UNITED STATES DEPARTMENT OF AGRICULTURE Farm Service Agency Washington, DC 20250

For: FSA Employees FY 2017 Performance Management Close-Out and Performance Awards; Preparing for FY 2018

Approved by: Associate Administrator of Operations and Management

1 Overview A Background The FY 2017 performance cycle ends September 30, 2017. FSA managers should be preparing to:

• complete FY 2017 performance appraisals by October 30, 2017

• create FY 2018 performance plans by October 30, 2017

• enter FY 2018 performance plans into EmpowHR and ensure concurrence no later than November 15, 2017.

B Purpose This notice highlights:

• FY 2017 non-executive performance plans, new performance management standards for supervisors

• guidance on assessing the performance of non-executive employees and detail

opportunities

• FSA leadership’s commitment to performance based awards in 2018

• key features (due dates, responsibilities, and training) related to closing out the FY 2017 performance appraisal period and preparing for the FY 2018 appraisal period,

• new Performance Improvement Plan (PIP) deadlines

Disposal Date December 1, 2018

Distribution All FSA employees; State Offices relay to County Offices

9-21-17 Page 1

Notice PM-2991

Notice PM-2991

1 Overview (Continued)

B Purpose (Continued)

• using exceptions within performance standards

• updates to outreach standards

• provides FY 2018 performance management checklists (Exhibit 5), and deadlines for the input of appraisals and processing of the forthcoming FY 2017 performance awards.

C Updated 5-PM, Performance Management System

The updated 5-PM:

• covers performance management and the awards programs,

• provides all element descriptions and performance management guidance and policy previously issued in annual performance notices, and

D Labor-Management Obligations

Where exclusive representation exists, bargaining may be requested to the extent allowed by applicable statutes and according to contract language.

2 2017 Performance Appraisal Close Out A Due Dates and EmpowHR Processing

The FY 2017 appraisal period ends September 30, 2017. Performance appraisals must be completed within 30 calendar days of the end of the appraisal period. Supervisors should have entered FY 2017 performance appraisals into EmpowHR and ensure that the reviewer, and employee concurrence was completed as close as possible to October 30, 2017, but no later than November 15, 2017. Supervisors should only enter FY 2018 performance plans in EmpowHR after they have verified that the reviewer concurs the FY 2017 ratings. This will allow the rating to complete the process cycle in EmpowHR.

B Performance Appraisal Requirements To rate an employee, both of the following must have occurred:

• a performance plan must have been established, and • the employee must have been under that performance plan for at least 90 calendar days.

Note: If it has not been 90 calendar days by the end of the appraisal period, the period may be

extended to reach the 90-calendar-day period. 9-21-17 Page 2

Notice PM-2991

2 2017 Performance Appraisal Close Out (Continued) C Properly Rating Employees

An employee’s FY 2017 performance appraisal must be based on documented accomplishments that align with the expectations established in the employee’s performance plan. Rating and reviewing officials must:

• use the standards in the employee’s FY 2017 performance plan to establish a rating and make distinctions in levels of performance (HRD Intranet Exhibits 2 and 3), and

Note: Click this link to view HRD Intranet Exhibits 2 through 6, https://inside.fsa.usda.gov/operations/dam/hrd/performance-management/index.

After accessing the web site, CLICK “Employee Resources”, “Performance Management”, “Links/References”, Articles, and Exhibits.

• document and record accomplishments for employee performance above fully successful. Note: If the employee is rated at the “Exceeds” level for any element, written

documentation of the employee’s accomplishments is required.

D Appraising Elements and Preparing the Summary Rating For details on appraising elements and preparing the summary rating, see 5-PM, Part 5. 3 FY 2018 Performance Plan

A Coverage

All FSA employees nationwide are required to have FY 2018 performance plans established according to 5-PM, Part 1, except: • individuals in the Senior Executive Service,

• state committee and county committee members,

• individuals excluded from coverage by statute or OPM regulation, and

• individuals for whom employment is not reasonably expected to exceed the minimum appraisal period (90 calendar days) in a consecutive 12-month period. Note: Temporary intermittent employees would only be subject to the performance

management system if they actually work a continuous 90-calendar-day period, regardless of the length of their appointment.

