Ohio National Guard Familiarization Training Ohio Technician Personnel Regulation (TPR) 430 & Using the Performance Appraisal Application (PAA) 1

Ohio National GuardFamiliarization Training

Ohio Technician Personnel Regulation (TPR) 430

&Using the Performance Appraisal

Application (PAA)

1

Overview

• Purpose• TPR 430• Drafting a Performance Plan in the

Performance Appraisal Application• Next Steps• Questions

2

Purpose

• Introduce new TPR 430, Performance Management

• Provide familiarization training with the Performance Appraisal Application (PAA) so that you can draft your performance plan

• Validate training by following up to ensure all participants draft a performance plan in the PAA

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Performance Appraisal Program

A performance appraisal system that encourages the fair and equitable evaluation of employees based on performance and results

Program shall provide for employee participation in program development, implementation, and application

A Higher level review ensures equitable and consistent application of, and compliance with, performance management requirements by all subordinate raters 4

•BenefitsBenefits

Self

Assessment

Interim

Review

Performance

Appraisal

•Monitoring, Developing, Rating, Rewarding

•Performance Appraisal Process

•Supervisor•Higher Level

Reviewer•Employee •Supervisor

•Defines mission•Develops Critical Elements

•Uses working Critical Element field on form

•Understands mission•Reviews/revises Critical Elements

•Uses working Critical Element field on form

•Revises Critical Elements•Cuts and pastes into Critical Element field on form

•Reviews performance plan for equity among employees in same occupation, and salary.•Approves performance plan for employee

•F•IN•A•L

Rating is the

basis for

personnel

actions.

•Planning

5

Ohio TPR 430

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Chapter 1 General Information

1. Purpose2. References3. Explanation of Abbreviations and Terms4. Responsibilities

a. (d) Adjutant General-Program owner & final appeal authority

b. (e) HRO-Oversight and trainingc. (f) Supervisors-Effective performance managementd. (g) Technicians-Understand and participate

5. Objective: provide a meaningful and efficient method for evaluating performance

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Chapter 2 Program Requirements

1. Appraisal Perioda. 52 week period based on birth monthb. If you were born in December, your next rating period will be

from 1 Jan 11-31 Dec 11 (See chart)

2. 5 Rating Level Method: a. 5=Outstanding, 4=Excellent, 3=Fully Successful, 2=Marginal,

1=Unacceptableb. Each objective rated on a whole number scale, the final rating is

an average

3. Grandfather provision – for FY 2011 transition period 4. Minimum Period of Performance

a. 120 daysb. Non-pay status does not count toward ratingc. Temp Techs do not receive appraisals

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Table 2-1: Birth Month Appraisal Cycle

Birth Month Appraisal Cycle Begins Appraisal Cycle Ends

January 1 February 31 JanuaryFebruary 1 March 28 FebruaryMarch 1 April 31 MarchApril 1 May 30 AprilMay 1 June 31 MayJune 1 July 30 JuneJuly 1 August 31 JulyAugust 1 September 31 AugustSeptember 1 October 30 SeptemberOctober 1 November 31 OctoberNovember 1 December 30 NovemberDecember 1 January 31 December

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1. Appraisal Perioda. 52 week period based on birth monthb. If you were born in December, your next rating period will be

from 1 Jan 11-31 Dec 11 (See chart)

2. 5 Rating Level Method: a. 5=Outstanding, 4=Excellent, 3=Fully Successful, 2=Marginal,

1=Unacceptableb. Each objective rated on a whole number scale, the final rating is

an average

3. Grandfather provision – for FY 2011 transition period 4. Minimum Period of Performance

a. 120 daysb. Non-pay status does not count toward ratingc. Temp Techs do not receive appraisals

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5. Trial/Probationary Period Ratingsa. No rating will be accomplished during the 12 month

trial period (no more “retention appraisals”)b. Supervisors must carefully observe and evaluate

technicians during the trial periodc. Supervisors must contact HRO for non-retention

during the trial period d. For retention beyond the trial period, the technician

must be performing at Level 3 Fully Successful or above

e. After completion of the first 12 months of Federal Service, the technician will receive a rating of record

f. And the next appraisal will be due on the birth month cycle, minimum 120 days

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6. Procedures for Temporary Details, Reassignments or Promotions

a. Less than 120 days-Primary supervisor responsible1) Different Supervisor-coordination required, informational closeout

>30 days, Permanent Supervisor is the rating official2) Same Supervisor-considers performance on detail as part of

overall performance

b. Greater than 120 days-Temporary supervisor drafts a plan based on the temporary assignment & rates the technician at the end of the assignment

