1、A Handbook forMeasuringEmployeePerformance:Aligning Employee Performance Planswith Organizational GoalsWorkforceCompensationand PerformanceServiceUnited StatesOffice ofPersonnelManagementPMD-13March 1999This page left blank intentionally.Table of ContentsForeword.1Chapter 1 Performance Management:Ba2、ckground and Context.3Chapter 2 Distinguishing Activities From Accomplishments.11The Fable of the Beekeepers and Their Bees.11A Balanced Measuring System.15A Word About Categories of Work.16Chapter 3 Developing Employee Performance Plans.19Step 1 Look at the Overall Picture.23Step 2 Determine Work U3、nit Accomplishments.26Method 1:Goal Cascading Method.27Method 2:Customer-Focused Method.30Method 3:Work Flow Method.33Step 3 Determine Individual Accomplishments.37Step 4 Convert Accomplishments Into Performance Elements.41Step 5 Determine Measures.45Step 6 Develop Standards.50Step 7 Determine How t4、o Monitor Performance.58Step 8 Check the Performance Plan.63Chapter 4 Learning Aids.67Performance Measurement Quiz With Answers.67Quick Reference for Developing Performance Plans That Align With Organizational Goals.69Appendix A:Examples of Standards Written at Five Levels.73Appendix B:Examples of S5、tandards Written at Three Levels.77Appendix C:Examples of Standards Written at Two Levels.81This page left blank intentionally.A Handbook for Measuring Employee Performance1ForewordThis handbook is designed for Federal super-visors and employees and presents an eight-step process for developing empl6、oyeeperformance plans that are aligned with andsupport organizational goals.It also pro-vides guidelines for writing performance ele-ments and standards that not only meet regu-latory requirements,but also maximize thecapability that performance plans have forfocusing employee efforts on achieving o7、rga-nizational and group goals.The methods presented here are designed todevelop elements and standards that measureemployee and work unit accomplishmentsrather than to develop other measures thatare often used in appraising performance,such as measuring behaviors or competen-cies.Although this hand8、book includes a dis-cussion of the importance of balancing mea-sures,the main focus presented here is tomeasure accomplishments.Consequently,much of the information presented in the firstfive steps of this eight-step process applies when supervisors and employeeswant to measure results.However,the m9、ate-rial presented in Steps 6 through 8 aboutdeveloping standards,monitoringperformance,and checking the performanceplan apply to all measurement approaches.The handbook has four chapters and appendices:C Chapter 1 gives the background and con-text of performance management that youwill need to unde10、rstand before beginningthe eight-step process;C Chapter 2 defines accomplishmentswhich is key to using this handbook suc-cessfully;C Chapter 3 includes a detailed descriptionof the eight-step process for developingemployee performance plans that arealigned with and support organizationalgoals.C Chap11、ter 4 provides study tools,includinga followup quiz and a quick reference forthe eight-step process.C The appendices contain examplestandards that were written specifically forappraisal programs that appraise perfor-mance on elements at five,three,and twolevels.After reading the instructional materi12、al,studying the examples,and completing theexercises in this book,you should be able to:Cdevelop a performance plan that alignsindividual performance to organizationalgoals;Cuse a variety of methods to determinework unit and individual accomplishments;Cdetermine the difference between activi-ties an13、d accomplishments;andCexplain regulatory requirements for employee performance plans.Performance Management Practitioner Series2This page left blank intentionally.A Handbook for Measuring Employee Performance3Performance Management s Five Key ComponentsChapter 1Performance Management:Background and 14、ContextRemember the story about the naive studentin his first English literature course who wasworried because he didn t know what prosewas?When he found out that prose was ordinary speech,he exclaimed,“Wow!I vebeen speaking prose all my life!”Managing performance well is like speakingprose.Many man15、agers have been“speaking”and practicing effective performance manage-ment naturally all their supervisory lives,butdon t know it!Some people mistakenly assume that perfor-mance management is concerned only withfollowing regulatory requirements to appraiseand rate performance.Actually,assigningrating16、s of record is only one part of theoverall process(and perhaps the least impor-tant part).Performance management is the systematicprocess of:planning work and setting expectations,C continually monitoring performance,developing the capacity to perform,periodically rating performance in asummary fash17、ion,and rewarding good performance.The revisions made in 1995 to theGovernmentwide performance appraisal andawards regulations support“natural”performance management.Great care wastaken to ensure that the requirements thoseregulations establish would complement andnot conflict with the kinds of acti18、vities andactions effective managers are practicing as amatter of course.Performance Management:Background and ContextPerformance Management Practitioner Series4Planning.In an effective organization,work is planned out in advance.Planningmeans setting performance expectations andgoals for groups and19、 individuals to channeltheir efforts toward achieving organizationalobjectives.Getting employees involved inthe planning process will help them under-stand the goals of the organization,whatneeds to be done,why it needs to be done,and how well it should be done.The regulatory requirements for planni20、ngemployees performance include establishingthe elements and standards of their perfor-mance appraisal plans.Performance elementsand standards should be measurable,understandable,verifiable,equitable,andachievable.Through critical elements,employees are held accountable as individualsfor work assign21、ments or responsibilities.Employee performance plans should beflexible so that they can be adjusted forchanging program objectives and workrequirements.When used effectively,theseplans can be beneficial working documentsthat are discussed often,and not merelypaperwork that is filed in a drawer and s22、eenonly when ratings of record are required.Monitoring.In an effective organization,assignments and projects are monitoredcontinually.Monitoring well means consist-ently measuring performance and providingongoing feedback to employees and workgroups on their progress toward reachingtheir goals.Regul23、atory requirements for monitoring per-formance include conducting progress reviews with employees where theirperformance is compared against theirelements and standards.Ongoing monitoringprovides the supervisor the opportunity tocheck how well employees are meetingpredetermined standards and to make24、changes to unrealistic or problematicstandards.By monitoring continually,supervisors can identify unacceptable perfor-mance at any time during the appraisal periodand provide assistance to address such per-formance rather than wait until the end ofthe period when summary rating levels areassigned.De25、veloping.In an effective organization,employee developmental needs are evaluatedand addressed.Developing in this instancemeans increasing the capacity to performthrough training,giving assignments thatintroduce new skills or higher levels of responsibility,improving work processes,orother methods.Pr26、oviding employees withtraining and developmental opportunitiesencourages good performance,strengthensjob-related skills and competencies,and helpsemployees keep up with changes in theworkplace,such as the introduction of newtechnology.Carrying out the processes of performancemanagement provides an e27、xcellentopportunity for supervisors and employees toidentify developmental needs.While planningand monitoring work,deficiencies inperformance become evident and should beaddressed.Areas for improving good perfor-mance also stand out,and action can be takento help successful employees improve evenfur28、ther.Rating.From time to time,organizationsfind it useful to summarize employee per-formance.This helps with comparing perfor-mance over time or across a set of employees.Organizations need to know who their bestperformers are.Within the context of formal performanceappraisal requirements,rating mea29、ns eval-uating employee or group performanceagainst the elements and standards in an Performance Management:Background and ContextA Handbook for Measuring Employee Performance5A Note About Performance Plans:This handbook is about developing employeeperformance plans.However,there is another type of 30、performance plan that youneed to be aware of.The GovernmentPerformance and Results Act of 1993requires each agency to prepare an annualperformance plan covering each programactivity set forth in its budget.Theseorganizational performance plans:C establish program-level performancegoals that are obje31、ctive,quantifiable,andmeasurable;C describe the operational resourcesneeded to meet those goals;andC establish performance indicators to beused in measuring the outcomes of eachprogram.We will be using organizationalperformance plans during Step 1 of theeight-step process presented in thishandbook.O32、rganizational performanceplans are key in the process of aligningemployee performance with organizationalgoals.employee s performance plan and assigninga summary rating of record.The rating ofrecord is assigned according to proceduresincluded in the organization s appraisalprogram.It is based on wor33、k performedduring an entire appraisal period.The rating ofrecord has a bearing on various otherpersonnel actions,such as granting within-grade payincreases and determining additional retentionservice credit in a reduction in force.Rewarding.In an effective organization,rewards are used well.Rewardin34、g meansrecognizing employees,individually and asmembers of groups,for their performanceand acknowledging their contributions to theagency s mission.A basic principle of effective management is that all behavioris controlled by its consequences.Thoseconsequences can and should be bothformal and infor35、mal and both positive andnegative.Good managers don t wait for theirorganization to solicit nominations forformal awards before recognizing goodperformance.Recognition is an ongoing,natural part of day-to-day experience.Alot of the actions that reward goodperformance like saying“Thank you”don t requ36、ire a specific regulatory authority.Nonetheless,awards regulations provide abroad range of forms that more formalrewards can take,such as cash,time off,and many recognition items.Theregulations also cover a variety of con-tributions that can be rewarded,fromsuggestions to group accomplishments.Perfo37、rmance Management asProse.Good managers have beenspeaking and practicing effectiveperformance management all their lives,executing each key component processwell.They not only set goals and plan workroutinely,they measure progress toward thosegoals and give feedback to employees.Theyset high standar38、ds,but they also take care todevelop the skills needed to reach them.They also use formal and informal rewards torecognize the behavior and results thataccomplish their mission.All fivecomponents working together and supportingeach other achieve natural,effectiveperformance management.Employee Perfo39、rmance PlansEmployees must know what they need to doto perform their jobs successfully.Expectations for employee performance areestablished in employee performance plans.Employee performance plans are all of thePerformance Management:Background and ContextPerformance Management Practitioner Series6A40、 Note about Group or Team Performance:The term“group orteam performance”can be confusingsometimes.When we say that criticalelements cannot describe groupperformance,we are saying that thegroup s performance as a whole cannot beused as a critical element.This does notpreclude describing an individual41、 scontribution to the group as a criticalelement.The key to distinguishingbetween group performance and anindividual s contribution to the group isthat group performance is measured at anaggregate level,not for a singleemployee.An individual s contributionto the group is measured at theindividual em42、ployee level.written,or otherwise recorded,performanceelements that set forth expected performance.A plan must include all critical and non-critical elements and their performance stan-dards.Performance elements tell employees whatthey