9-21-17 Page 3

Notice PM-2991

3 FY 2018 Performance Plan (Continued) B Employee Participation

Employee participation and engagement is required in establishing or revising performance plans. This may be accomplished by whatever method works best for the parties concerned.

Example: The supervisor could ask the employee to develop a draft performance plan for discussion or the supervisor could develop a draft performance plan for discussion. Note: The example elements and standards found in Exhibit 2 and 5-PM should be used as starting points for draft performance plans. C Required Features to Be Included in Every Employee Performance Plan

In addition to the required elements and standards, every performance plan should clearly demonstrate all of the following:

• cascading alignment,

• results-focused elements,

• at least one noncritical element,

• at least three standards for each element, but no more than eight, and

• at least one “mission results oriented” element valued at four appraisal points (that is,

mission results, execution of duties, or supervision).

D New Standards for Non- Senior Executive Service (SES), Scientific, and Senior Level Positions FY 2018 Performance Plans

Following are new Performance Management Standards for supervisors. As part of USDA's implementation of the Office of Management and Budget Memorandum M-17-22, Comprehensive Plan or Reforming the Federal Government and Reducing the Federal Civilian Workforce, Attachment 1 prescribes new mandatory language for the performance management portion of the Leadership and/or Supervision element for all non-executive supervisory positions. This includes every position with performance management rating or reviewing responsibilities, irrespective of whether the supervisory responsibilities comprise 25 percent of the supervisor's time, or whether they are officially titled “Supervisory”. The standards defined at the “Meets Fully Successful” level are aligned with the policies in DR-4040-430, and are described in detail to ensure that supervisors at every organizational level are fully aware of the expectations. Exhibit 1 also describes standards at the “Exceeds Fully Successful” level for the performance management portion of the Leadership/Supervision element.

9-21-17 Page 4

Notice PM-2991

3 FY 2018 Performance Plan (Continued)

D New Standards for Non- Senior Executive Service (SES), Scientific, and Senior Level Positions FY 2018 Performance Plans (Continued)

The new standards are effective October 1, 2017, and will remain in effect until further notice. Supervisors will be held accountable for achieving these standards throughout the FY 2018 performance year. Absent extenuating circumstances, rating officials will be precluded from receiving an Exceeds Fully Successful for their 2018 Leadership/Supervision element if they do not meet the prescribed deadlines for their performance management responsibilities in FY 2018. Rating officials who fail to carry out their performance management responsibilities altogether must receive a Does Not Meet Fully Successful for this element, and will therefore receive a summary rating of Unacceptable. Reviewing official’s Leadership/Supervision element must reflect the degree to which they held their subordinate rating official(s) accountable throughout the year for carrying out their performance management responsibilities.

E Assessing Performance for Employees Serving on Details

DR-4040-430 specifies that performance plans must be established for General Schedule (GS) employees on Details lasting 90 days or more. Exhibit 2 describes the methods for assessing performance in those situations.

F Required Elements and Standards FY 2018 Performance Plan

The mission results element or at least one other critical element must be clearly aligned with FSA’s goals.

Note: Outreach standards have been updated and receipt for service standards introduced.

Additional guidance will be provided to ensure that supervisors and employees are compliant with forthcoming departmental regulations about training and development for supervisors.

9-21-17 Page 5

Notice PM-2991

3 FY 2018 Performance Plan (Continued)

F Required Elements and Standards FY 2018 Performance Plan (Continued) Mandatory:

• elements for nonsupervisory employees:

• equal opportunity, civil rights, and diversity and inclusion, and • customer service, users may access EmpowHR for a menu of the suggested standards.

• standards for nonsupervisory employees:

• health and safety, under any element that the supervisor deems appropriate, and • PII, under any element that the supervisor deems appropriate.

• elements for supervisors and/or managers:

• equal opportunity, civil rights, and diversity and inclusion, • customer service, user may access EmpowHR for a menu of suggested standards, • mission results, and • supervision.