7. Postponementsa. New assignmentsb. Extended detailsc. Less than 120 days under the performance pland. Deploymentse. Absence due to work-related injury

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8. Performance Plansa. Aligned with mission goals-Readinessb. Expectations based on: goals, requirements, procedures, or

other instructions c. Communication: must be ongoing and two-way between

supervisor and technician. An interim review is required.d. Adjustments to plans may take place at any time as long as

there is at least 120 days left in the rating periode. Plans built in the PAA. Based on written Objectives; which are

a combination of critical elements and performance standards. Should be written so that supervisor and technician understand what is expected, and how performance will be evaluated into a rating

f. Critical Elements: 3-5 elements recommended, may be weighted.

9. Mandatory critical element for supervisors (Performance management, upholding merit principles, EEO compliance and Safety) 13


10. Monitoring Performancea. Regular communication to reinforce the good, address the

bad, and update objectives as necessaryb. Unacceptable performance should be addressed immediately

—do not wait until the end of the appraisal periodc. Although communication will take place in the system and

through email, face-to-face dialogue is still the standardd. Written documentation of performance feedback will be

annotated in the supervisory workfoldere. An Interim Review, done in the PAA, is required between the

4th and 6th months of the appraisal period, and will be trackedf. Closeout Assessments will be done in the PAA when needed,

if 120 day minimum rating period is met. Closeouts from the most recent appraisal period will be viewable by the technician, rater, and approving official

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11. Developing Performancea. The process is designed to help technicians improve and growb. Professional and technical development is encouraged

12. Performance Deficienciesa. Proactive assistance is required when a technician is at or

below Level 2 Marginal performance b. Options include counseling, increased supervisory assistance,

additional training, etc…c. Supervisors will consider the circumstances surrounding the

deficiencyd. Supervisors shall present performance deficiencies in writing

to their technician

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13. Performance Improvement Plan (PIP) Requirements

a. If performance is deemed Unacceptable, the supervisor must initiate a PIP after consultation with HRO and Labor Organization for Bargaining Unit employees.

b. A PIP is required when Level 1 performance in any Objective is identified, optional with Level 2 performance

c. PIP is in writing, normally for 90-120 days, and identifies the deficiency and what must be done to attain a Level 3 rating

d. Level 1 Unacceptable performance, if uncorrected, will result in reassignment, change to lower grade, or removal

e. Reassignment may be done at any time. Change to Lower Grade or removal require a 30-day notice

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14. End of Year Performance Assessmentsa. Supervisory Assessment

1) Narrative evaluation of performance is required, along with a 1-5 whole number rating for each job objective.

2) The PAA will calculate the overall rating.

3) The supervisor will evaluate, obtain approving official review either electronically or as certified by other means, and then communicate the rating to the technician.

4) Due within 30 days of the end of the appraisal period.

b. Technician Self-Assessment: 1) Optional narrative input completed in the PAA by the

technician for the supervisor’s benefit in evaluating performance.

2) May be added to at any time, also available at Interim.17


15. Rating Methodology (overall summary rating)a. Based on the rating of each objective, the PAA will

generate a summary rating.b. If the objectives are weighted, the weights must

equal 100% when added together. The PAA will police this and perform the calculations

c. Summary Ratings:1) 1 on any Objective Level 1 Unacceptable2) 2.00 to 2.50 Level 2 Marginal3) 2.51 to 3.50 Level 3 Fully Successful4) 3.51 to 4.50 Level 4 Excellent5) 4.51 to 5.00 Level 5 Outstanding

d. A Special Purpose Rating shall be accomplished when a Level 1 rating improves to Level 2 for at least 30 consecutive days 18

Chapter 3 Review and Appeal Process

1. Final Appellate Authority: The Adjutant General is the final authority. Technicians must choose whether they will appeal through this process or with a grievance—they can’t use both

2. Appeals of 5-4-3 Summary Ratings: Accomplished by a supervisory chain of command review

3. Appeals of 2-1 Summary Ratings: Accomplished by a State Review and Appeals Board. The board is made up of officials not in the technician’s chain of command convened to review the appeal and make a recommendation to the Adjutant General. Technicians are entitled to representation at their own expense (the Government will not provide representation)

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Chapter 3 Review and Appeal Process

4. Filing an Appeal: 5-4-3 Summary Rating Appeals must be filed with HRO NLT 30 days after receipt of the appraisal. 2-1 Summary Rating Appeals must be filed with HRO NLT 15 days following notification of a performance-based personnel action.

