Lesson 5: Monitoring Performance DPMAP Rev.2 July 2016

Lesson 5: Monitoring Performance DPMAP Rev.2 July 2016 ITS NOT ABOUT TH 365 AY ITS NOT ABOUT THE 365 TH DPMAP Rev.2 July 2016 (2) Learning Objectives Upon completion of this lesson, you will be able to: 1. Identify key aspects of the Monitoring Phase. 2. Explain the value of monitoring performance continually.

3. Explain the process used to address performance issues. 4. Identify elements of a formal Performance Improvement Plan (PIP). ITS NOT ABOUT THE 365 TH DPMAP Rev.2 July 2016 (3) Performance Management Performance management is an ongoing process consisting of: Planning work and setting expectations Monitoring performance continually Evaluating

performance in a summary fashion Recognizing and rewarding good performance PLANNING EVALUATIN G PERFORMANCE MONITORING MANAGEMENT RECOGNIZING AND REWARDING

ITS NOT ABOUT THE 365 TH DPMAP Rev.2 July 2016 (4) Monitoring Performance Monitoring The ongoing assessment of performance compared to the stated expectations and ongoing feedback to employees on their progress toward reaching their goals DODI Instruction 1400.25, Vol. 431 ITS NOT ABOUT THE 365 TH DPMAP Rev.2 July 2016

(5) Monitoring Performance Monitoring Phase Two-Way Communication Emphasize Organizational Goals Frequent Performance Discussions Focus on Performance Timely Recognition and Rewards Early Detection of Performance Issues ITS NOT ABOUT THE 365 TH DPMAP Rev.2 July 2016 (6) Monitoring Phase Roles and Responsibilities

Supervisors Continuously communicate; provide encouragement, meaningful feedback, and recognize accomplishments Provide employees an opportunity to highlight their successes relative to the performance elements and standards Identify needed changes to performance elements as appropriate Review IDPs to identify development opportunities Identify employees skills and abilities, and look for opportunities to further develop them Document performance discussions Recognize and reward performance throughout the performance appraisal cycle TH ITS NOT ABOUT THE 365 DPMAP Rev.2 July 2016

(7) Monitoring Phase Roles and Responsibilities Employees Ask questions Engage in self-development Keep supervisor informed on outcomes Provide input during performance discussions Identify changes to performance elements as appropriate Identify challenges impeding ability to be successful Work with supervisor to find solutions to barriers to success Keep a record of their accomplishments so that they are able to discuss them throughout the cycle ITS NOT ABOUT THE 365 TH DPMAP Rev.2 July 2016

(8) Effective Communication Effective communication includes two-way, ongoing, and meaningful feedback that contributes to the overall success of the employee and the organization Individual performance expectations are linked to organizational goals Each employee is responsible for individual success Employees and supervisors openly discuss individual performance goals and expectations ITS NOT ABOUT THE 365 TH DPMAP Rev.2 July 2016

(9) Elements of Effective Communication What are the elements of effective communication between supervisors and employees? Continuous, meaningful feedback on employees strengths and areas for improvement Guidance on employees projects and responsibilities Active listening Expanded perspective for supervisor ITS NOT ABOUT THE 365 TH DPMAP Rev.2

July 2016 Upward Feedback Upward feedback from employee to supervisor can benefit both supervisors and employees in an effective performance management program Upward feedback: Strengthens working relationships between supervisors and employees Improves two-way communication Increases morale and job satisfaction Enhances organizational goal achievement Identifies and helps to remove barriers Encourages proactive engagement Allows for jointly consideration of the bigger picture ITS NOT ABOUT THE 365 TH DPMAP Rev.2 July 2016

Discussion: Benefits of Continuous Performance Conversations What are the benefits of having continuous performance discussions? ITS NOT ABOUT THE 365 TH DPMAP Rev.2 July 2016 Barriers to Performance Success Internal Motivation, perception, competence, worklife imbalance . . . External Resources, training and development,

unclear standards, lack of meaningful feedback . . . Systemic Disparate treatment, lack of supervisor accountability, inconsistent recognition and award system . . ITS . NOT ABOUT THE 365 TH DPMAP Rev.2 July 2016 Class Exercise: Overcoming Barriers List three barriers employees may face in achieving a fully successful or above rating For each barrier identified, suggest a mitigating action. Share your thoughts with the rest of the class