• standards for supervisors and/or managers:

• employee engagement, under supervision, • cultural transformation, under mission results, • diversity roadmap, under supervision, • recruitment and hiring, under supervision, • retention and succession planning, under supervision, • performance management, under supervision (revised and updated for FY 2018), • health and safety, required for all employees under any element, and • PII, required for all employees under any element.

G Employee Performance and PIP

On August 11, 2017, OHRM initiated an expedited review and revision of DR 4040-430, with particular focus on addressing performance problems and improving the efficacy of PIP’s according to 5 CFR Part 432. Henceforth, the provision set forth in the DR at Section 9.g.(3)(a) mandating that a PIP “opportunity period must be at least 60 days”, is hereby suspended. However, 22-PM and most union contracts required a PIP to be at least 90 days. For consistency, Agency practice has been at least 90 days for all PIP’s.

9-21-17 Page 6

Notice PM-2991

3 FY 2018 Performance Plan (Continued)

G Employee Performance and PIP (Continued)

Further, as an employee's performance may be determined to be less than fully successful in one or more critical elements at any time during the appraisal period, this employee can be placed on a PIP at any point during the appraisal period up to and including September 30th.

Should an employee be placed on a PIP with a scheduled duration exceeding October 30th, the agency should issue that employee a summary rating of “Unacceptable” for the appraisal period. This will remain the employee's rating of record for FY 2017, regardless of the final disposition of the PIP in FY 2018.

It is imperative that the supervisor be cognizant of when the respective employee's next within-grade increase (WIGI) is scheduled.

The WIGI determination is based on the most recent rating of record, the regulations provide that a supervisor, in making an “acceptable level of competence” determination, may issue a new rating of record if the most recent rating does not reflect the employee's current performance. Note: The agency should issue the employee a summary rating of “Fully Successful” only if the PIP is successfully completed.

H Required Outreach Standards for Field Office Employees

In FY 2014, new performance standards were introduced for all service center employees and outreach coordinators. See Exhibit 3 for outreach standards and Exhibit 4 for receipt for

service standards. 9-21-17 Page 7

Notice PM-2991 4 Clarification of the Proper use of Exceptions within Performance Standards

A Exceptions for Evaluating Employees

We encourage supervisors to exercise caution when determining what constitutes an exception when evaluating employees and determining if his or her performance standard is met. Minor or inconsequential errors within the context of the work should not have a severe impact on the employee rating or evaluation. The rare grammatical error, typo or an auto correct spelling error should not necessarily be counted as an exception (impactful error). However, if the employee’s major responsibility and duty is to produce clean, documents, articles summaries, or budgets etc. for dissemination or publication such errors would have significant impact and should then be consider as an exception. For example, there was recent case in Maine regarding a dispute between a company and its truck drivers about the interpretation of guidelines regarding overtime pay. The company lost the case and had to pay millions of dollars of overtime to a group of workers because there was a missing comma in the guidelines. This is an example of a seemingly minor error translated to an impactful or critical exception. Additionally, if a supervisor finds that an employee consistently makes pervasive errors in a document or process, this should be considered an exception. What managers should not attempt to do is “count misplaced commas” to determine exceptions. • Exceptions should be stated within a standard as a range:

“Responds by at least acknowledging receipt of an inquiry as soon as possible but within 24 hours with no more than 4-6 valid exceptions”.

• Exceptions should not be stated as an absolute:

“With no exceptions. Or with no more than one exception”. • The standard and the exception should be under the control of the employee.

“Work should be completed to the satisfaction of the customer or client, with no more than 3-7 valid exceptions”.

The employee has no control over the level of the customers’ satisfaction. The employee can control the quality of the product, the timeliness of delivery, quantity, manner of performance or responses to inquiries but satisfaction is subjective and should not be the standard. Note: There are occasions when absolutes are required. They may be required when dealing with health and safety issues.

9-21-17 Page 8

Notice PM-2991 4 Clarification of the Proper use of Exceptions within Performance Standards (Continued)

B Assessing Supervisory Performance

A supervisor’s failure to meet the performance management requirements and compliance deadlines established by OHRM or FSA (subparagraph C) must, at a minimum, preclude an element rating of “exceeds fully successful”. Failure to meet the requirements in the performance management category altogether must result in an element rating of “does not meet fully successful”.