5. Appeal Processing: The technician must provide required information to HRO, as available (name, unit, the appraisal being appealed, why it should be changed, the requested performance level, and date the appraisal was received)

6. Board Procedures: the board has a wide range of flexibility to take oral or written evidence as it deems fit to evaluate the appeal and make a recommendation.

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Appendices

A. ReferencesB. Terms and DefinitionsC. Creating Performance Plans and Conducting the

AppraisalD. Mandatory Critical Element for Supervisory LeadershipE. Sample Performance Improvement Plan MemoF. Sample Notice of Written Decision Based on

Unacceptable PerformanceG. NGB Form 430H. Ohio National Guard Performance Management Cycle

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Birth Month

Birth Month

Interim Review

Months 2 – 3

Issue Performance

Plan

Months7 - 11

Performance Plan developed with technician input to set new and higher

expectations for fully successful performance in the next year

During this time the supervisor documents performance in

Supervisor Record Brief (SRB)

An Interim Review and feedback to the employee is required during months 4-6 of the rating period

During this time the supervisor documents performance in

Supervisor Record Brief (SRB) and provides counseling and feedback

Issue Rating of Record

This is the last month of the rating cycle. Technician completes self assessment as input to the final

rating of record

End of birth month triggers the start of a

new rating period

Supervisor finalizes the rating of record. The cycle starts over. A new

performance plan with higher expectations for fully successful

performance is established

Ohio National Guard Performance Management Cycle

Appendix H

Supervisors must document counselings in the Supervisor’s Workfolder for each employee. Documentation can be on the Supervisor’s Record Brief (SRB), memorandum format or on the Form 904-1

Sum Up

Changes:

• Critical Elements and Standards must be written in combination

• Supervisory Critical Element includes EEO/EO, managing performance, upholding merit principles, and workplace safety

• Interim Review

• NGB Form 430 includes all parts of the performance management process, and is completed online

• Alignment with mission goals

• No more 10-Month Probationary Retention Appraisals (Notification is through My Workplace)

No Change: • Level 1 thru 5 Rating Pattern• Birth Month Appraisal Cycle• 120 day minimum rating period• Postpone appraisal in limited

circumstances• Basis for performance based

awards• PIP recommended for marginal

performance, required for unacceptable performance

• Performance based actions include reassignment, change to lower grade, removal

• Appeals processes

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Drafting a Performance Plan in the Performance Appraisal Application (PAA)

A My Biz/My Workplace Tutorial

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Overview

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What is My Biz?

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•TECH

•“Military info” •“Technician Info”

What is My Biz?

A Self-Service application (web-based) that allows technician employees to:

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• ACCESS & VIEW

• tech employment info

What is My Biz?

MAINTAIN

• some of your personal information…

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What is My Biz?

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•SF 50•Personnel•Action

• All Permanent , Indefinite, and Temporary technicians automatically get a My Biz account

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•Who gets a My Biz account?

• My Biz interfaces with DCPDS nightly to create/update accounts

• DCPDS

What can employees VIEW?

Can VIEW data related to their technician employment such as:

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• Appointment information

• Position information (current & historical)

• Salary information

• Awards and Bonus information

• Benefits

• Performance Appraisals

• Personnel Actions

What can employees MAINTAIN?

• Employees can MAINTAIN the following data:– Race and National Origin designation – Handicap code– Phone numbers– Email addresses (.mil account)– Foreign language proficiency– Emergency Contact info– Education and Training*

*must be validated by the Human Resources Development (HRD) office

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What is My Workplace?

My Workplace is a Self-Service application that allows supervisors of technician employees to:

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•VIEW

•employee personnel information

•personnel actions that have processed on their employees

What is My Workplace?

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•INPUT & TRACK

•Performance Appraisal information

Who gets a My Workplace account?

• Anyone who supervises technicians– including AGRs, state

employees (TAG)

• Nightly interface with DCPDS to update and create accounts

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• DCPDS

My Workplace – what can I view?