ITS NOT ABOUT THE 365 TH DPMAP Rev.2 July 2016 Revise the Performance Plan in the Monitoring Phase Organizational goal or mission changes Assignment(s), position, or duties change Revise when: Outside influences beyond an employees control make the original performance standards unachievable Assumptions about what can reasonably achieved during

performance appraisal cycle changed be the NOTE: Minimum 90 day employee monitoring period for new/changed elements per DOD 1400.25 Vol 431, 3.2.d ITS NOT ABOUT THE 365 TH DPMAP Rev.2 July 2016 Avoiding Year-End Surprises Continuous performance discussions help ensure clear understanding of outcomes at the final performance appraisal discussion. The overall goal is mutual understanding between employee and supervisor helps eliminate surprises at the final performance appraisal discussion

ITS NOT ABOUT THE 365 TH DPMAP Rev.2 July 2016 Communicating Achievements Employee input is strongly encouraged to ensure supervisors have a full range of information when evaluating employee accomplishments Employee input should: Identify accomplishments in a clear, concise manner Describe how accomplishments relate to the performance elements and standards Demonstrate how accomplishments contributed to organizational goals

ITS NOT ABOUT THE 365 TH DPMAP Rev.2 July 2016 Addressing Issues: Informal Feedback First step in addressing performance issues Informal feedback may take several forms Steps for effective informal feedback are: State what has been observed using facts, not emotions Describe how the performance fails

to meet standards Wait for a response (let them talk) Ask for a solution; give suggestions if needed Agree on a solution together Set a follow-up date and time Make sure you document everything! ITS NOT ABOUT THE 365 TH DPMAP Rev.2 July 2016 Checklist: Communicating Performance Expectations Are you sure the issue is primarily a performance problem (as opposed to misconduct)? Have you communicated

performance standards to the employee? Are the standards clear and reasonable? Have you asked the human resources staff to review the standards for any possible problems? Have you given the employee specific examples of when their work did not meet standards? ITStheNOT ABOUT THE 365 TH DPMAP Rev.2 July 2016

Early Intervention Is Key Feedback and assistance should be provided to employees early on, whenever there is a need for improvement or when there is a decline in performance What actions should be taken? ITS NOT ABOUT THE 365 TH DPMAP Rev.2 July 2016 Steps to Addressing Performance Issues 1. Clearly identify unacceptable performance 2. Offer assistance 3. Provide an opportunity to

improve ITS NOT ABOUT THE 365 TH DPMAP Rev.2 July 2016 Steps to follow for Addressing Performance Issues Provide scheduled performance discussions; Identify and document performance deficiencies; Counsel employee on performance deficiencies; Provide time for improvement *If still unacceptable, consider a PIP If still unacceptable, personnel action may result

*NOTE: refer to Collective Bargaining Agreements, and contact HR before taking this step ITS NOT ABOUT THE 365 TH DPMAP Rev.2 July 2016 How Employees Can Improve Performance? Ask clarifying questions Ask for specific examples of Fully Successful performance Request additional job-related training or assistance Adhere to responsibilities outlined in the PIP document; actively seek assistance when needed

ITS NOT ABOUT THE 365 TH DPMAP Rev.2 July 2016 Formal Feedback: 8 Tips for Effective Counseling Sessions 1. Clearly communicate what acceptable performance looks like 5. Focus on the performance issues 2. Conduct the counseling session in an

appropriate setting 6. Leave emotions out of the conversation 3. Plan for enough time and document the session 7. Seek cooperation , NOT confrontatio n ITS NOT ABOUT THE 365 TH

4. Make sure the employee understands performance expectations 8. The mutual goal is to improve the employee's performance DPMAP Rev.2 July 2016 Formal Feedback Writing the PIP The Performance Improvement Plan (PIP) must include, in writing: Element(s) in which performance is Unacceptable and a description of the unacceptable performance

A description of what acceptable performance looks like The time allowed for the opportunity to improve A statement of the possible consequences of failure to improve during the opportunity period The assistance the Agency is offering the employee to improve unacceptable performance If the employee fails to demonstrate performance at the Fully Successful level despite the PIP, the employee may be reduced in grade or removed from Federal service CALL EMPLOYEE RELATIONS FOR GUIDANCE PRIOR TO INITIATING A PIP ITS NOT ABOUT THE 365 TH DPMAP Rev.2 July 2016 Exercise: Improving Performance Scenario Review the case study and discuss with the rest of the class appropriate methods for immediately addressing performance that deviates from an acceptable level