have to do and standards tell them howwell they have to do it.De43、veloping elementsand standards that are understandable,measurable,attainable,fair,and challenging isvital to the effectiveness of the performanceappraisal process and is what this handbookis all about.Federal regulations define three types ofelements:critical elements,non-critical ele-ments,and addi44、tional performance elements.Agency appraisal programs are required to usecritical elements(although the agency maychoose to call them something else),but theother two types can be used at the agency soption.Before continuing further with thishandbook,you should contact your humanresources office to 45、determine the types ofelements your appraisal program allows.Critical Elements.A critical element is anassignment or responsibility of suchimportance that unacceptable performance inthat element would result in a determinationthat the employee s overall performance isunacceptable.Regulations require46、 that each employee have at least one critical element inhis or her performance plan.Even though nomaximum number is placed on the number ofcritical elements possible,most experts in thefield of performance management agree thatbetween three and seven critical elements areappropriate for most work s47、ituations.Critical elements are the cornerstone ofindividual accountability in employee perfor-mance management.Unacceptable perfor-mance is defined in section 4301(3)of title 5,United States Code,as failure on one ormore critical elements,which can result in theemployee s reassignment,removal,orred48、uction in grade.Consequently,criticalelements must describe work assignments andresponsibilities that are within the employee scontrol.For most employees this means thatcritical elements cannot describe a group sperformance.However,a supervisor ormanager can and should be held accountablefor seeing 49、that results measured at the groupor team level are achieved.Critical elementsassessing group performance may be appro-priate to include in the performance plan of asupervisor,manager,or team leader who canreasonably be expected to command theproduction and resources necessary toachieve the results(50、i.e.,be held individuallyaccountable).Non-critical Elements.A non-criticalelement is a dimension or aspect ofindividual,team,or organizationalperformance,exclusive of a critical element,that is used in assigning a summary level.Important aspects of non-critical elements include:Performance Managemen51、t:Background and ContextA Handbook for Measuring Employee Performance7CNo Performance-based Actions.Failureon a non-critical element cannot be used asthe basis for a performance-based adverseaction,such as a demotion or removal.Onlycritical elements may be used that way.Moreover,if an employee fails52、 on a non-critical element,the employee sperformance cannot be summarized asUnacceptable overall based on that failure.CGroup Performance.Non-criticalelements are the only way an agency can include the group s or the team s perfor-mance as an element in the performanceplan so that it counts in the s53、ummary level.For example,team-structured organizationsmight use a non-critical element to plan,track,and appraise the team on achievingits goals.To do this,each team member sperformance plan would include the“team”element(i.e.,a non-critical element)andthe rating for the team on that elementwould be54、 counted in the summary level ofeach team member.CWhen They Can t Be Used.Non-criticalelements cannot be used in appraisalprograms that use only two levels tosummarize performance in the rating ofrecord.This is because they would haveno effect on the summary rating level and,by definition,they must 55、affect the summarylevel.(That is,in a two-level program,failure on non-critical elements cannotbring the summary level down toUnacceptable,and assessments of non-critical elements cannot raise the summarylevel to Fully Successful if a critical element isfailed.)CCan Greatly Affect the Summary Level.56、Sometimes the word“non-critical”is inter-preted to mean“not as important.”Prior to1995,this interpretation was prescribed byregulation.Now,however,depending onhow an appraisal program is designed,thisneed not be the case.Even thoughconsideration of non-critical elementscannot result in assigning an 57、Unacceptablesummary level,appraisal programs can bedesigned so that non-critical elements haveas much weight or more weight than criticalelements in determining summary levelsabove Unacceptable.NOTE:Before you can use non-critical ele-ments in employee performance plans,youmust determine if your app58、raisal programallows them.Additional Performance Elements.Anadditional performance element is adimension or aspect of individual,team,ororganizational performance that is not acritical element and is not used in assigning asummary rating level.The essentialdifference between a non-critical element a59、ndan additional performance element is thatnon-critical elements do affect the summarylevel.Otherwise,the features and limitationsof non-critical elements discussed above alsoapply to additional performance elements.Opportunities for using additionalperformance elements include:CNew Work Assignment.60、Managers and employees may want to establish goals,track and measure performance,and develop skills for an aspect of work thatthey do not believe should count in thesummary level.For example,if an employeevolunteered to work on a new project that requires new skills,an additionalperformance element 61、describing the newassignment provides a non-threateningvehicle for planning,measuring,and givingfeedback on the employee s performancewithout counting it in the summary level.CGroup Performance.In a two-levelappraisal program,additional performanceelements are the only way to include adiscussion of 62、group performance in thePerformance Management:Background and ContextPerformance Management Practitioner Series8Element CharacteristicsRequired inEmployeePerformancePlansCredited in theSummary LevelCan Describe a Group sPerformanceCriticalElementsyes yes no*Non-criticalElementsno yes yesAdditionalPe63、rformanceElementsno no yes*except when written for asupervisor or manager who hasindividual management controlover a group s production andresources.appraisal process.Even though theelement assessment does not count whendetermining the summary level,managersand employees could use it to manage thegr64、oup s performance.CAwards.Additional performance elementscan be used to establish criteria fordetermining awards eligibility,especially ina two-level program that no longer basesawards solely on a summary level.Additional performance elements were intro-duced in the September 1995 performanceapprais65、al regulations and have not been usedwidely,yet.We foresee their popularity ris-ing as agencies discover the possibilities theypresent for managing performance.NOTE:Check the rules of your programbefore including additional performanceelements in your plans.Performance Management:Background and Cont66、extA Handbook for Measuring Employee Performance9Know your program constraints UAgain,it is important to stress that before you continue withthis handbook,you need to find out the rules established byyour appraisal program;specifically,you will need to know:Cwhich kinds of elements your program allo67、ws you to use;Cat how many levels your program appraises employeeperformance on elements;Chow many summary levels your program uses;Cif your program allows weighting of elements(see Step 4);and Cwhether the program requires specific elements and/or usesgeneric standards.Before continuing:This handbo68、ok uses an organization within OPM the Support Branch in theAdjudication Division of the Office of Retirement Programs as an examplefor developing measures at the group and individual level.To be able tounderstand and work through the examples,you need to know the features ofthe Support Branch s app69、raisal program(i.e.,the same features listed above).The Support Branch s appraisal program:Cuses critical,non-critical,and additional performance elements;Cappraises employee performance on elements at five levels:Unacceptable,Minimally Successful,Fully Successful,Exceeds Fully Successful,andOutstan70、ding;Cuses five summary levels,which are the same as the elements five levelslisted above;Callows elements to be weighted according to importance to theorganization;andCrequires no specific or generic elements.10Performance Management Practitioner SeriesThis page left blank intentionally.A Handbook 71、for Measuring Employee Performance11Chapter 2Distinguishing Activities fromAccomplishmentsChapter 2 discusses what may be the most important concept in this handbook:thedifference between measuring activities and measuring accomplishments.The followingstory illustrates this concept.The Fable of the 72、Beekeepersand Their BeesOnce upon a time,there were twobeekeepers who eachhad a beehive.Thebeekeepers worked for a company calledBees,Inc.The company s customers lovedits honey and wanted the business to producemore honey than it had the previous year.Asa result,each beekeeper was told to producemor73、e honey at the same quality.Withdifferent ideas about how to do this,thebeekeepers designed different approaches toimprove the performance of their hives.The first beekeeper established a bee perfor-mance management approach that measuredhow many flowers each bee visited.Atconsiderable cost to the b74、eekeeper,an extensivemeasurement system was created to count theflowers each bee visited.The beekeeperprovided feedback to each bee at midseasonon his individual performance,but the beeswere never told about the hive s goal toproduce more honey so that the companycould increase honey sales.The beeke75、eper createdspecial awards for the bees who visited themost flowers.The second beekeeper also established a beeperformance management approach,but thisapproach communicated to each bee the goalof the hive to produce more honey.Thebeekeeper and his bees measured two aspectsof their performance:the am76、ount of nectareach bee brought back to the hive and theamount of honey the hive produced.Theperformance of each bee and the hive soverall performance were charted and postedon the hive s bulletin board for all bees tosee.The beekeeper created a few awards forthe bees that gathered the most nectar,bu77、t healso established a hive incentive program thatrewarded each bee in the hive based on thehive s production of honey the more honeyproduced the more recognition each beewould receive.At the end of the season,the beekeepersevaluated their approaches.The firstbeekeeper found that his hive had indeed78、increased the number of flowers visited,butthe amount of honey produced by the hivehad dropped.The Queen Bee reported thatbecause the bees were so busy trying to visitas many flowers as possible,they limited theamount of nectar they would carry so theycould fly faster.Also,because the bees feltthey 79、were competing against each other forawards(since only the top performers wererecognized)they would not share valuableinformation with each other(like the locationof the flower-filled fields they d spotted onthe way back to the hive)that could haveDistinguishing Activities from AccomplishmentsPerfor80、mance Management Practitioner Series12Measuring and recognizingaccomplishments rather thanactivities and giving feedback to theworker bees often improves the results of the hive.helped improve the performance of all thebees.