Likewise, the second-level supervisor’s supervision element rating should reflect the degree to which the first-line supervisor was held accountable for their performance management responsibilities.

C Required Data Reporting

During the performance cycle, FSA is required to attain and report to the Department, 100 percent completion rates on the following for eligible FSA employees.

All supervisors and/or reviewers must ensure:

• FY 2017 appraisals should be completed no later than November 15, 2017, • 100 percent completion of all FY 2018 performance plans by November 30, 2017, and • 100 percent completion of all FY 2018 mid-year progress reviews by April 30, 2018.

5 Other Resources, Guidance, Tools, and Training on Performance Management A Resources, Guidance, and Tools

The following HRD intranet exhibits for additional guidance are available at https://inside.fsa.usda.gov/operations/dam/hrd/performance-management/index.

• distinguishing levels of performance (Exhibit 2),

• competencies for selected FSA occupations

https://inside.fsa.usda.gov/operations/dam/hrd/performance-management/index, Note: Competencies may be used as a reference tool by supervisors and employees to assist

in distinguishing performance levels. 9-21-17 Page 9

Notice PM-2991

5 Other Resources, Guidance, Tools, and Training on Performance Management (Continued) A Resources, Guidance, and Tools (Continued)

• common rating errors supervisors should avoid (Exhibit 4, HRD Intranet),

• writing your accomplishments (Exhibit 5, HRD Intranet), and

• supervisor’s checklist for preparing for employee performance reviews (Exhibit 5).

6 Required Documents

A Required Documentation by Manager/Supervisor

“Exceeds” element ratings or a summary performance rating above “fully successful” must be supported by written justification.

B Required Write-Up of Employee Accomplishments and Contributions

Employees are required to provide their supervisor/manager with a narrative/list of contributions and accomplishments achieved during the performance cycle. The write-up assists supervisors/managers in accurately assessing the employee’s performance. If supervisors and employees are relying mostly on memory to evaluate employee performance, this renders the appraisal process far more difficult than necessary. For this reason, it is best for supervisors and employees to institute a simple recording system to document performance and achievements throughout the performance cycle. The employee write-up of accomplishments can be an effective tool that assists the supervisor in honestly assessing strengths and weaknesses during the performance of job functions. The write-up can also be very useful in facilitating feedback between manager and employee during the performance cycle and in developing the required IDP’s.

9-21-17 Page 10

Notice PM-2991 7 Rating-Based Performance Awards

A Rating Based Performance Awards and Processing Deadlines

Contingent upon the availability of funding, additional guidance on awards will be issued in a separate notice, and include coding, processing, and associated deadlines.

B Award Processing Deadlines

FY 2017 awards must be processed by the end of pay period 24, December 10, 2017, for award payouts to occur by the end of the calendar year.

Note: FY 2017 performance ratings must be entered in EmpowHR or the Entry, Processing,

Inquiry and Correction (EPIC) System before entering the performance cash award. Subsequent guidance will be issued on authorizing specific award amounts, once the Office of Management and Budget issues guidelines to all federal agencies.

9-21-17 Page 11

Notice PM-2991 8 Contacts A Contact Information

If there are questions about processing TOA’s or cash awards contact the appropriate servicing personnel office (SPO) as follows.

Location/Office SPO Contact

state or county office state administrative officer (AO) headquarters https://inside.fsa.usda.gov/operations/dam/hrd/about-

hrd/hrd-rab/index

If there are EmpowHR system questions related to awards, contact the EmpowHR Help Desk at 816-823-3996.

