Talking Points for Managers for Employee Training

All SSA employees will receive PACS training through a DCHR developed IVT broadcast.  However, the new performance management system provided components flexibility on how to implement certain features, such as using numerics and PACS-NHT.   DCO specific PACS features and a discussion of levels of performance will be covered in an IVT presented by Deputy Commissioner Linda McMahon. The companion IVTs will provide employees with most of what they need to know about PACS and the new awards.  Managers’ role in training is to facilitate presentation of the videos, review the PACS-NHT provisions, where appropriate, and conduct a question and answer session.

Planning for Meeting

Refer to Planning Document 1:  PACS Training for DCO Employees – Overview

for information on the training schedule, manager preparation and conducting the meeting.  This document is available on the DCO PACS Home Page at http://s1fba57/opsos/Copy%20of%20PACSMainAll.asp.

In addition, you should refer to the attachments, which provide more detailed information on PACS and include:

o    Possible Questions Employees May Ask

o    How to Respond to “What do I have to do to be Level 5”

o    Content Outline Developed by the Office of Personnel (OPE)

Prior to the training, you should distribute the Fact Sheet for employees on common terms associated with PACS, which is also available on the PACS website.

Talking Points

1. Welcome

o    Introduce Union Representative (if in attendance in an official capacity; i.e., on official time)

o    Explain purpose of training—to introduce the new Performance Assessment and Communication System (PACS) and the new awards system

2. Provide a brief introduction to PACS

o    PACS establishes a clear connection between the Agency’s/component’s mission and employees’ contributions.  It emphasizes the importance of effectively communicating what is expected of employees and helps them to understand the role they play in the Agency’s success.

o    PACS emphasizes ongoing, two-way communication between the manager and the employee.  If there is one word that defines this new system, it is communication.  Effective communication between employees and managers is the foundation on which a culture of mutual respect, fairness and integrity is built.   

o    PACS encourages managers/supervisors to provide feedback throughout the year to help employees improve performance, to acknowledge their strengths and successes and to offer encouragement and suggestions.

o    Employees who will be assessed under PACS are:

§       All SSA General Schedule and Federal Wage System employees below the GS-15 or equivalent grade, and

§       GS-15 level employees in the AFGE bargaining unit.

o    PACS contains many new features that make it quite an improvement over the previous Pass/Fail program.  For example, it provides:

§       A direct link to Agency goals and objectives

§       Uniform performance elements and standards

§       3-tiers with clear distinctions between performance levels

§       The optional use of numeric data

§       A high threshold for an Outstanding rating

§       A new concept—the Element Average—to assist in determining award eligibility, and

§       A special performance plan for new hires and trainees.

o      Awards

§       Recognizes superior individual and group achievement

§       Ensures recognition is meaningful

§       Links Agency values to recognition

3. Three parts of training

Training on the new Performance Assessment and Communications Systems (PACS) and awards will occur in 3 parts:

o    DCHR IVT to introduce employees to the PACS System and new awards program

o    DCO IVT to introduce DCO specific PACS information

o    Questions and Answers Segment.  Note that this training contains a lot of information and the Q&A session may help clarify understanding of the features being described

4. Show tapes (DCHR and DCO)

5. Provide information on PACS-NHT, if appropriate to the audience

o    PACS NHT in Operations

• Identify NHT “positions’ in the component: the following positions will definitely be covered by NHT: CR, SR for Field Offices, CA, BA, TST, TSA, DPS (except OCO) and DS for the PSCs; TSR and CR for the TSCs.  For other positions, check with the head of your component about coverage by NHT.
• Identify NHT period, which is prescribed for 9 positions above

• 6 months (or 6 months after formal training for others; CA and BA are exception:  due to length of their training, PACS/NHT will last for 12 months after completion of formal classroom training;

§       Can end early

§       Can affect eligibility for ROC Awards (cannot achieve 4.0 Element Average)

6. Invite Union perspective (if union representative in attendance in an official capacity; i.e., on official time)

7. Answer questions

o    Be as specific as you can in your responses

o    Do not speculate.  Record questions you cannot answer during the meeting; conduct research as appropriate; respond to the individual or the group in an appropriate fashion, and refer questions to ^PHI PACS Questions as needed.