(After all was said and done,one of thehigh-performing bees told the beekeep81、er thatif he d been told that the real goal was tomake more honey rather than to visit moreflowers,he would have done his workcompletely differently.)As the beekeeperhanded out the awards to individual bees,unhappy buzzing was heard in the background.The second beekeeper,however,had verydifferent re82、sults.Because each bee in his hivewas focused on the hive s goal of producingmore honey,the bees had concentrated theirefforts on gathering more nectar in order toproduce more honey than ever before.Thebees worked together to determine thehighest nectar-yielding flowersand to create quicker processe83、s fordepositing the nectar they d gathered.Theyalso worked together to help increase theamount of nectar gathered by the poorperformers.The Queen Bee of this hivereported that the poor performers eitherimproved their performance or transferred tothe other hive.Because the hive had reachedits goal,th84、e beekeeper awarded each bee hisportion of the hive incentive payment.Thebeekeeper was also surprised to hear a loud,happy buzz and a jubilant flapping of wingsas he rewarded the individual high-performing bees with special recognition.The moral of this story is:Distinguishing Activities from Accomp85、lishmentsA Handbook for Measuring Employee Performance13Although it somewhat simplifies performancemanagement,the beekeepers story illustratesthe importance of measuring and recognizingaccomplishments(the amount of honeyproduction per hive)rather than activities(visiting flowers).This handbook is de86、signedto help you develop elements and standardsthat center around accomplishments,notactivities.The chart below depicts the type ofmeasurement that should occur at eachorganizational level and includesmeasurements used by the beekeepers.Activities are the actions taken to produceresults and are gen87、erally described usingverbs.In the beekeeper fable,the activitybeing measured was visiting flowers.Otherexamples of activities include:Cfile documents;Cdevelop software programs;Canswer customer questions;andCwrite reports.Accomplishments(or outputs)are theproducts or services(the results)of employe88、eand work unit activities and are generallydescribed using nouns.The examples ofoutputs used in the fable include the amountof nectar each bee collected and the honeyproduction for the hive.Other examplesinclude:Cfiles that are orderly and complete;Ca software program that works;Caccurate guidance t89、o customers;andCa report that is complete and accurate.Distinguishing Activities from AccomplishmentsPerformance Management Practitioner Series14A Note about Federal Efforts toMeasure Outcomes and Outputs:Because of the requirements set by theGovernment Performance and Results Actof 1993(i.e.,the Re90、sults Act),Federalagencies are measuring their organizationaloutcomes and outputs.The Results Actrequires agencies to have strategic plans,which include outcome-related goals andobjectives for the major functions andoperations of the agency.Those outcomegoals must be objective,quantifiable,andmeasur91、able.The Results Act also requiresagencies to develop annual performanceplans that cover each one of their programs.Performance plans must include perfor-mance goals,which define the annual,oftenincremental,progress in achieving theoutcome goals in the strategic plan.Per-formance goals are often out92、put orientedsince they address single-year performance.We will talk about strategic plans with theiroutcome goals,and performance plans withtheir output goals,much more in Chapter 3.Outcomes are the final results of an agen-cy s products and services(and other outsidefactors that may affect performa93、nce).Theexample of an outcome used in the beekeeperstory was increased sales of honey for Bees,Inc.Other examples of outcomes could include:Creduce the number of transportation-relateddeaths;Cimproved fish hatcheries;Ca decrease in the rate of teenagealcoholism;andCclean air.Note on the performance 94、pyramid shown onthe previous page that accomplishments canbe measured at two levels in theorganization the employee level and thework unit level.Employee accomplishmentscan be included in employee performanceplans using all three types of performance ele-ments.Work unit accomplishments also canbe in95、cluded in the appraisal process throughnon-critical elements if the agency desires tohave work unit performance affect ratings(and only if the appraisal program uses morethan two summary levels)or throughadditional performance elements if work unitperformance is not to affect ratings.Howeverthey are96、 used in performance appraisal,workunit as well as employee accomplishmentscan always be recognized through an awardsprogram.If supervisors,team leaders,and employeeswant to develop performance plans thatsupport the achievement of organizationaloutcomes,they might try the secondbeekeeper s approach 97、of sharingorganizational goals with the hive,measuringand rewarding accomplishments rather than activities,andproviding feedback on performance.Distinguishing Activities from AccomplishmentsA Handbook for Measuring Employee Performance15A Balanced Measuring SystemThis handbook focuses on measuring a98、ccomplishments at thework unit and employee levels.There may be situations,however,when activities,behaviors,or processes may beimportant to include in an employee s performance plan.Thishandbook does not focus on how to develop those kinds ofmeasures.However,we would be remiss not to include adiscu99、ssion about the importance of balancing measures in yourmeasurement system.Therefore,a short description of thebalanced scorecard approach to measuring performancefollows.Using a Balanced Scorecard Approach to Measure PerformanceTraditionally,many agencies have measuredtheir organizational performan100、ce by focusingon internal or process performance,lookingat factors such as the number of full-timeequivalents(FTE)allotted,the number ofprograms controlled by the agency,or thesize of the budget for the fiscal year.In con-trast,private sector businesses usually focuson the financial measures of thei101、r bottom line:return-on-investment,market share,andearnings-per-share.Alone,neither of theseapproaches provides the full perspective onan organization s performance that a managerneeds to manage effectively.But bybalancing internal and process measures withresults and financial measures,managers wil102、lhave a more complete picture and will knowwhere to make improvements.Balancing Measures.Robert S.Kaplanand David P.Norton have developed a set ofmeasures that they refer to as“a balancedscorecard.”These measures give topmanagers a fast but comprehensive view ofthe organization s performance and inc103、ludeboth process and results measures.Kaplanand Norton compare the balanced scorecardto the dials and indicators in an airplanecockpit.For the complex task of flying anairplane,pilots need detailed informationabout fuel,air speed,altitude,bearing,andother indicators that summarize the currentand pre104、dicted environment.Reliance on oneinstrument can be fatal.Similarly,thecomplexity of managing an organizationrequires that managers be able to viewperformance in several areas simultaneously.A balanced scorecard or a balanced set ofmeasures provides that valuableinformation.Four Perspectives.Kaplan 105、and Nortonrecommend that managers gather informationfrom four important perspectives:CThe customer s perspective.Managersmust know if their organization issatisfying customer needs.They mustdetermine the answer to the question:How do customers see us?CThe internal business perspective.Managers need 106、to focus on those criticalinternal operations that enable them tosatisfy customer needs.They must answer the question:What must we excelat?Distinguishing Activities from AccomplishmentsPerformance Management Practitioner Series16CThe innovation and learningperspective.An organization s ability toinn107、ovate,improve,and learn ties directlyto its value as an organization.Managersmust answer the question:Can wecontinue to create and improve the valueof our services?CThe financial perspective.In theprivate sector,these measures havetypically focused on profit and marketshare.For the public sector,fin108、ancialmeasures could include the results-oriented measures required by theGovernment Performance and ResultsAct of 1993(i.e.,the Results Act).Man-agers must answer the question:How dowe look to Congress,the President,andother stakeholders?Tie-In to Employee Performance.Thebalanced scorecard philosop109、hy need not apply only at the organizational level.Abalanced approach to employee performance appraisal is an effective way of getting a com-plete look at an employee s workperformance,not just a partial view.Toooften,employee performance plans with theirelements and standards measure behaviors,acti110、ons,or processes without also measuringthe results of employees work.Bymeasuring only behaviors or actions inemployee performance plans,an organizationmight find that most of its employees areappraised as Outstanding when theorganization as a whole has failed to meet itsobjectives.By using balanced 111、measures at theorganizational level,and by sharing theresults with supervisors,teams,andemployees,managers are providing theinformation needed to align employee perfor-mance plans with organizational goals.Bybalancing the measures used in employeeperformance plans,the performance picturebecomes comp112、lete.A Word About Categories of WorkSometimes performance plans describeelements using categories of work.Categories are classifications of work typesoften used to organize performance elementsand standards.If,for example,the firstbeekeeper in our fable had used categories ofwork for his elements,he113、 might have used thebroad category of“making honey”as theelement and then included a grouping thatdescribed all the activities the bees did tomake the honey,such as gather nectar,reportto the drones,etc.Other examples ofcategories of work and the types of activitiesthat are often described under the114、secategories include:Ccustomer service(greets customers with asmile,answers the phone promptly);Cteamwork(cooperates with others,sharesinformation);Ccommunications(writes well,givespresentations);andCoffice duties(files papers,types reports).This handbook does NOT explainhow to describe and measurec115、ategories of work.Here you areasked to concentrate on measuringaccomplishments.Distinguishing Activities from AccomplishmentsA Handbook for Measuring Employee Performance17Exercise:It is time to check your understanding of the differences among activities,accomplishments,and categories.Please check 116、the column that best describes eachitem.AccomplishmentActivityCategoryTrains employeesSupervisionA completed casePublic relationsRecommendationsCustomer serviceHR policy interpretationsWrites agency policy Solutions to problemsDevelops software programsIdeas and innovationsFiles paperworkWrites memo117、sComputer systems that workTeamworkA completed projectSatisfied customersAnswers the phoneAssists team members(The answers are on the next page.)Distinguishing Activities from AccomplishmentsPerformance Management Practitioner Series18Answers to page 17 Exercise:AccomplishmentActivityCategoryTrains 118、employeesUSupervisionUA completed caseUPublic relationsURecommendationsUCustomer serviceUHR policy interpretationsUWrites agency policy USolutions to problemsUDevelops software programsUIdeas and innovationsUFiles paperworkUWrites memosUComputer systems that workUTeamworkUA completed projectUSatisfi119、ed customersUAnswers the phoneUAssists team membersUA Handbook for Measuring Employee Performance 19Chapter 3Developing EmployeePerformance PlansYou are now going to begin an eight-stepprocess for developing employee performanceplans that support organizational goals.Beforeyou begin,however,we want 120、to briefly review aprocess for developing performance plans thatyou may have followed in the past but willNOT be learning here.Traditionally in some organizations,perfor-mance plans have been developed by copyingthe activities described in an employee s jobdescription onto the appraisal form.This ha121、nd-book asks that you NOT begin with theposition description.Even though a performanceplan must reflect the type of work described inthe employee s position description,theperformance plan does not have to mirror it.The next two pages illustrate what happenswhen you develop a performance plan solely122、from a position description.Page 20 is a sim-plified position description for a FederalRetirement Benefits Specialist within ourexample organization the Support Branch ofthe Adjudications Division,Office ofRetirement Programs,Retirement and Insur-ance Service,OPM.Notice how the dutiesand responsibil123、ities in the position descriptionall begin with a verb.They describe activities,not accomplishments.A performance plan for a Federal RetirementBenefits Specialist follows on page 21.It waswritten by copying the simplified positiondescription from the previous page onto theappraisal form.Note that by124、 copying the activ-ities from the position description onto theappraisal form,the Support Branch has devel-oped a performance plan that only measuresactivities,not accomplishments.Also,bydeveloping a performance plan without using aprocess that links accomplishments toorganizational goals,the organi125、zation has lostthe opportunity to use the appraisal process tocommunicate its goals to its employees and toalign employee efforts with its goals.