9-21-17 Page 12

h

Notice PM-2991 Exhibit 1

New Supervisory Standards for Managing Employee Performance

Effective October 1, 2017

Effectively manages the performance of employees, ensuring the mission and functions of the organization are carried out successfully. Involves employees in the process, inviting them to participate in developing their own performance plans, collaboratively tracking their progress throughout the year, discussing and addressing such things as unforeseen obstacles, and encouraging them to provide accomplishment reports at the end of the performance year. All of the following must be met to achieve the “Meets Fully Successful” level of this standard:

• Performance plans align with Departmental and Agency/Staff Office goals and objectives; • Standards define expectations at the Fully Successful level and include credible measures;· • Standards are specific enough to hold employees accountable for expectations; • Eligible subordinate employees’ plans are completed and issued to the employee no later

than 15 days from when an employee is assigned to a new position or grade, or detail of 90 days or more; 1

• Eligible subordinate employees’ new plans are completed and issued to the employee no later than October 30 1 for each performance year (plans for employees on extended leave or military duty are completed within 15 calendar days if they return after October 30 ; 1

• Potential issues with employees meeting their performance expectations are identified and discussed with employees before they fall below the “Meets Fully Successful” level defined on their perf01mance plans (if applicable);

• If employees do fall below “Meets Fully Successful” at any point, the PIP process is initiated within 15 calendar days;

• Subordinate employees' mid-year reviews are completed no later than April 30 or by the halfway point of an appraisal period of 180 or more days; • Subordinate employees’ performance ratings are completed and issued to the employee by

October 30, or within 15 days of an extended rating period (any extended rating period must be completed by the date prescribed in DR-4040-430); ratings for employees on extended leave or military duty, and who worked at least 90 days under a performance plan during the FY, are completed within 15 calendar days of their return; 2

• Ratings demonstrate meaningful distinctions, such that higher perfo1ming employees receive higher ratings than lower performing employees; and

• Subordinate supervisors are held accountable throughout the performance year for ca1Tying out their performance management responsibilities as described above (if applicable) the performance expectations and ratings in subordinate organizations are fair and reflective of the individual employees' respective contributions (if applicable).

1/ All employees are eligible unless excluded in Section 2 of DR-4040-430 (September 30, 2013). 2/ If an employee's performance plan was established within the applicable deadline, but the employee did not perform under the plan for at least 90 days during the appraisal period, a rating cannot be given; this scenario would not impact the supervisor's element rating.

9-21-17 Page 1

Notice PM-2991 Exhibit 1

New Supervisory Standards for Managing Employee Performance

The accomplishment of at least three of the following will contribute to an “Exceeds Fully Successful” for the Leadership/Supervision element:

• Annual expectations are broken down into quarters on all employees’ performance plans to facilitate accountability, more readily determine employees’ progress toward meeting expectations, and immediately identify and address performance that may fall below the “Fully Successful” standards described in their performance plans

• Formal performance discussions are held with all employees at least once each quarter (including the mid-year review and end-of-year rating), are documented on the employees' AD-435’s, and cover such things as progress toward goals, potential concerns about meeting expectations, unforeseen obstacles to meeting expectations, and adjustments that need to be made to the performance plans to accommodate new projects and/or clarify existing expectations;

• All employees’ performance plans clearly define tangible and/or measurable products or initiatives which would contribute to the "Exceeds Fully Successful" level for each performance element;

• All employees are invited, and actively coached, to develop proposals for products or initiatives at the “Exceeds” level for their performance elements;

• As an experienced supervisor, actively mentored at least one new supervisor in effectively managing employees’ performance (in a formal arrangement with prior approval of the experienced supervisor's rating official);·

• Personally completed a 360° assessment, including a feedback session that is part of an approved process as described in DR-4040-412-001, and feedback was used to measurably improve individual and work unit performance; and

• All subordinate supervisors completed a 360° assessment, including a feedback session that is part of an approved process as described in DR-4040-412-001, and feedback was used to measurably improve individual and work unit performance (if applicable).

9-21-17 Page 2

Notice PM-2991 Exhibit 2

Guidance on Assessing GS Employees Detailed

Following is guidance for assessing employees who are in Detail positions and transition to regular duty positions.

IF… THEN the… AND the… Detailee Supervisor of the

Detail Supervisor of Record

Performance expectations were documented and communicated

• prepares an accomplishment

report for the detail according to the documented expectations

• provides the

accomplishment report to the supervisor of the detail

• prepares an interim rating

• communicates it to the detailee

• provides it to the supervisor of record

determines the degree of weight to give the interim rating in determining the rating of record.