• Supervisors can currently view the following employee info:– Position information (current & historical)

– Salary information

– Awards & Bonuses

– Performance info

– Appointment info

– Personnel Actions

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Login Access

• MyBiz/MyWorkplace login: – https://compo.dcpds.cpms.osd.mil

• Select your non-email certificate• Password and username: SSN with hyphens• Select MyBiz > Update My Information

– Enter email address (.mil) and emergency contact info

• Technicians stay in MyBiz and select the PAA to perform your actions

• Rating Officials and Higher Level Reviewers go to MyWorkplace and then to PAA to perform your actions

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Performance Appraisal Application

• Entire process for building performance plans, reviewing interim progress, doing self assessments & completing annual appraisals (or closeouts)

• Happens online & updates the HR system automatically, no paper copies to HRO

• Interactive processes for Technician, Rating Official & Approving Official

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Performance Appraisal Application

• Features:– Copy performance plans to multiple technicians – Copy Plans from Year to Year– Copy and paste for individual entries– Flexibility for plans, reviews & appraisals to be sent back

and forth electronically, or for supervisor to certify on behalf of other individuals

– Character Counter for text entries– Track Progress Page– Reassigning raters for one or multiple technicians when

position moves take place (doesn’t change hierarchy)– Archived copies of old plans and appraisals completed

under this system– Assessment by Objective, with or without weighting

Optional Self

Assessment

Interim Review

Performance Appraisal

Begin new Plan

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Process

Performance Plan

Optional Self

Assessment

Performance management is ongoing and interactive

Start

4-6 Month Mark

12 Months

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Tab Interface

Tabs guide you through the process. The tabs are the same for employees, Rating Officials and Higher Level Reviewers. Below are the primary tabs.

Select this tab to work with a Performance

Plan

Select this tab to work with Job

Objectives, self assessments and

ratings

Select this tab to view and print Reports/Forms

Select this tab to approve or acknowledge a plan,

review or appraisal

Select this tab to work with

Mission Goals

Select this tab to work with Plan

Details

Select this tab to work with an Interim Review

Select this tab to work with an

Annual Appraisal

Select this tab to work with a

Closeout or Other Appraisal

Process: Performance Plan

42

StartRating Official initiates plan

in PAA

Rating Official finalizes plan

Higher Level Reviewer

approves plan

Rating Official provides a copy of

the plan to technician

End

Technician provides

feedback on objectives

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•My Workplace- main screen

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•My Workplace - main screen

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•My Biz - main screen

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Establishing a Performance Plan

From the Main Page the employee or rating official can create and review the Plan, transfer a plan in progress, view and print the entire plan after it is created, and track the status of the plan.

The Need Help link will give you information on what is available on the

page where you are located.

To create a new Performance Plan:Select Choose a Plan Type

Select National Guard (Title 32)Select Go

This table includes information on the status of existing plans. From this screen you can view and update existing plans.

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Plan Details

Begin Here

From this page the owner can enter the administrative data to start a new plan, change the Rating Official and Higher Level Reviewer, copy an existing plan or return to Main Page.

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Mission Goals

This is where you link the Unit Mission to the technician’s job duties. Either the Rating Official or the employee can provide this information. Select the Next button to continue.

Where do I find the info??

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Where do I find the info??

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•Information for your

critical elements

Mission Objectives

• Mission - an operation or duty assignment that is assigned by a higher headquarters

• Critical Element – an action that, if not accomplished to the specified standard, results in a serious adverse effect upon the organization’s mission accomplishment

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Job Objectives

This is where you add, update or view Job Objectives. To Add, select Add Job Objective button.

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Job Objectives

Copy-Paste from MS Word or type a job objective. When done, you can Save, Save and Add Another Job Objective, or Save and Return to the Job Objectives Tab. Repeat this process until all of the job objectives are created. When complete select Save and Return to Job Objectives Tab.

You can change the start date to reflect the period of performance

The Job Objective Number auto populates

You may copy and paste or type your Job Objective

Job Objectives

• Combination of a Critical Element and Standard– Edit current critical elements/standards into a job objective

statement of less than 1000 characters– You can work them up ahead of time in a Word document and

cut-and-paste into the PAA– See Appendix C para 2 of the TPR: identify duties, group into

categories, and develop manners of performance descriptions

• Describe a major responsibility and provide a description of all levels of performance

• Minimum of 3-5 objectives recommended• Objectives may be weighted-the system will ensure you

do it properly• Keep conduct separate

– Attitude, Work Ethic, Tardiness

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Mandatory Supervisory Objective

5 OutstandingFor 3 or more manners of performance: results were far superior in quality, quantity, and/or impact to the stated objective to what was expected; overcame significant obstacles; demonstrated the highest standards of personal and professional conduct; represented the organization effectively

4 ExcellentMeets the fully acceptable standard and, in addition, meets the requirements for outstanding in at least 1 manner of performance

3 Fully SuccessfulAdminister the performance management process in a timely and effective manner; ensure effective administration and compliance with laws, regulations and policies concerning merit system principles, prohibited personnel practices, EO/EEO, and Safety

2 MarginalFollowing formal counseling, fails to follow any 1 manner of performance shown in the fully acceptable standard

1 UnacceptableFollowing counseling, fails in any 2 or more fully successful manners of performance standard

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Job Objectives

Copy-Paste from MS Word or type a job objective. When done, you can Save, Save and Add Another Job Objective, or Save and Return to the Job Objectives Tab. Repeat this process until all of the job objectives are created. When complete select Save and Return to Job Objectives Tab.