(Remember that the Support Branch s appraisalprogram appraises employee performance onelements at five levels.The form on page 21shows five possible levels126、 of performance:Un-satisfactory(U),Minimally Successful(MS),Fully Successful(FS),Exceeds Fully Success-ful(EFS),and Outstanding(O).)Developing Employee Performance PlansPerformance Management Practitioner Series20This simplified and edited positiondescription describes only a few of the majorduties 127、of the GS-12 Federal RetirementBenefits Specialist position in OPM s SupportBranch in the Adjudication Division,Office ofRetirement Programs,Retirement andInsurance Service.Position Description:Notice how the duties and responsibilities in the position description all begin with a verb.They describe128、 activities.Position Description:#JJJ666Federal Retirement Benefits Specialist,GS-0270-12IntroductionThe incumbent of this position serves as a Senior Federal Retirement Benefits Specialist in the Office ofRetirement Programs(ORP),Retirement and Insurance Service,Office of Personnel Management(OPM).129、This is a highly-responsible position in an office accountable for the adjudication of claims for retirementand insurance benefits arising under the Federal retirement systems administered by OPM.The work requires the skills of an experienced,fully-trained Federal Retirement Benefits Specialist who 130、isresponsible for the adjudication of a broad range of assigned claims,project work which he or she may lead,monitoring workloads,and assignments to solve retirement system-related problems.Major Duties and ResponsibilitiesCAdjudicate cases of unusual technical difficulty.CReview and approve recomme131、ndations and decisions made by other Specialists,and provide advice andassistance.CRespond to inquiries from various customer sources and provide clear,responsive explanations ofactions taken and the bases for them.CProvide assistance in developing formal lesson plans.Ensures adequate training is of132、fered.CServe as task force leader or project coordinator for team-related initiatives in processing retirementclaims,post-retirement actions,and for special activity in response to legislation,etc.Approving Authority Signature:Date:Developing Employee Performance PlansA Handbook for Measuring Employ133、ee Performance21This is a fictional employee performance plan constructedfor this handbook.It was developed by using only thesimplified position description of the Federal RetirementBenefits Specialist position shown on the previous page.It is included here to represent a typical performance plantha134、t might be used in appraisal programs.Notice thesimilarity to the position description on the previous page.Also notice how the elements describe work activities,notwork accomplishments.Performance Plan:THIS IS NOT THE TYPE OF PERFORMANCE PLAN THAT YOU WILL DEVELOPIF YOU FOLLOW THE METHOD PRESENTED 135、IN THIS HANDBOOK.Employee Performance PlanName Effective DateJob Title,Series,and GradeFederal Retirement Benefits Specialist Name of OrganizationOffice of Retirement ProgramsElementsTypeStandardsRatingTechnical and Policy ExpertC Adjudicates cases of unusualtechnical difficulty.C Reviews and approv136、esrecommendations made byother Specialists.Providesadvice.C Responds to customerinquiries.CriticalFully Successful:Cases are usually completed correctly andin a timely fashion.Customer inquiries are routinely addressedtimely.9 U9 MS9 FS9 EFS9 OTrainingC Ensures adequate training isoffered.C Develops137、 formal lesson plans.CriticalFully Successful:Arranges for or presents high-qualitytraining as needed.Training is specific to employee needs.9 U9 MS9 FS9 EFS9 OBranch ombudspersonC Serves as task force leader orproject coordinator.CriticalFully Successful:As needed,regularly leads work teams tothe a138、ccomplishment of their assignments.9 U9 MS9 FS9 EFS9 OComments:Appraising Official SignatureEmployee SignatureDeveloping Employee Performance PlansPerformance Management Practitioner Series22Having reviewed how to develop a performance plan thatfocuses only on activities,we will now develop aperform139、ance plan that establishes elements and standards addressing accomplishments that lead to organizationalgoal achievement.Each step in the eight-step process we present in thishandbook builds upon the previous step;you cannot skip astep and end up with good results.Developing Employee Performance Pla140、nsA Handbook for Measuring Employee Performance23Step 1:Look at the overall picture.Instead of beginning at the bottom of theorganization with the position description todevelop employee performance plans,beginthe process by looking at your agency s goalsand objectives.Gather the followinginformatio141、n:C What are your agency s generaloutcome goals as outlined in its strategicplan?The Government Performance andResults Act of 1993(i.e.,the Results Act)requires all agencies to develop a strategicplan that includes objective,quantifiable,and measurable performance goals.Agen-cies submitted their fir142、st strategic plans toCongress in September 1997.You will bereferring to your agency s strategic planwhile creating employee performanceplans.C What are the specific performance goalsestablished for your program area asoutlined in your agency s annualperformance plan?The Results Act alsorequires each143、 agency to have an annualperformance plan that sets out measurablegoals that define what will be accomplishedduring a fiscal year.The goals in the annualperformance plan describe the incrementalprogress towards achieving the generalgoals and objectives in the strategic plan.Performance plan goals ar144、e usually morespecific and often more output-orientedthan the general outcome goals found inthe strategic plan.Since performance plangoals should be used by managers as theydirect and oversee how a program is carriedout,these are the goals to which employeeperformance plans should be linked.C What a145、re your agency s customerservice standards?In September 1993,President Clinton issued Executive Order12862,“Setting Customer ServiceStandards,”which requires each agency to establish customer service standards and tomeasure its performance against thosestandards.In most cases,these goals andstandard146、s have been folded into the agen-cy s strategic plan and annual performanceplan,but if they have not,you will need toknow what they are.C What performance measures arealready in place?You should be awareof the measurement systems that you canaccess for information on performance,including measures u147、sed for determining progress towards achieving Results Actgoals and customer satisfaction surveys.Developing Employee Performance PlansPerformance Management Practitioner Series24Example of Organizational Goals Again,the main example used in this handbook refers to the Federal Retirement BenefitsSpe148、cialist position in the Office of Retirement Programs(ORP),Retirement and InsuranceService,of the Office of Personnel Management(OPM).This position is found in the SupportBranch of ORP s Adjudication Division and handles a combination of administrative andfront-line assignments.OPM strategic,outcome149、-oriented goals and two of the Office ofRetirement Programs performance goals established in OPM s annual performance plan serveas examples of organizational goals.You will use this information in the next step of oureight-step process.OPM Strategic Goals:A Handbook for Measuring Employee Performanc150、e 25Developing Employee Performance PlansOPM s 199X Annual Performance Plan Goals for the Retirement and Insurance Service(RIS)RIS Goal#14:Maintain at previous year s levels,customer satisfaction,processingtimes,and accuracy rates pertinent to processing new claims forannuity and survivor benefits.(151、Directly linked to OPM s Goal#4)Means:(Only two means are presented here.)CReduce claims processing error rates by providing increased training in workplacecompetencies.CContinue to streamline work processes when such opportunities occur in order toreduce claims processing times and improve processi152、ng accuracy.Outcome Indicators:1.Customers who received their first payment either before or when they expected.(The goal is to reach 90 percent.)2.Annuitants who indicate overall satisfaction with the handling of their retirementclaims.(The goal is to reach 95 percent.)Output Indicators1.Interim pa153、yment processing time (The goal is 4 days.)2.CSRS annuity processing time (The goal is 35 days.)3.CSRS annuity claims accuracy (The goal is no more than 4.0 percent errors.)RIS Goal#15:Maintain at previous year s levels,customer satisfaction with RISteleservices and the timeliness of written respons154、es to inquiries.(Directly linked to OPM s Goal#4)Means:(Only one mean is presented here.)Improve the accuracy and professional appearance of complex correspondence whilereducing staff effort by developing additional PC-based“smart”letters that can be tailoredto meet different fact patterns,and perso155、nalized by retrieving information from selecteddatabases.Outcome Indicators:1.Overall satisfaction with the content and timeliness of written responses.(The goal is90 percent for each.)Output Indicators:1.Percent of priority correspondence answered within 8 days.(The goal is 95 percent.)2.Percent of156、 regular correspondence answered within 15 days.(The goal is 95percent.)Developing Employee Performance PlansPerformance Management Practitioner Series26Step 2:Determine the accomplishments at the work unitlevel.The next step in this eight-step method is todetermine the accomplishments(i.e.,theprodu157、cts or services)of the work unit.Identifying work unit accomplishments letsyou identify appropriate measures in thefollowing steps of this process.A work unit is a small group of employeesthat,in a traditional work structure,issupervised by the same first-line supervisor.Work units are generally the158、 smallestorganizational group on the organizationalchart and usually include between 3 and 15people.A work unit can also be ateam permanent or temporary where theteam members work interdependentlytowards a common goal.Because not all types of work situations andstructures are the same,this handbook 159、offersthree different ways to determine what tomeasure at the work unit level:C a goal cascading method;C a customer-focused method;andC a work flow charting method.You can use one or all three methods,depend-ing on what fits your situation.Whicheveryou use,remember to describeaccomplishments(using 160、nouns)rather thanactivities(using verbs).Developing Employee Performance PlansA Handbook for Measuring Employee Performance27Cascading Agency Goals to Work UnitsMethod:Cascade the agency s goals down to the work unit level.The goal cascading method works best foragencies with clear organizational go161、als andobjectives,such as those established in thestrategic plans and annual performance plansthat agencies have prepared under theGovernment Performance and Results Act.This method requires answers to each of thefollowing questions:C What are the agency s specific goalsand objectives?These can be f162、ound inthe agency s annual performance plan andcustomer service standards.(Note thatthis question repeats Step 1 of the eight-step process.)C Which agency goal(s)can the work unitaffect?Often,work units may affect only one agency goal,but in some situations,agency goals are written so broadly thatwo163、rk units may affect more than one.C What product or service does the workunit produce or provide to help theagency reach its goals?Clearly tyingwork unit products and services toorganizational goals is key to this process.If a work unit finds it generates a productor service that does not affectorga164、nizational goals,the work unit needsto analyze the situation.It may decide toeliminate the product or service.Developing Employee Performance PlansPerformance Management Practitioner Series28Example of Cascading Agency Goals to a Work Unit:An OPMStrategic Goal:9OPM Goal#4:Deliver high-quality,cost-e165、ffective human resources services toFederal agencies,employees,annuitants,and the public.SomeRetirement andInsurance Service(RIS)Annual PerformancePlan Goals thatCascade fromOPM Goal#4:9RIS Goal#14:Maintain at previous year s levels,customersatisfaction,processing times,and accuracy rates pertinent 166、toprocessing new claims for annuity and survivor benefits.RIS Goal#15:Maintain at previous year s levels,customersatisfaction with RIS teleservices and the timeliness of writtenresponses to inquiries.SomeOffice of RetirementPrograms(ORP)Goals:9a.Continue to streamline work processes when such oppor-167、tunities occur in order to reduce claims processing timesand improve processing accuracy(re RIS Goal#14).b.Reduce claims processing error rates by providingincreased training in workplace competencies(re RIS Goal#14).c.Improve the accuracy and professional appearance ofcomplex correspondence while r168、educing staff effort bydeveloping additional PC-based“smart”letters that can betailored to meet different fact patterns,and personalized byretrieving information from selected databases(re RISGoal#15).ORP s AdjudicationDivision s Support BranchGoals:Achieve the following accomplishments:Caccurately 169、settled claims(re“a”above);Ccompetent,well-trained employees(re“b”above);andCaccurate and professional written correspondence(re“c”above).