Benchmarks defined at level 3 and level 5
  performance

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Levels of Performance

• Rating Job Objectives

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Performance Indicator Example
Example for Performance Indicator
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Performance Indicators

• Different Performance Indicators for
• Pay Schedules
• Pay Bands
• Supervisors

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Contributing Factors

• What are Contributing Factors?
• Significant attributes of job performance
• Further defined by
• Work behaviors
• Benchmark descriptors
• Standardized throughout DoD
• Selection guided by contribution to the
  accomplishment of the job objective

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List of Contributing Factors

• Technical Proficiency
• Critical Thinking
• Cooperation and Teamwork
• Communication
• Customer Focus
• Resource Management
• Leadership

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Requirements for Contributing Factors

• For manager For employee

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Rating Contributing Factors

• Contributing Factors are evaluated using
  benchmark descriptors appropriate for the
  employees pay schedule and pay band.
• Benchmarks are described at the Expected
  performance and Enhanced performance levels for
  each contributing factor.
• Job objective ratings can be adjusted by one
  point in either direction, based on all
  contributing factors for each objective.

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Contributing Factors Benchmark Example
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Contributing Factors Effect on Rating
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Contributing Factors Special Situations

• A job objective rating of 1 cannot be adjusted.
• A job objective rating of 2 cannot be adjusted
  down.
• A job objective rating of 5 cannot be adjusted
  up.

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Rating Process

• Summary of Rating Process

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Next Steps in Determining the Rating

• Average the adjusted ratings.
• Round the result as shown below

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Rewarding

• Shares in the pay pool are awarded as shown in
  the table
• Share ranges allow further distinction between
  levels of contribution.
• Estimated share value is shown as percentage of
  salary.

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Performance Payout

• Performance payout may be paid as a
• Base salary increase.
• Bonus.
• Combination of the two.
• Considerations in deciding the distribution are
• Position in pay band.
• Motivational effect.
• Salary and work in comparison with colleagues.
• Competitive market comparisons.
• Employees returning from overseas civilian
  service.

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General Rules

• Requirements
• There are a minimum of 90 days performance in an
  appraisal period.
• Rating period may be extended in limited
  circumstances.
• Special Situations
• A closeout assessment is issued if an employee
  changes positions or supervisors during the
  cycle.
• Use of similar objectives allows better use of
  the closeout assessment in the final rating.
• An early annual recommended rating occurs when a
  manager or employee leaves a position within 90
  days before the end of the cycle.
• Special purpose ratings document improvements in
  performance from Level 1.

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Overall Process and Responsibilities
Supervisor provides
feedback to employee
Rating of record Number
of shares Payout
distribution
Pay pool panel reconciles
recommend-ations
Pay pool manager
authorizes rating and payout
Supervisor recommendations
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Reconsiderations
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Review

• Are there questions on
• Job Objectives?
• Contributing Factors?
• Performance Indicators?
• Rating?
• Rewarding?

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NSPS Performance Management

• The second journey through the system

Plan
Reward

Monitor
Rate
Develop
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Performance Conversations

• Conversation 1
• Performance Plan
• Establish performance expectations
• Align employee objectives with organizational
  goals

• RECOMMENDED
• End-of-Cycle Review
• Review employee self-assessment
• Gather data for written appraisal

• Conversation 2
• Interim Review
• Check progress
• Provide feedback
• Make course corrections

• Conversation 3
• Annual Appraisal
• Review written appraisal
• Communicate rating of record and performance
  payout

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Performance Management Plan Phase Activities

• Main Elements of Planning
• Establish expectations.
• Establish a written performance plan
• Identify and discuss objectives.
• Select Contributing Factors.
• Receive higher-level approval for the performance
  plan.
• Identify developmental needs.
• Establish a means for ongoing dialogue about
  performance.

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Pay Pool Process Plan Phase

• Setup/revise the structure.
• Publish relevant information.
• Establish timelines.
• Conduct a pay pool assessment.
• Assess training needs.