Performance expectations were not documented

Detailee’s position of record is supervisory

• prepares an accomplishment report for the detail

• resolves any questions with the detailee

determines the degree of weight to.

Detailee’s position of record is non-supervisory

• provides the accomplishment report to the supervisor of the detail

• documents additional feedback for the supervisor

of record, if needed

• communicates

the additional feedback to the detailee

• provides the

accomplishment report and any additional feedback to the supervisor of record

• considers all aspects of the detail (both mission results and any supervisory duties and accomplishments) under the mission results element of the position of record.

determines the degree of weight to give the detail's accomplishment report and any additional feedback in determining the rating of record.

9-21-17 Page 1

Notice PM-2991 Exhibit 3

FY 2018 Performance Plan Element: Customer Service: Outreach Education and Engagement Alignment Statement and Standards HRD added the Customer Service: Outreach Education and Engagement element to the EmpowHR Performance Management system as a new element last fiscal year. It is element number 815. The addition of this revised Customer Service element eliminates additional cutting and pasting of Outreach standards into employees’ performance plan. When creating plans that require Outreach standards, supervisors/managers should select EmpowHR element number 815, Customer Service Outreach Education and Engagement. Supervisors/managers should select Empower element number 808, FSA Customer Service for employees who do not interact with FSA’s Ag producers. Element 808 – FSA Customer Service: (for employees who do not interact with FSA Ag producers) Examples: (HQ, KCMO employees) (Non-Supervisory Description) Actively gathers feedback from customers to identify their needs and expectations. Provides responses to the customer that are prompt, consistent, professional, and address the individual customer’s circumstances. Exercises sound judgment. Identifies information to be shared with customers. Refers issues when appropriate and ensures a final response or completion for the customer. Follows up with customers on products and services to provide quality service. Recommends ways to improve performance using available customer satisfaction or trend data. Demonstrates the importance of customer service as a critical component of the Agency’s mission.”

(Supervisory Description) Conducts on-going reviews and monitors organizational performance to achieve effective customer service results. Actively gathers feedback from customers to identify their needs and expectations. Ensures staff provides responses to organizational leadership, the public, internal and external customers that are prompt, professional, reliable, and address the individual customer’s circumstances. Ensures the delivery of high quality products, services, and solutions. Delegates issues, when appropriate, and ensures a final response or completion for the customer. Follows up with customers on solutions, products, and services to provide quality service. Recommends ways to improve performance using available customer satisfaction or trend data. Demonstrates the importance of customer service as a critical component of FSA’s mission.”

Standards: Note: At least 2 measurable standards must be added. Examples: Provides assistance and/or response to colleagues and other employees upon receiving requests for expertise and guidance with no more than 1-3 exceptions. Proactively responds to reported issues by executing a solution or delegating the issue to ensure a satisfactory final response or completion for the employee with no more than 1-3 exceptions. 9-21-17 Page 1

Notice PM-2991 Exhibit 3 FY 2018 Performance Plan Element: Customer Service: Outreach Education and Engagement Alignment Statement and Standards (Continued) Follows up with employees/colleagues on products and services provided to the employee.

Alignment: These results-focused standards align with FSA Strategic Goal 4, “Accomplish Our Mission by Effectively Managing People and Service Capabilities,” Strategic Objective 4.3, “Provide Consistently Outstanding and Equitable Customer Service.” Results: The achievement of these standards will result in the increase of customer satisfaction with FSA programs and services.

9-21-17 Page 2

Notice PM-2991 Exhibit 3 FY 2018 Performance Plan Element: Customer Service: Outreach Education and Engagement Alignment Statement and Standards (Continued) Element 815 –Customer Service WITH Outreach Education and Engagement Outreach Education and Engagement Standards (For all FSA Employees who engage with customers) (Examples: SED’s, DD’s, SOC’s, FLM’s, CED’s, FLO’s, COOC’s, PT’s) (Non-Supervisory Description) Creates and strengthens partnerships with existing collaborators and organizations to increase outreach and education of FSA program and services. Complies with state or county outreach plan to identify programs to increase outreach efforts. Actively gathers feedback from customers to identify their needs and expectations. Provides responses to the customer that are prompt, consistent, professional, and address the individual customer’s circumstances. Exercises sound judgment. Identifies information to be shared with customers. Refers issues when appropriate and ensures a final response or completion for the customer. Follows up with customers on services to provide quality service. Recommends ways to improve outreach efforts and customer service using program participation reports and Ag Census demographic data. Demonstrates the importance of outreach education and customer service as a critical component of the Agency’s mission.”