(Note:The Branch supports Adjudication Division BenefitsSpecialists in reviewing and settling retirement cases.Supportis in the form of clerical support,training,170、consultation,guidance,and customer assistance.)Developing Employee Performance PlansA Handbook for Measuring Employee Performance29Exercise on Cascading Goals:In the space below,begin mapping your agency s strategic and performance goals and howthose goals cascade or“trickle down”through your organi171、zation.Try to show how your workunit s products or services link to your agency s goals.Remember to describe work unitaccomplishments in terms of products or services(i.e.,the end result of all the unit s activities.)Your Agency s Goals:Your Organization sGoals:Your Work Unit sProducts or Services:D172、eveloping Employee Performance PlansPerformance Management Practitioner Series30Focusing on Customer SatisfactionMethod:Determine the products and services the work unitprovides for its customers.The customer-focused method works wellwhen there are no clear agency goals andwhen the work unit knows w173、ho its customersare and what they expect.Oftentimes,thismethod is easier to apply to administrativework units that provide support functions,such as a human resources unit,anacquisitions unit,or a facilities maintenanceunit.This method focuses on achievingcustomer satisfaction and requires answers t174、oeach of the following questions:C Who are the customers of the workunit?If the work unit provides a support function,most of its customers may beinternal to the agency.C What products and/or services do thecustomers expect?Remember todescribe accomplishments,not activities.One way to approach this 175、method is to build amap,as shown below.Place a boxrepresenting the work unit in the center of ablank piece of paper.List the customergroups around the box and describe theproducts or services the customers expect inthe blank space between the work unit andthe customer groups.Developing Employee Perf176、ormance PlansA Handbook for Measuring Employee Performance31pRetiringSupportSolutions toProblems,InformationTraining,GuidanceFirst annuitypayment CorrespondentsBranchEmployeesExample of Identifying Customers and Their Expectations:The example below diagrams the accomplishments of the Office of Retir177、ement ProgramsAdjudication Division s Support Branch from a customer-focused approach.Note that theaccomplishments listed are the RESULTS of the team s work.Developing Employee Performance PlansPerformance Management Practitioner Series32Your Work UnitExercise for Identifying Customers and Their Exp178、ectations:Use method 2 the customer-focused method to develop the product(s)or service(s)thatyour work unit provides.Begin with identifying your work unit s customers.Next,determinewhat product(s)or service(s)your work unit supplies or provides to its customers.Developing Employee Performance PlansA179、 Handbook for Measuring Employee Performance33Method:Develop a work flow chart for the work unit,establishing key steps in the work process.The work flow charting method works wellfor work units that are responsible for acomplete work process,such as theprocessing of a case,the writing of a report,o180、r the production of a customer informationpackage.This method asks work units todevelop work flow charts.A work flow chartis a picture of the major steps in a workprocess or project.It begins with the firststep of the work process,maps out eachsuccessive step,and ends with the finalproduct or servic181、e.To illustrate a simplework flow chart,the figure below depicts awork process for building a house.Some Key Steps in Building a HouseDeveloping Employee Performance PlansPerformance Management Practitioner Series34To help you build your work flow chart,answer these questions:C How does the work uni182、t produce itsproducts or services?List the most basicsteps in the process.For this purpose,youdo not need to list all the activitiesrequired.(If you were analyzing the workto find ways of improving the process,youwould need to list every activity.)C Which are the most important steps inthe process?B183、y determining these steps,you highlight areas for performancemeasurement.As you map out the process,you may findyourself describing activities.Try to groupthe activities into key steps by describing theresults of those activities as one step in theprocess.As an example,the activitiesdescribed in the184、 following columns are all theactivities that a publication team described whenit was trying to create a work flow chart forthe process of developing a newsletter.Bygrouping the related activities into the samecolumns,it was easier for the team todetermine the results of those activities.Those resul185、ts are written at the top of thecolumn and became the key steps in the workflow chart.The plan for thenext issue.The draft versionof the articles.The edited versionof the articles.The camera-readyart mechanical.-brainstorm ideas-interview contacts-review articles forerrors-crop pictures-meet to disc186、ussideas-get contact reviewand edits of article-make suggestionsfor improvements-develop theoriginal graphics-research variousresources for ideas-get pictures orgraphics,if used-make necessarychanges-create layoutboards-get managementapproval of proposedplan-write article-consider theoverall effect 187、of the entire issue-format issuePlan forNext IssueDraftArticlesEditedArticlesArtMechanicalDeveloping Employee Performance PlansA Handbook for Measuring Employee Performance35NondisabilityCase ReceivedAn authorized 1st annuitypaymentforTreasury todisperse An updatedannuity rollmaster recordA complete188、d and filedcaseAnnuity ComputationAnother Example of Work Flow Charting:This example of the results of method 3 which focuses on the work flow and the key steps inthe work process uses a work flow chart developed by the Office of Retirement Programs.The work flow chart below maps the key steps in pr189、ocessing retirement claims.Notice that thesteps are described as products.In other words,all the activities to complete the steps are notlisted individually but have been grouped and described as products.These key steps are goodcandidates for measurement.Developing Employee Performance PlansPerform190、ance Management Practitioner Series36Exercise on Work Flow Charting:Select a product or service that your work unit provides.As best you can,map out the workprocess your unit uses.Focus on the major categories or steps of the work.You may need tofirst list the smaller steps of the work and then grou191、p them into sub-products.Remember todescribe products and services when you can,not activities.Developing Employee Performance PlansA Handbook for Measuring Employee Performance37Step 3:Determine individual accomplishments that support work unit goals.The performance elements that will be mea-sured 192、in the overall employee performanceplan can include both individual and groupassignments and responsibilities.The mostimportant,results-oriented aspects of a unit sperformance(which are its products orservices)were identified in Step 2.(Othertypes of processes that work units may wantto measure and 193、include as elements in theirplans but which are not products or servicesand would not be identified through Step 2include internal group dynamics processes,such as decision-making or problem solvingprocesses,or group/team development.)Elements that address individual accomplish-ments can be identifi194、ed using a role-resultsmatrix.A role-results matrix is simply a tablethat identifies the results each work unitmember must produce to support the unit saccomplishments.To build the matrix,list thework unit s products or services across thetop row of a table.List each member of thework unit or each j195、ob position down the leftcolumn of the matrix.For each cell of thetable,ask this question:What must this unitmember produce or perform(i.e.,accomplish)in order to support this particular work unitproduct or service?List those employeeproducts or services(i.e.,accomplishments)in the appropriate cell.196、The products orservice you list for each unit member arepossible performance elements that might beincluded in the employee s performance plan.All performance elements should be eitherquantifiable or verifiable and should bedescribed as accomplishments(nouns),notactivities(verbs).A Role-Results Matr197、ixUnit EmployeesUnit Productor ServiceUnit Productor ServiceUnit Productor ServiceUnit Productor ServiceEmployee 1AccomplishmentAccomplishmentAccomplishmentAccomplishmentEmployee 2AccomplishmentAccomplishmentAccomplishment*N/AEmployee 3Accomplishment*N/AAccomplishmentAccomplishmentEmployee 4*N/AAcco198、mplishmentAccomplishmentAccomplishment *The employee had no part in this work unit product or service.Developing Employee Performance PlansPerformance Management Practitioner Series38ExampleAn example of a role-results matrix is shownbelow.It was built for a work team thatproduces a bimonthly policy199、 newsletter.Theteam has five members:the editor,three writ-ers,and a graphic artist.The final product oroutput is the newsletter.(The expectedoutcome is better educated Federalemployees.)The team created a work flowchart,which identified four key steps in thework process.The team then used these key200、steps to build the matrix and will use it todevelop performance elements.Note that the main steps of the work processare laid out along the top of the matrix.Theteam members are listed down the left handcolumn.Accomplishments are listed for eachteam member.Also,note that not allmembers have assignme201、nts or responsibilitiesfor every team accomplishment.(This oftenwill occur in cross-functional work units that include a variety of different job series.)When building a role-results matrix,you mayidentify certain aspects of performance ateither the work unit level or the individuallevel that you ma202、y not be able to measure(i.e,the effect a human resources program hason organizational performance)or over whichthe unit or the employee has no control(i.e.,aportion of the product must be completed bysomeone outside the work unit).Also,certain aspects of performance may cost toomuch to measure or t203、he agency may not havethe resources to measure them.You shouldnot include these aspects of performance aselements in the performance plan but they arestill legitimate parts of the role-results matrix.A role-results matrix is a valuablemanagement tool.When supervisors involve employees in the process204、 of completing thematrix,everyone s role in the work unit isvery clear,which is important to thesuccessful performance of the group.Thewhole process of determining work unitproducts and services,and then completing arole-results matrix,is a beneficial team-buildingexercise.A Role-Results Matrix for 205、a Newsletter Team:Team AccomplishmentsTeam Members The plan for thenext issueThe draftversion ofthe articlesThe edited version of thearticlesThe camera-ready mechanicalEditorTopics to becoveredArticles that havebeen editedWriter ARecommendationsfor articlesA draft article(s)Writer BRecommendationsfo206、r articlesA draft article(s)Writer CRecommendationsfor articlesA draft article(s)Graphic ArtistRecommendationsfor layoutA completed mechanicalDeveloping Employee Performance PlansA Handbook for Measuring Employee Performance39Another Example of a Role-Results Matrix:The example below uses the data g207、atheredfor the Office of Retirement ProgramsAdjudication Division Support Branch using the cascading method as described onpages 27-28.Note that the products orservices(i.e.,the accomplishments)identifiedthrough the process of Step 2 are shownalong the top of the matrix.Employees arelisted down the 208、left side of the matrix.Workaccomplishments are included in each cell.Notice that the work responsibilities are described(in italics)as accomplishments(i.e.,products or services)rather than activities orbehaviors.Role-Results Matrix for ORP s Adjudication Division Support Branch Employees Work Unit 209、Products or Services$BranchChiefAccurately SettledClaimsCompetent DivisionEmployeesAccurate andProfessionalCorrespondenceTeamLeaderC An