You can change the start date to reflect the period of performance

The Job Objective Number auto populates

You may copy and paste or type your Job Objective

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Approvals and Acknowledgments

Here you can monitor the status of the Performance Plan. From this page the appropriate individual may complete a step if it is highlighted, transfer the plan, track progress or return to the Main Page.

This screen details the status of the approval and acknowledgment process.

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Transfer to Rating Official

This technician is going to transfer the Performance Plan to the Rating Official for review and approval. By using the Transfer to Rating Official with Email Notification option, your message will go to the rating official. The email address must be updated in My Biz or My Workplace for this functionality to work.

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Transfer to Higher Level Reviewer

This Rating Official is going to transfer a plan to the Higher Level Reviewer for approval. This can also be done with email notification.

Process: Self Assessments

• Employees self-assess each objective for interim reviews and appraisals, max 2000 characters

• Describe progress made to date, obstacles overcome, difficulties to be faced, resources needed to succeed, opportunity to request modification of objective

• STAR-Situation, Task, Action, Result

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Process: Interim Review

61

StartTechnician initiates Self Assessment in

PAA (optional)

Rating Official assesses performance to date, but does not

give a rating

Higher Level Reviewer approves

Interim Review

Rating Official goes over Interim Review with

technician, then identifies next steps

End

Process: Annual Appraisal

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StartTechnician initiates Self Assessment in

PAA (optional)

Rating Official rates performance for each Job

Objective for rating of record

Higher Level Reviewer approves appraisal

rating

Rating Official provides finalized appraisal to

technician

EndTechnician may appeal

a rating IAWOhio TPR 430

Rating of record is basis for Performance

Based Awards

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Track Progress

This page displays the status of the Performance Plan throughout the cycle.

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Reports and Forms

These are the different areas of the form available to print. Until the Annual Appraisal is complete the Form 430 will be a working copy.

Next Steps

• Draft a performance plan for yourself no later than 30 May 2011 30 May 2011

• HRO will be tracking all trainees by name• Training objective will be accomplished when you have

drafted a plan• Supervisors—be prepared to provide familiarization

training to new employees• Ongoing training will be included in the Technician

Personnel Management Course and New Employee Orientation at HRO

• Future Training Opportunity

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Resources

• References located on the HRO Public Site:

• http://www.ong.ohio.gov/hro/index

•

• Ohio Technician Personnel Regulation (TPR) 430

• Ohio NG Familiarization Training Slides

• Ohio NG Familiarization Training Participant Guide

• Quick Guide for Establishing Critical Elements

• Self Assessment Guide

• Self Assessment Journal

• My Biz/My Workplace User Guide

• PAA Guide for Employees

• PAA Guide for Rating Officials

• PAA Guide for Higher Level Reviewers

• Links:

• DCPDS Portal: Log in for My Biz/My Workplace

• https://compo.dcpds.cpms.osd.mil

• DCPDS Self Service: DCPDS User Guide, FAQs, terms, definitions, and brochure

• http://www.cpms.osd.mil/hrbits/selfservice.aspx

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http://www.ong.ohio.gov/hro/index

https://compo.dcpds.cpms.osd.mil/

http://www.cpms.osd.mil/hrbits/selfservice.aspx

Points of Contact

LOGIN ISSUES:– Mr. Dale Paul, [email protected] – Mr. Rick Stone, [email protected]

HIERARCHY ISSUES:For Air Personnel: Contact your Base RemoteFor Army Personnel:

Primary: Ms. Cindy Hurst, [email protected]: Mr. Troy Shoffstall, [email protected]

PERFORMANCE MANAGEMENT PROCESSES: CW3 Rosalie Metoxen, [email protected]

HRO CUSTOMER SERVICE:614-336-7051

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mailto:[email protected]





Questions

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Documents

Ohio National Guard Familiarization Training Ohio Technician Personnel Regulation (TPR) 430 & Using the Performance Appraisal Application (PAA) 1