(Supervisory Description) Provides leadership, guidance, and establish targeted program outreach as an important priority in the State or county office. Conducts on-going reviews and monitors organizational performance to achieve effective customer service results. Actively gathers feedback from customers to identify their needs and expectations. Ensures staff provides responses to organizational leadership, the public, internal and external customers that are prompt, professional, reliable, and address the individual customer’s circumstances. Delegates issues, when appropriate, and ensures a final response or completion for the customer. Recommends ways to improve outreach efforts by evaluating effectiveness of conducted outreach activities. Demonstrates the importance of outreach education and customer service as a critical component of FSA’s mission.”

Standards (choose 3 of the following) Supervisors and Managers (Required for all Supervisors: Including SED’s, DD’s, CED’s, FLM’s) Ensure that all State or County Offices are issuing customer interaction summaries in the Bridge consistent with Receipt for Service regulations and steps are taken to regularly monitor compliance that receipts are issued when required with no more than 1 exception. Monitor outreach activities quarterly supporting that support State’s strategic outreach plan in order to ensure employees are educating underserved farmers and ranchers of FSA programs and services with no more than 1-2 instances. Attend and participate in multiple outreach activities/events of partners to create and strengthen relationships with underserved communities (which includes beginning farmers/ranchers, local/organic producers, minority and veteran farmers and ranchers). Provide accurate and timely program participation information at external stakeholder meetings with no more than 3 valid complaints. 9-21-17 Page 3

Notice PM-2991 Exhibit 3 FY 2018 Performance Plan Element: Customer Service: Outreach Education and Engagement Alignment Statement and Standards (Continued) Non-Supervisory Employees (Choose 3 of the following) (Required Non-Supervisory FSA EMPLOYEES) Issues required customer service interactions in the Bridge consistent with Receipt for Service regulations with no more than 2 exceptions. Provides timely and accurate FSA program information and assistance to all potential/new and existing customers assisted with no more than 2 valid complaints. Identifies and provides information to internal or external customers of USDA programs/services/initiatives that may be of interest to producer’s operation or farming interests with no more than 1-2 valid complaints. National, State and County Outreach Coordinators (Include 3 standards from Non-Supervisory above in addition to the following) Plans and/or participates in 1-2 activities with stakeholder organizations that are targeted to educate underserved producers (which includes beginning farmers/ranchers, local/organic producers, minority and veteran farmers and ranchers) in the county/State (with emphasis on persistent poverty counties) with no more than 1-2 exceptions. Ensures objectives of state developed strategic outreach plan are provided, being met and recorded by employees in county office(s) into the Outreach Tracking Information System (OTIS) timely, with no more than 2 exceptions. Ensures that state or county-specific material is updated in the Bridge and local events are recorded with no more than 2-3 exceptions. Actively seeks partnerships with local stakeholders to enhance customer resources in Bridges. Plans and executes an effective COC outreach plan, including a variety of communication outlets and a minimum of 2 group meetings/workshops. Actively recruits new GovDelivery e-mail and SMS text subscribers. Sends required monthly e-mail bulletins with no more than 1 exception. Ensures that e-mails and texts are free of typos and formatting errors and that content is appropriate and relevant to target audience with no more than 2 exceptions. Alignment These results-focused standards align with FSA Goal 1, “Provide a Financial Safety Net for America’s Farmers and Ranchers to Sustain Economically Viable Agricultural Production”, Strategic Objective 1.2: Support Economic Viability, Strategy 1: Increase Program Participation through Outreach and FSA Goal 4: “Accomplish Our Mission by Effectively Managing People and Serve Capabilities”, Strategic Objective 4.3 Provide Consistent Outstanding and Equitable Customer Service, Strategy 2–Increase Program Awareness through Enhanced Outreach”. Results: The achievement of these standards will result in enhanced customer service and educational outreach to producers which will increase awareness and program participation in FSA programs. 9-21-17 Page 4