efficientadjudicationprocess.C ORP training needsassessment.C ORP training plan.C A correspondencereview andcomplaintresolution process.SeniorFederalRetirementBenef210、itsSpecialistsC Guidance andtechnicalassistance tolower-gradedSpecialists.C Recommendationsfor improvementsto work processand ADP systems.C Cases of unusualtechnical difficultythat arecompleted.C Recommendationsfor training needsassessment.C Lesson plans thatmeet training needs.C Workbooks andcourse211、 handouts.C Effective trainingcourse(s).C Responsescontainingrequestedinformation orsolutions tocustomercomplaints.Clerk TypistC Decisions that areformatted andtyped.C Case files that areorganizedeffectively.C Workbooks andhandouts that areformatted,typed,and xeroxed.C Correspondencethat is formatte212、d,mailed,and filed.Developing Employee Performance Plans40Performance Management Practitioner SeriesExercise for Building a Role-Results MatrixFill in the role-results matrix for your work unit.Place the work unit products or services thatyou developed in Step 2 along the top of the matrix.Fill in t213、he names or the job titles of the workunit s employees in the left-hand column.Then fill in the employees accomplishments thatcontribute to each work unit accomplishment.Work Unit Products or Services$EmployeesOrganiza-tionalChiefDeveloping Employee Performance PlansA Handbook for Measuring Employee214、 Performance 41Step 4:Convert expected accomplishments into performanceelements,indicating type and priority.In Steps 2 and 3 of the process presented in thishandbook,you developed the expectedaccomplishments for the work unit and theunit s employees.Now,in Step 4,you will:C identify which accomplis215、hment(s)should be included as elements in theperformance plan;C select which type of element to use;andC assign weights or priorities.All employees must have at least one criticalelement in their performance plan.Critical ele-ments must address individual performance only,except in the case of super216、visors who may beheld responsible for a work unit s products orservices.Work unit performance can beaddressed through non-critical or additionalperformance elements.In appraisal programswith only two summary levels,work unitperformance can be addressed only throughadditional performance elements.Onc217、e you have classified elements as eithercritical,non-critical,or additional,and ifyour appraisal program allows,prioritize themso that work units and employees know whichelements are most important.One way to dothis is to distribute 100 percentage pointsacross the elements based upon each one simpor218、tance to the organization.(Programsusually allocate weights in 5 percentincrements.)How can you determine which elements are critical?Remember that critical elements are workassignments or responsibilities of suchimportance that unacceptable performance onthe element would result in a determination 219、thatan employee s overall performance isunacceptable.Defining critical elements mustbe done thoughtfully because an employee sunacceptable performance on any criticalelement could be the basis for an adverseaction.To help decide whether an elementshould be classified as critical or not,answerthe fol220、lowing questions:C Is the element a major component of thework?If you answered“yes,”the elementmight be critical.C Does the element address individual per-formance only?Elements measuringgroup performance cannot be criticalelements,except as explained for supervi-sors and only under certain circumst221、ances.C If the employee performed unacceptablyon the element,would there be seriousconsequences to completing the work ofthe organization?If employee error onthe element affects the work unit s accom-plishments,the element may be critical.C Does the element require a significantamount of the employe222、e s time?If youanswered“yes,”the element might becritical.Unless prescribed by your appraisal program,there is no fixed or uniform number of criticalelements to be included in the performance plan;the number varies with the work assignmentsand may vary from year to year in response to changing progr223、am emphases.However,every employee must have at leastone critical element.Developing Employee Performance Plans42 Performance Management Practitioner SeriesExample of Identifying Elements:The Support Branch of the Office of RetirementPrograms (ORP)Adjudication Division has beenused on the following 224、page as an example of iden-tifying elements.(This example does not repre-sent actual elements currently in use;it wasdeveloped for this handbook only.)The ex-pected accomplishments of the Senior FederalRetirement Benefits Specialist(as outlined in therole-results matrix on page 39)are listed downthe225、 left-hand side of the matrix on the next page.A work unit accomplishment for the SupportBranch is also listed.The next column showshow the branch chief and employees designatedelements as critical,non-critical,or additional.Finally,priority points are assigned to each ele-ment to give them relative226、 weights.(Rememberthat ORP s appraisal program uses five levels toappraise employee performance on elements andsummarizes performance overall at five levels andthat non-critical and additional performance ele-ments are allowed.)Note the following in the matrix on page 43:(1)The Branch concluded that227、 the work accomplishment of“Competent Division Em-ployees”was so interdependent that it wasnot practical or logical to measure perfor-mance at the individual level for this accom-plishment.As a result,the Branch decidedto include“Competent Division Employees”as a group element and to measure perfor-228、mance at the group level only.Since thisBranch is under a five-level appraisal pro-gram and it wants to count this element inthe appraisal process,this group element willbe a non-critical element.(If it were under atwo-level appraisal program,the group ele-ment would have to be an additional perfor-229、mance element.)The other group productsand services will not be included in employeeperformance plans.(2)Because the Branch decided to use the non-critical group element for“Competent Divi-sion Employees,”it also decided not to include the individual accomplishments un-der that cell of the matrix.It230、 was not practi-cal or logical to measure this performance atthe individual level.The matrix shows thatthose four elements have been crossed outand will therefore not be included in theperformance plan.(3)The Branch decided that“Recommendationsfor Improvements”should not affect thesummary level,but 231、the Branch wanted totrack and measure the value of the recom-mendations for awards purposes.Therefore,it was included as an additional element andgiven a weight of 0.The Branch plans touse the results of performance on this ele-ment as a criterion for awards recognizinginnovation within ORP.(4)The B232、ranch determined the priority ofeach element by distributing 100 pointsacross the elements.The priority pointslet employees know which elements aremore important to the organization.Prioritypoints also are used in this example to af-fect how the summary level will be deter-mined.Note that the non-cr233、itical groupelement“Competent Division Employees”was given more priority points(25)thanthe critical“Adjudicated Cases”element(10),even though failure on the criticalelement causes performance to be deter-mined to be Unacceptable.Using thismethod allows non-critical elements tocount significantly in 234、the summary leveldetermination.(Failure on the non-criticalelement would not cause performance tobe Unacceptable;it wouldmerely count as0 priority points and could lower the sum-mary level but not to Unacceptable.)Developing Employee Performance PlansA Handbook for Measuring Employee Performance 43E235、xample:ORP Adjudication Division Support BranchSenior Federal Retirement Benefits SpecialistEmployee Assignments andResponsibilitiesType of ElementPriorityPointsC Guidance and technicalassistance to lower-gradedSpecialists.Critical(CE)40C Recommendations forimprovements to work processand ADP system236、s.Additional(AE)0 Cases of unusual technicaldifficulty that were completed.Critical(CE)10C Recommendations for trainingneeds assessment.C Lesson plans that meet trainingneeds.C Workbooks and coursehandouts.C Effective training course(s).C Responses containing requestedinformation or solutions tocust237、omer complaints.Critical(CE)25Support Branch Work Productsor Services:Accurately settled claimsCompetent Division EmployeesNon-critical(NC)25Accurate and ProfessionalCorrespondenceDeveloping Employee Performance PlansPerformance Management Practitioner Series44Exercise on Identifying Elements:Based 238、on the accomplishments that you identified for your job in the role-results matrix thatyou made on page 40,and working within the rules established by your appraisal program,identify appropriate elements and categorize them as critical,non-critical,and,if appropriate,additional performance elements.239、(If you have a two-level appraisal program that is,apass/fail program you can not use non-critical elements.)If applicable,prioritize the elementsby distributing 100 points among the elements,giving more points to elements that are moreimportant.Individual or Group Products orServicesType of Element240、Priority PointsDeveloping Employee Performance PlansA Handbook for Measuring Employee Performance45Adapted from Richard Lynch and Kelvin Cross,Measure Up!Yardsticks for Continuous Improvement,1991.Step 5:Determine work unit and individual measures.In Step 4 of this process,you designated thecritical241、,non-critical,and additionalperformance elements you will include in yourperformance plan.In Step 5,you will deter-mine how to measure performance of thoseelements.Measures are the yardsticks used to determinehow well work units and employees producedor provided products or services.To developspecif242、ic measures of performance for eachelement in your performance plan,you firstmust determine the general measures thatapply to each.Once you determine thegeneral and specific measures,you will be ableto develop the standards for your elements,which you will do in Step 6 of this process.Your standards243、 will be worded in termsof the specific measures developed in thisstep.The performance pyramid below shows thetypes of general measures that are used atdifferent levels in the organization.Note atthe bottom of the pyramid,the four generalmeasures used for measuring work unit andemployee performance:244、quality,quantity,timeliness,and cost effectiveness.Developing Employee Performance PlansPerformance Management Practitioner Series46General MeasuresQuality addresses how well the employee orwork unit performed the work and/or theaccuracy or effectiveness of the final product.Quality refers to accura245、cy,appearance,usefulness,or effectiveness.Quality measurescan include error rates(such as the number orpercentage of errors allowable per unit ofwork)and customer satisfaction rates(determined through a customer survey).Quantity addresses how much work theemployee or work unit produced.Quantitymeasu246、res are expressed as a number of pro-ducts produced or services provided,or as ageneral result to achieve.Timeliness addresses how quickly,when,or by what date the employee or work unitproduced the work.You need to make sureto include timeliness measures whenapplicable;otherwise,it is implied that t247、heelement must always be done and there is nomargin for error.