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Performance Management Appraisal Program

Indian Health ServicePart 7, Chapter 7

Indian Health Manual

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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.

What is Performance Management?

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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;

Performance Management….How important is it?

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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.

Performance Management(continued)

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Who’s Covered/Who’s NotCovered Not Covered

Civil Service Employees

All USPHS Commissioned Officers

All Non-SES managers, supervisors, and team leaders

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

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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.

Who’s Not Covered cont

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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.

CO’s and PMAP

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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.

Civil Service PMAP Timeframes

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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.

Establishing a Performance Plan

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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.

Elements, Standards & Activities

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SMART Method

SPECIFIC

Goals and Expectations are clearly stated and direct

MEASURABLE

Outcomes are being achieved in comparison to a standard.

ATTAINABLE

Goals and outcomes must be achievable and realistic.

RELEVANT

Goals have a bearing on the organization’s overall direction.

TIMELY

Results are measured in terms of deadlines, due dates, schedules, or cycles.

Developing Critical Elements

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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.

Levels of Performance – Level 5Achieved Outstanding Results (AO)

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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;

Examples of Level 5

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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.

Examples of Level 5

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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.

Levels of Performance - Level 4 Achieved More Than Expected-AM

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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;

Examples of Level 4

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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.

Level 4 Examples - Continued

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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.

Levels of Performance- Level 3 Achieved Expected Results (AE)

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Acquires new skills and knowledge to meet assignment requirements;

Resolves operational challenges and problems without assistance from higher-level 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;

Examples of Level 3

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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.

Levels of Performance- Level 2Partially Achieved Expected Results

(PA)

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◦ 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.

Examples of Level 2

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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.

Levels of Performance – Level 1Achieved Unsatisfactory

Results (UR)

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◦ 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.

Examples of Level 1

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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.

PMAP Implementation

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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.

Implementation continued

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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.

Monitoring Performance

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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.

Monitoring Performance - cont

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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.

Monitoring Performance

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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.

Rating Performance – End of Appraisal Period

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Rate each Element (Administrative and Individual Performance Outcomes) based on employee performance data and performance standards.

Rating Performance

Critical Element Ratings Points Assigned

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

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Average the Score. Total points/number of critical elements (up to two decimal places).

Preparing the Summary Rating

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 (PA)

2.00 to 2.99

Level 1: Achieved Unsatisfactory Results (UR)

1.00 to 1.99

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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.

Exceptions to Mathematical Formula

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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.

Extending the Appraisal Period

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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.

Disagreement with Rating

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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.

Performance Awards

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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).

Actions based on Achieved Outstanding Results

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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).

Actions Based on Achieved More than Expected Results (AM)

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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).

Actions based on Achieved Expected Results (AE)

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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.

Actions based on Partially Achieved Expected Results (PA)

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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.

Actions based on Unsatisfactory Results (UR)

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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)

Individual Development Plan

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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.

Recordkeeping and Record Uses

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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.

PMAP File Maintenance

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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.)

Using PMAP Ratings – FYI

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Learning Management System: Various no-cost 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/hhs-704b_5tier.pdf

Servicing Human Resources Office

Tools