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Performance Conversations

• Conversation 1
• Performance Plan
• Establish performance expectations
• Align employee objectives with organizational
  goals

• RECOMMENDED
• End-of-Cycle Review
• Review employee self-assessment
• Gather data for written appraisal

• Conversation 2
• Interim Review
• Check progress
• Provide feedback
• Make course corrections

• Conversation 3
• Annual Appraisal
• Review written appraisal
• Communicate rating of record and performance
  payout

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Monitor
Adjusting PerformancePlan

• Main Elements

MaintainRecords
Dialogue Feedback
PerformanceConversations
AddressingPerformanceDeficiencies
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Adjusting Performance Plans
What happens when something changes?
VIDEO Adjusting Performance Plans
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Adjusting a Performance Plan

• Guidelines for changing the performance plan
• Performance plans may be changed during the year.
• Objectives and contributing factors may be
  changed together or separately.
• The employee should have sufficient time before
  the end of cycle to work towards a new
  performance plan.
• Best practice no changes in performance plan
  after mid-cycle review.
• No bait and switch.

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Addressing Performance Deficiencies

• Options
• Remedial training
• Mentoring
• Coaching
• Reassignment
• Performance Improvement Plan
• Letter of counseling
• Verbal or written warning
• Written reprimand
• Adverse action

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Dialogue and Feedback

• Options
• Ongoing throughout the year
• Acknowledge accomplishments
• Reinforce positive behaviors
• Anticipate and address difficulties
• Remedy shortfalls

more in later lessons
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Guidelines for Maintaining Records

• Contributions
• Highlight overall performance by detailing most
  significant achievements for the year.
• Make the connection between what was done and why
  that should matter to the organization.
• Cite instances where actions reflected those
  listed in the Benchmark Descriptors for selected
  Contributing Factors.

• Context
• Restate your understanding of objectives and
  Contributing Factors.
• Challenges
• Note challenges that were encountered and how
  they were handled.
• Note areas for continuing development or for
  improvement.

Monitor
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Pay Pool Process Prepare Phase

• Build a shared understanding of the performance
  levels.
• Revise the process.
• Conduct a mock pay pool.

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Developing Options

• Meaningful performance-related discussion
• Mentoring and coaching
• Classroom training
• Participation in process-improvement teams
• Details and reassignments

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Performance Conversations

• Conversation 1
• Performance Plan
• Establish performance expectations
• Align employee objectives with organizational
  goals

• RECOMMENDED
• End-of-Cycle Review
• Review employee self-assessment
• Gather data for written appraisal

• Conversation 2
• Interim Review
• Check progress
• Provide feedback
• Make course corrections

• Conversation 3
• Annual Appraisal
• Review written appraisal
• Communicate rating of record and performance
  payout

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End-of-Cycle Review Elements

• Enable manager to decide on ratings.
• Review employee self-assessment.
• Understand accomplishments and contributions.
• Gather additional information regarding employee
  performance.
• Offer feedback for continuing success and
  development.

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Pay Pool Process Pay Phase

• Reconcile ratings and payout decisions.
• Communicate the decisions.
• Ensure that pay is allocated appropriately.

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Performance Conversations

• Conversation 1
• Performance Plan
• Establish performance expectations
• Align employee objectives with organizational
  goals

• RECOMMENDED
• End-of-Cycle Review
• Review employee self-assessment
• Gather data for written appraisal

• Conversation 2
• Interim Review
• Check progress
• Provide feedback
• Make course corrections

• Conversation 3
• Annual Appraisal
• Review written appraisal
• Communicate rating of record and performance
  payout

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Performance Appraisal Application (PAA)

• Electronic support tool accessed by My Biz and
  My Workplace.
• Developed to help employees and supervisors
  manage performance.
• Streamlines processes.
• Automates documentation requirements.
• Different permission levels, ID and password
  secure.
• User Guide available.
• Sections for both the employee and the rating
  official

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PAA My Biz

• My Biz (Employees access)
• Initiate or participate in the development of
  your performance plan.
• View and edit information related to your plan.
• Enter job objectives, self-assessments, and other
  information related to your plan and appraisal.
• Route information to your rating official.
• Acknowledge that performance-related results have
  been communicated to you.

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PAA My Workplace

• My Workplace (Rating Officials access)
• Initiate and edit information related to your
  employees performance plans.
• Enter job objectives, assessments, and other
  information related your employees plans and
  appraisals.
• Route plan and appraisal information to your
  employees.
• Submit recommended ratings.
• Edit ratings.
• Change rating official assignments.

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Review
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Questions