(See page 52 for adiscussion on absolute standards.)Cost-Effectiveness addresses dollarsavings to the Government.You shoulddevelop measures that address cost-effectiveness on specific resource levels(money,personnel,or time)that you cange248、nerally document and measure in agencyannual fiscal year budgets.Cost-effectivenessmeasures may include such aspects ofperformance as maintaining or reducing unitcosts,reducing the time it takes to produce orprovide a product or service,or reducingwaste.Developing Employee Performance PlansA Handboo249、k for Measuring Employee Performance47Developing Specific MeasuresTo develop specific measures,you firstmust determine the general measure(s)thatare important for each element(i.e.,quantity,quality,timeliness,or cost-effectiveness).Then,determine how to measure the quantity,quality,timeliness,and/or250、 cost-effectivenessfor the element.If you can measure anaccomplishment with numbers,record theform of measurement.If you can onlydescribe performance(i.e.,observe andverify),clarify who will appraise the perfor-mance and the factors they will appraise.The kinds of questions you should ask in thispro251、cess include the following:First:For each element,decide which generalmeasures apply.CIs quality important?Does the stakehold-er or customer care how well the work isdone?CIs quantity important?Does thestakeholder or customer care how manyare produced?CIs it important to accomplish the elementby a c252、ertain time or date?CIs it important to accomplish the elementwithin certain cost limits?CWhat measures are already available?Second:For each general measure,ask:CHow could quality,quantity,timeliness,and/or cost-effectiveness be measured?CIs there some number or percent thatcould be tracked?If the 253、element does not lend itself to beingmeasured with numbers and can only bedescribed,ask:CWho could judge that the element wasdone well?What factors would they lookfor?Finally:Write down or otherwise record the specificmeasures.If the measure is numeric,list theunits that you will track.If the measur254、e isdescriptive,identify the judge and list thefactors that the judge will look for to observeand verify performance.Developing Employee Performance PlansPerformance Management Practitioner Series48Example of General and Specific Measures:Note that general and specific measures have been added to th255、e elements.Also note thatonly the measures have been identified,not the standard that describes how well theelement should be done.(Standards are addressed in the next step in the process.)Senior Federal Retirement Benefits SpecialistPriorityPointsElementTypeGeneralMeasureSpecific Measure40Guidance 256、and technicalassistance to lower-gradedSpecialists.CEQualityTimelinessThe accuracy of the information,as determined by supervisor.The perceptions of lower-graded Specialists that the incumbent is willing to assist andthat feedback is helpful.The number of hours it takes forthe incumbent to respond t257、olower-graded Specialists requests for assistance.0Recommendations forimprovements to work process andADP systems.AEQualityCost-EffectivenessQuantityThe supervisor s and reviewersjudgement that the recom-mendation(s)improvesefficiency,productivity,flexibility,and/or usability.The amount of money sav258、ed bythe recommendation(s).#of recommendations made.10Cases of unusual technicaldifficulty that are completed.CEQualityTimelinessRatio of errors to correct cases,as judged by supervisor andreviewers.The number of days it takes tocomplete an unusual case.25Responses containing requested information o259、r solutions tocustomer complaints.CETimelinessQualityQuantityThe number of days it takes torespond to regular and prioritycorrespondence.Supervisor s and customersperception of the quality of theresponse.%of correspondence answeredwithin a certain number of days.25Support Branch Element:Competent Di260、vision EmployeesNCQualityQuantityCost-EffectivenessTimelinessRatio of errors/correct cases forDivision.%of training needs filled.Total cost of the training given.#of days to fill a training needonce determined.Developing Employee Performance PlansA Handbook for Measuring Employee Performance49Exerci261、se for Determining General and Specific Measures:Determine the general measures for your job,based on the elements that you created in theprevious exercise.Next,identify some specific measures.PriorityPointsElementTypeGeneral MeasureSpecific MeasureDeveloping Employee Performance PlansPerformance Ma262、nagement Practitioner Series50Step 6:Develop work unit and individual standards.The next step in the process of developing aperformance plan is to establish standards forthe elements.To work through this sectionsuccessfully,you will need to know the num-ber of levels your appraisal program uses toap263、praise elements.You also will need toknow which performance level your programuses as the retention standard.(A definitionof retention standard is included in this section.)The discussions below address performancestandards and what to avoid when writingstandards.What is a performance standard?Perfo264、rmance standards are management-approved expressions of the performancethreshold(s),requirement(s),or expectation(s)that employees must meet to be appraised at particular levels of performance.Each critical element must have a FullySuccessful or equivalent standard established.Technically,neither no265、n-critical elementsnor additional performance elements require aFully Successful or equivalent standard.However,to help employees and work unitsunderstand the expectations of performanceon these elements,we recommend that theyhave a clear idea of what is considered fullysuccessful performance.(NOTE:266、non-criticalelements must be appraisable at least at twolevels,but those levels can be establishedhigher than the Fully Successful level.)What should performance standardsinclude?Once you have established the specificmeasures that apply to the elements,you canbegin to write the standards.Before writ267、ingthe Fully Successful standard,you must knowthe number of levels that your appraisalprogram uses to appraise elements.Forexample,if you are under an appraisalprogram that uses two levels to appraiseelements,the Fully Successful standard woulddescribe a single point of performance.Anyperformance at268、 or above that point is FullySuccessful,and anything below it isUnacceptable.If,however,your appraisalprogram uses five levels to appraise perfor-mance,you would describe the FullySuccessful standard as a range.Performancethat exceeds the top of that range would beappraised at the level(s)above Full269、ySuccessful,and performance below thebottom of that range would be MinimallySuccessful(or equivalent)or Unacceptable.How you write the Fully Successful standarddepends on the number of levels your programuses to appraise performance of elements.If a specific measure for an element isnumeric,for exam270、ple,you would list the unitsto be tracked and determine the rangeof numbers(or the single number in a pro-gram that appraises elements at two levels)that represents Fully Successful performance.If the specific measure is descriptive,youwould identify the appraiser(s)who wouldjudge performance,list t271、he factors that theappraiser(s)would look for,and determinewhat he or she would see or report thatverifies that Fully Successful performance forthat element had been met.(Remember toexpress performance standards in terms of thespecific measure(s)determined in Step 5 of thisprocess.)Examples.Several 272、examples of elementsand standards are included below.Thespecific measures are in italics;the perfor-mance(or range of performance)that actuallyDeveloping Employee Performance PlansA Handbook for Measuring Employee Performance51establishes the level of the standard is inboldface type.Element:Cases Co273、mpletedFully Successful Standard in an appraisalprogram that appraises elements at fivelevels(to meet this standard,all of thebullets listed must be present or occur):Cno more than 3-4 valid customercomplaints per year,as determined bythe supervisor;Cno more than 2-3 errors per quarter,as spotted by274、 the supervisor;andCno more than 4-5 late cases per year(processed later than 10 working daysfrom receipt).(If this standard had been written for an appraisal program that appraised elements atonly two levels,the standard would have been“no more than 4 valid customer complaintsper year,”“no more tha275、n 3 errors perquarter,”and“no more than 5 late cases peryear.”)Element:Meetings Scheduled.Fully Successful Standard in an appraisal program that appraises elementsat five levels(to meet this standard,all ofthe bullets listed must be present or occur):The meeting leader and attendeesgenerally are sat276、isfied that:Cthe room size matched the group size;Cattendees were notified of the meeting;Cattendees knew whom to call forinformation;andCthe meeting was set up by the deadline.Element:Legal AdviceFully Successful Standard in an appraisalprogram that appraises elements at fivelevels(to meet this sta277、ndard,all of thebullets listed must be present or occur):CConsistent with attorney s grade,attorney usually carries an adequateworkload of projects,frequently takeson new projects to meet the needs ofthe Office,and generally showspersonal initiative in handling projects(generally,projects are of ave278、rage diffi-culty).CConsistent with attorney s grade,legaladvice rendered is infrequentlymodified by practice group leadersand supervisors in a significant way.CAdvice given to clients is usuallytimely and thorough and of averagequality,and usually shows sensitivityto program and agency needs.Additio279、nal examples of elements andstandards specifically written for appraisalprograms that appraise elements at five,three,and two levels are included in the appendices.What should you avoid when writingretention standards?By“retention”standard,we mean thestandard that describes the level ofperformance n280、ecessary to be retained in a job(i.e.,the standard written for performance onelevel above the Unacceptable level).Inappraisal programs that do not have aMinimally Successful or equivalent levelavailable for appraising elements,the retention-levelstandard is the Fully Successful standard.Otherwise,th281、e retention standard is theMinimally Successful or equivalent standard.The Merit Systems Protection Board(MSPB)and the courts have issued many decisions onthe topic of valid performance standards.This section highlights two major errors toavoid when writing standards.Developing Employee Performance 282、PlansPerformance Management Practitioner Series52Agencies must ensure that“retention”standards:C are not impermissibly absolute(i.e.,allowfor no error);andC inform the employee of the level ofperformance needed to retain his or herjob.Avoid Absolute Retention Standards.An“absolute”retention standard283、 one thatallows for no errors is acceptable only invery limited circumstances.When a singlefailure to perform under a critical elementwould result in loss of life,injury,breach ofnational security,or great monetary loss,anagency can legitimately defend its decision torequire perfection from its empl284、oyees.Inother circumstances,the MSPB and thecourts usually will find that the agency abusedits discretion by establishing retentionstandards that allow for no margin of error.When writing standards,you should avoid theappearance of requiring perfection at theretention level.In appraisal programs tha285、t donot appraise elements at the MinimallySuccessful or equivalent level,you mustcarefully word the Fully Successful or equiva-lent standards so that they are not absolute.Forexample,here are Fully Successful standardsused by agencies that would be consideredabsolute retention standards if they were286、 usedin a two-level appraisal program:C Work is timely,efficient,and of acceptablequality.C Communicates effectively within andoutside of the organization.These standards are considered absolute because they appear to require that work isalways timely,efficient and of acceptablequality and that the 287、employee alwayscommunicates effectively.When writingstandards especially retentionstandards avoid simply listing tasks withoutdescribing the regularity of the occurrence ofthe task but also avoid the requirement to doit always.Also,in appraisal programs that appraiseelements at levels above Fully Su288、ccessful,theFully Successful standard itself as well asthe Exceeds Fully Successful standard whenan Outstanding or equivalent level ispossible should not be absolute.If it issupposed to be possible to exceed,make sureit is written that way.To help determine whether you are writing anabsolute standar289、d,ask yourself:C How many times may the employee failthis requirement and still be acceptable?C Does the retention standard use wordssuch as“all,”“never,”and“each”?(Thesewords do not automatically create anabsolute standard,but they often alert youto problems.)C If the retention standard allows for 290、noerrors,would it be valid according to thecriteria listed above(risk of death,injury,etc.)?The examples of elements and standards included in the appendices were carefullywritten to avoid absolute requirements.Avoid“Backward”Standards.The lawrequires that an employee understand the levelof performa291、nce needed for retention in theposition.When using a Minimally Successfullevel of performance,a common tendency isto describe it in terms of work that doesn tget done instead of what must be done tomeet that retention standard.Describingnegative performance actually describesUnacceptable performance292、 and fails to meetthe requirements of the law.Standards suchas“fails to meet deadlines”or“performswork inaccurately”allow an employee to dovirtually no work or to do it poorly and stillmeet that retention standard.These“backward”retention standards are consideredDeveloping Employee Performance Plans293、A Handbook for Measuring Employee Performance53invalid.Once determined invalid,a standardcannot be clarified and must be completelyrewritten.To help you determine whetheryou are writing a backward retentionstandard,ask:C Does the standard express the level ofwork the supervisor wants to see or does 294、itdescribe negative performance?