Share your thoughts with the rest of the class ITS NOT ABOUT THE 365 TH DPMAP Rev.2 July 2016 Scenario: Exercise: Improving Performance Scenario An employee is turning in work late on a regular basis The employee has been on the performance plan for more than 90 days ITS NOT ABOUT THE 365 TH DPMAP Rev.2 July 2016

Exercise: Scene 1 Taking immediate action, the supervisor notes that the employees performance plan includes a standard that work be performed in a timely manner Supervisor schedules a meeting with employee ITS NOT ABOUT THE 365 TH DPMAP Rev.2 July 2016 Exercise: Scene 2 The supervisor meets with the employee privately and

discusses the missed deadlines, the performance plans requirement, and the employees unacceptable performance You have been late turning in your report for the past four weeks. Your performance plan states that you need to complete tasks on time. ITS NOT ABOUT THE 365 TH DPMAP Rev.2 July 2016 Exercise: Scene 3

As a follow-up, the supervisor sends the employee an email summarizing (and documenting) their informal conversation. Performance Management is a COLLABORATION between Supervisors DPMAP Rev.2 July 2016 Exercise: Scene 4 The employee continues to miss deadlines. The supervisor provides the employee with additional feedback: a formal memorandum of counseling, specifically referencing the deadlines that have been missed. The supervisor attaches the message assigning the work and its deadline as well as the employees dated message with the final work product. The employees dated message is proof that the work product is late consistently.

Performance Management is a COLLABORATION between Supervisors DPMAP Rev.2 July 2016 Exercise: Scene 5 The employee still continues to miss deadlines. What does the supervisor do? Performance Management is a COLLABORATION between Supervisors DPMAP Rev.2 July 2016 Exercise Debrief: Improving Performance Scenario

Any final thoughts? Performance Management is a COLLABORATION between Supervisors DPMAP Rev.2 July 2016 Importance of Taking Immediate Action Failure to take immediate action with employee issues could mean: Damaging Office Morale Disciplinary Issues Creates issues with other employees;

projects image of ineffective leadership from supervisor Discipline issues are usually symptoms of performance issues ITS NOT ABOUT THE 365 TH DPMAP Rev.2 July 2016 Preventative Actions Communicate clear performance standards and

expectations to employees Reward and recognize good performance, informally and formally Provide continuous, meaningful feedback on performance Make full use of the probationary period for new employees

ITS NOT ABOUT THE 365 TH DPMAP Rev.2 July 2016 Learning Objectives Upon completion of this lesson, you will be able to: Identify key aspects of the Monitoring Phase. Explain the value of monitoring performance continually. Explain the process used to address performance issues. Identify elements of a formal Performance Improvement Plan (PIP). ITS NOT ABOUT THE 365 TH

DPMAP Rev.2 July 2016 Questions Are there any questions? ITS NOT ABOUT THE 365 TH DPMAP Rev.2 July 2016 Additional Resources DODI 1400.25, Volume 410, DoD Civilian Personnel Management System: Training, Education, and Professional Development.

DODI 1400.25, Volume 431, DoD Civilian Personnel Management System: Performance Management and Appraisal Program DODI 1400.25, Volume 451, DoD Civilian Personnel Management System: Awards. Learning and Development Roundtable. Boosting the Effectiveness of Frontline Management (Washington D.C.: Corporate Executive Board, 2009). U.S. Department of Defense, Report of the New Beginnings Design Teams: Proposals and Recommendations for the Design of Personnel Authorities in Section 1113(d) of the National Defense Authorization Act for Fiscal Year 2010 (Washington D.C.: November 2011)

U.S. Merit Systems Protection Board, A Call to Action: Improving First-Level Supervision of Federal Employees, (Washington D.C: Government Printing Office, 2010). DCPAS Resources and References web site includes: DCPAS HR Toolkit, Tip Sheets and Checklist, MyPerformance Training Videos, and MyPerformance User Guides https://www.cpms.osd.mil/Subpage/NewBeginnings/ResourcesReferences/ DCPAS LERD web site: https://dodhrinfo.cpms.osd.mil/Directorates/HROPS/Labor-and-Employee-Relations/Pages/Home1.aspx ITS NOT ABOUT THE 365 TH DPMAP Rev.2 July 2016

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