Notice PM-2991 Exhibit 4

Required Agency Performance Standards for FY 2018 Performance Plans

A Loan Approval Authority Standard

County executive directors (CED’s) with loan approval authorities, district directors (DD’s), farm loan chiefs (FLC’s), farm loan managers (FLM’s), farm loan officers (FLO’s) at a grade 11, farm loan supervisors (FLS’s), and senior farm loan officers (SFLO’s) are required to have and maintain loan approval authorities; therefore, must have the following standard in their performance plan, program management, execution of duties, or similar element:

Meets FSA’s standards necessary for maintaining loan approval authority and loan servicing authority.

Note: CED’s, DD’s, FLM’s, FLO’s, and FLS’s enrolled in the FLO training program must

use the FLOT training standard in subparagraph B.

Grade 7/9 FLO’s with loan approval authority must have the following standard in their performance plan, program management, execution of duties, or similar element:

Acquires and meets FSA’s standards necessary for maintaining loan approval authority and loan servicing authority.

B FLOT Training Standard

Agricultural specialists, CED’s, county operations reviewers (COR’s), DD’s, FLM’s and

FLO’s without loan approval authority, FLOT’s, FLS’s, loan analysts (LOA’s), and loan resolution specialists (LRS’s) must have the following standard in their performance plan, program management, execution of duties, or similar element:

Successfully completes assigned training and training activities within established timeframes as required by 6-PM, Part 13.

C Improper Payments Standard

All field office employees who work with farm program payments shall have the

following standard in the program management, execution of duties, or similar element:

Successfully completes FSA Improper Payments Information Act training requirements and ensures that FSA’s corrective action plan procedures are followed to ensure that payments are accurate and that required payment documentation is up to date and on file.

9-21-17 Page 1

Notice PM-2991 Exhibit 5 FY 2018 Performance Management Checklists

These checklists are provided to FSA supervisors and managers as tools to assist in developing FY 2018 performance plans and to assist in ensuring that all FSA FY 2018 performance plans include the required features and or language as outlined in the most recent Performance Management directive.

Instructions: Compare the FY 2018 performance plan to the appropriate nonsupervisory or

supervisory checklist and verify that every item is present within the created performance plan. If the required item is not present, modify performance plan appropriately.

Nonsupervisory Performance Plan Checklist

Item Description 1 EEO/CR diversity and inclusion element. 2 Customer service element. 3 One results-oriented element (four appraisal points) execution of duties. 4 One to three additional performance elements (each with a results statement). 5 Cascading alignment statement (for at least one critical element) that shows clear linkage

to strategic plan. 6 Results statement for each element. 7 PII and safety and health standards. 8 At least three standards for each element. 9 All standards established at the meets fully successful level.

10 A performance plan was provided to and discussed with the employee at the beginning of the rating period (normally within 30 calendar days) for the current rating cycle as demonstrated by employee signature or date stamp.

9-21-17 Page 1

Notice PM-2991 Exhibit 5 FY 2018 Performance Management Checklists (Continued)

Supervisory Performance Plan Checklist Item Description

1 EEO/CR diversity and inclusion element. 2 Customer service element. 3 Supervision element (four appraisal points). 4 Mission results element (four appraisal points). 5 One or two additional performance elements (each with a results statement). 6 Diversity roadmap standard under EEO/CR diversity and inclusion element. 7 Retention and succession standard under supervision element. 8 Recruitment and hiring standard under supervision element. 9 Performance management standard under supervision element.

10 Cultural transformation standard under mission results element. 11 Engagement standard under supervision element. 12 PII and safety and health standards. 13 Cascading alignment statement for at least one critical element that shows clear linkage to

strategic plan. 14 Results statement for each element in performance plan. 15 At least three standards for each element. 16 Standards are established at the meets fully successful level. 17 Plan provided to and discussed with the employee at the beginning of the rating period

(normally within 30 calendar days) for the current rating cycle as demonstrated by a signature or date stamp.

9-21-17 Page 2