(Exampleof describing negative performance:Requires assistance more than 50%of thetime.)C If the employee did nothing,would he/shemeet the standard,as written?(Example:Completes fewer than four products peryear.)More Example StandardsExample standards for a Senior Fed295、eralRetirement Benefits Specialist are shown onthe next two pages.These standards werewritten for elements that are appraised at fivelevels.The appraisal regulations only requirethat a Fully Successful standard be estab-lished for each element.However,to clarifyat the outset what employees need to d296、o toexceed the Fully Successful level(as well aswhat they must do to be retained in theposition)the Support Branch includesstandards for the Minimally Successful,theFully Successful,and the Exceeds FullySuccessful levels of performance.(Performance below the minimum of theMinimally Successful range 297、of performance isconsidered Unacceptable,and performanceabove the maximum of the Exceeds FullySuccessful range of performance isOutstanding.)Most of the example standards on the nexttwo pages are quantifiable.Examples ofdescriptive standards written at a variety oflevels are found in the appendices.298、In allthese examples,distinguishing between FullySuccessful and levels above or below FullySuccessful requires careful planning and fore-thought.Note that the standards typically describe arange of performance.Also note that theelements have been rearranged to group thecritical elements together.Dev299、eloping Employee Performance Plans54Performance Management Practitioner SeriesSenior Federal Retirement Benefits SpecialistElement,Type,andPriority PointsGeneral MeasuresSpecific MeasuresStandards*MinimallySuccessfulFully Success-fulExceeds FullySuccessfulGuidance andtechnicalassistance to lower-gra300、ded Specialists.Critical Element40 priority pointsQualityTimelinessThe accuracy of the info,as determined bysupervisor.The perceptions of lower-graded Specialists that theincumbent is willing to assist and that feedback ishelpful.The number of hours ittakes for the incumbent torespond to lower-grade301、dSpecialists request for assistance.Usually accur-ate.50-59%ofSpecialistsagree thatincumbent isroutinelywilling toassist&thatfeedback ishelpful.Usuallyresponds within8-12 workinghours fromreceipt ofrequest.Usuallyaccurate.60-80%ofSpecialistsagree thatincumbent isroutinelywilling toassist&thatfeedbac302、k ishelpful.Usuallyrespondswithin 4-8workinghours fromreceipt ofrequest.Almost alwaysaccurate.81-89%ofSpecialistsagree thatincumbent isroutinelywilling toassist&thatfeedback ishelpful.Usuallyrespondswithin 2-4working hoursfrom receipt ofrequest.Cases of unusualtechnical difficultythat are completed.303、Critical Element10 priority pointsQualityTimelinessThe ratio of errors tocorrect cases,as judged bysupervisor and reviewers.#of days it takes tocomplete an unusual case.9-10%totalerrors/quarter.Unusual casesroutinely com-pleted in 36-40days.3-8%totalerrors/quarter.Unusual casesroutinelycompleted in3304、0-35 days.2%total errors/quarter.Unusual casesroutinelycompleted in25-29 days.Responses contain-ing requestedinformation orsolutions tocustomercomplaints.Critical Element25 priority pointsTimelinessQualityQuantityThe number of days it takesto respond to regular andpriority correspondence.Supervisor 305、s andcustomers perception ofthe quality of the response.%of correspondenceanswered within a certainnumber of days.Correspondenceusuallyanswered in 10 days forpriority,17days forregular.50-59%ofcustomers aregenerallysatisfied withthe content andtimeliness ofresponse.Thesupervisor isusually satisfiedw306、ith 70-74%of responses.85-89%customers areusuallyanswered in#of days deter-mined above.Correspondence usuallyansweredwithin 7-9days forpriority,14-16 days forregular.60-79%ofcustomers aregenerally satisfied withthe contentand timelinessof response.Thesupervisor isusuallysatisfied with75-89%of respon307、ses.90-97%customers areusuallyansweredwithin#ofdaysdeterminedabove.Correspondence usuallyansweredwithin 5-6 days forpriority,12-13 days forregular.80-89%ofcustomers aregenerally satisfied withthe contentand timelinessof response.Thesupervisor isusuallysatisfied with90-95%of responses.98-99%customers308、 areusuallyansweredwithin#ofdaysdeterminedabove.Developing Employee Performance PlansA Handbook for Measuring Employee Performance 55Recommendationsfor improvementsto work process andADP systems.AdditionalPerformanceElement0 priority pointsQualityQuantityReviewers judgement thatthe recommendationimp309、roves efficiency,productivity,flexibility,costs,and/or usability.#of recommendationsmade.*N/AManagementand teammembers determinethat therecommendation(s)isworth adopt-ing.Incumbentprovides 1-2adopted recom-mendationsper year.Managementand teammembers determinethat therecommen-dation(s)isworth adopt-310、ing.Incumbentprovides 3-5adoptedrecommenda-tions per year.Support Branch Element:CompetentDivisionEmployeesNon-critical Element25 priority pointsQualityQuantityCost-EffectiveTimelinessRatio of errors/correctcases within Division.%of training needs filled.Total cost of the traininggiven.#of days it t311、akes to fill atraining need once it hasbeen determined.9-10%errorswithin theDivision perquarter.65-74%oftraining needsfilled.The cost oftraining ex-ceeds budgetby up to 1%.Within 31-45days of determinationof trainingneeds,theDivision train-ing plan isdeveloped.Within 121-150 calendardays of training312、 planapproval,train-ing is given.3-8%errorswithin theDivision perquarter.75-95%oftraining needsfilled.The cost oftraining meetsbudgetedamount.Within 15-30days of determinationof trainingneeds,theDivisiontraining planis developed.Within 45-120 calendardays of training planapproval,training isgiven.2%313、errorswithin theDivision perquarter.96-97%oftraining needsfilled.The cost oftraining iswithin 1%below budget.Within 7-14days of determinationof trainingneeds,theDivisiontraining planis developed.Within 30-44calendar daysof trainingplan approval,training isgiven.Developing Employee Performance PlansP314、erformance Management Practitioner Series56If these standards had been written for anappraisal program that appraises elements atonly two levels,only the Fully Successfulstandard would have been included and itwould describe a single point,not a range.So,for example,on the second element(i.e.,cases 315、of unusual difficulty)instead of estab-lishing 3 to 8 percent errors per quarter,etc.,as the Fully Successful standard,the standardwould be:C no more than 8%errors per quarter,andC unusual cases routinely completed in nomore than 35 working days.Another point of interest in the example isthat the st316、andards written for the group ele-ment(the non-critical element)were included ineach Branch employee s performance plan asa team element.Developing Employee Performance PlansA Handbook for Measuring Employee Performance57Exercise for Writing Standards:Based on the elements and measures you establish317、ed in the previous exercise,develop FullySuccessful standards for your elements.Remember to write standards that specifically matchthe measurement levels of your appraisal program(i.e.,two-level or more than two-level).This exercise is asking you to develop only the Fully Successful standard.If your318、 appraisalprogram appraises elements at more than two levels,you will also want to define the otherlevels of performance that are possible.Priority Pnts.ElementTypeGeneral MeasuresSpecific MeasuresFully SuccessfulStandardDeveloping Employee Performance PlansPerformance Management Practitioner Series319、58Step 7:Determine how to monitor performance.Monitoring performance means measuringperformance and providing feedback to employees.Agency appraisal programs arerequired to provide ongoing appraisal,whichincludes,but is not limited to,conducting oneor more progress reviews during eachappraisal perio320、d.In addition to a once-ortwice-a-year progress review,which is some-times a formal part of the appraisal process,supervisors and employees are encouraged todiscuss performance informally and often.Determining how to monitor performance isan important step in developing performanceplans.You may have321、 worked through theprevious six steps of the process presented inthis handbook,developed what you thoughtwere great elements and standards,and thenfound that monitoring performance on anelement is impossible,or too costly,or tootime consuming.If this happens,thinkthrough other specific measures that322、 indicateperformance measures that are as specific aspossible.To complete this step in the process:C Determine what data to collect for eachperformance element,the source of thedata,and whether to collect all the data orjust a sample.C Determine when to collect the data,whowill collect it,and who wi323、ll receive it.C Review existing reports for possible use asfeedback reports.C Create feedback tables or graphs wherenecessary or applicable.C Try to design feedback processes that givefeedback automatically.FeedbackEffective and timely feedback addressingemployee performance on elements andstandards324、 is an essential component of asuccessful performance managementprogram.People need to know in a timelymanner how theyare doing,what is working,and what is not.Feedback can come from many differentsources:managers and supervisors,measurement systems,peers,and customers,just toname a few.Using multip325、le sources offeedback,which is sometimes called 360-degreeassessment or multi-rater appraisal,is done ina variety of ways,but most methods arecomputerized and the raters are anonymous.Whether you need or want to use multi-raterappraisal depends on what you want tomeasure.For example,if you want to m326、ea-surecustomer satisfaction,the best way to get theinformation is to ask the customer directly.(If customer survey tools are not available,orthey are too expensive to develop,you mayhave to rely on other feedback sources,suchas the number of complaints received.)However feedback occurs,certain fact327、orsensure its effectiveness:Specificity.Feedback works best when itrelates to a specific goal,such as thoseestablished in elements and standards.Basingfeedback on the employee s performanceagainst his or her elements and standards is key to providing tangible,objective,and powerful feedback.Telling 328、employees that Developing Employee Performance PlansA Handbook for Measuring Employee Performance59they are doing well because they exceededtheir goal by 10%is more effective thansimply saying youre doing a good job.Timeliness.Employees should receiveinformation about how they are doing astimely as 329、possible.If they need to improvetheir performance,the sooner they find outabout it,the sooner they can correct theproblem.If employees have reached orexceededa goal,the sooner they receive positivefeedback,the more rewarding it is to them.Manner.Give feedback in a manner that willbest help improve p330、erformance.Since peoplerespond better to information presented in apositive way,express feedback in a positivemanner.This is not to say that informationshould be sugar-coated.Present accurate,factual,and complete feedback;it is moreeffectivewhen it reinforces what the employee did rightand then iden331、tifies what the employee needs todo in the future.Constant criticism eventuallyfalls upon deaf ears.Naturally-Occurring Feedback.Somekinds of feedback occur naturally while otherkinds require careful planning andmanagement.Naturally-occurring feedbackcan beclassified into two categories.The first ty332、peis self-evident feedback information thatemployees can see for themselves as they dotheir work.For instance,a team of materialshandlers who are given the assignment ofmoving ten stacks of supplies from one sideof the warehouse to the other by the end ofthe day will know that if only one of tenstac333、ks is moved by noon,they are not likelyto complete the assignment on time.Thisinformation is self-evident and is obtained bythe employees making their own comparisonsagainst a specific goal.Another kind of self-evident feedback can be gained by having a broader scope of work.The broader the employee s scope of work,the better the employee can determine thequality of the finished product.For exampl