8. Provide information on next steps

o    This orientation is the first phase of our introduction to PACS. It will be followed by:

• Group “Alignment Statement” meeting
• Individual discussions about performance standards and expectations
• Ongoing two-way communication

Attachments:

Possible Questions Employees May Ask

How to Respond to “What do I have to do to be Level 5”

Content Outline Developed by OPE

POSSIBLE QUESTIONS EMPLOYEES

MAY ASK

1. How can employees inform managers of their contributions and accomplishments?

Ongoing, two-way communication with the supervisor is an effective tool for employees to provide feedback to their managers about their contributions and accomplishments.  Discussions can be initiated by the supervisor or the employee at any time.

Employees have the option of providing their supervisor with a one-page, end-of-appraisal self-assessment highlighting their contributions and accomplishments related to their performance plan.

Employees can ensure that all performance-related activities and contributions are recognized and documented during performance discussions with their supervisor.

Employees may inform their supervisors, in writing, of any factors beyond their control that may affect performance.  This document is placed in the employee’s SF-7B file.

2. Under PACS, will employees still receive a progress review?

Under PACS, at least one formal performance discussion will be conducted with the employee near the midpoint of the employee’s appraisal period. 

Manager’s have the option of conducting additional performance discussions throughout the appraisal period. 

3. What happens if an employee is serving under a Performance Assistance Plan (PAP) or Performance Enhancement Plan (PEP) before October 1, 2006?

If a PAP or PEP was initiated under the conditions and provisions of the 2000 SSA/AFGE Contract, it will be brought to conclusion under the conditions and provisions of that Contract. 

This means that employees serving under a PAP or PEP on October 1, 2006 when PACS is implemented will remain under the PAP or PEP until he/she is removed for meeting the conditions of the assistance plan.  In the event the employee does not meet the conditions of the PAP, they will be placed on a PEP.  The PEP will remain in effect for 90 days and the employee is entitled to Union representation.

(Developed by OPE 9/06)

4. Under PACS, is the Union allowed to accompany an employee for a Performance Assistance or OPS meeting with management?

No, PACS does not allow union representation for either performance assistance meeting.

5. Who decides whether or not an employee is to be given a PACS-NHT performance plan?

Management will determine the positions to be covered by the NHT provisions.  In DCO, covered positions will include: CR, SR for Field Offices, CA, BA, TST, TSA, DPS (except OCO) and DS for the PSCs; TSR and CR for the TSCs;

6. What happens to monetary awards on October 1, 2006?

Effective with the implementation of PACS on October 1, 2006, Article 17 (Monetary Awards) will also be implemented.  ROC performance awards for the period ending September 30, 2006 will be awarded based on the same criteria used to award ROC awards for the performance period ending September 30, 2005.  Commendable Act or Service, On-the-Spot and Time Off awards, as well as the awards panel process, will be eliminated effective October 1, 2006.  More information on awards will be provided when the awards allocations are distributed to components in FY 2007.                                                          

7. With regard to the Executive Recognition Award, if a team has made a substantial contribution, but one or more members did not, can only the contributing members be nominated for the team award?

No.  To be eligible for an ERA, each group/team member must have made a substantial contribution to the group’s/team’s success.  Also, each member must have an Element Average of 3.0 and be in good standing.

8. Under PACS, does the rating of record affect my WIGI?

Yes.  As with Pass/Fail, the PACS rating of record will be used to support the WIGI decision.

(Developed by OPE 9/06)

How to respond to “What do I have to do to be Level 5?”

PPM

PPM 430 5.6 provides the Level 5 standards.  It also notes that “To be rated at the Outstanding Contribution (Level 5) on a performance element, employees must meet all of the successful standards appropriate to their job for that element and a substantial number of the applicable standards described as outstanding for that element.”

Cultural Change

The definition of Outstanding Contribution---Level 5 performance--- is among the most significant cultural changes in PACS.  The definition of Outstanding Contribution in PACS is significantly different than how Level 5 was described under prior multi-level systems SSA has used in the past.   Even Level 3 in PACS describes “successful” in a very different way than “Pass” was defined under the outgoing system.

Level 3

Understanding the relationship between Level 3 and Level 5 begins with an understanding of the Level 3 performance standard (link to Performance Elements and Standardshttp://s1fba57/opsos/Copy%20of%20PACSMainAll.asp.

The Level 3 performance standards and the Expectations Statements (which provide more definition to the standards) identify a wide array of knowledge, skills, abilities, and manner of performance contributions for successful performance that reflect our challenging and important jobs. We expect every employee to understand the dimensions of their job, and to complete assignments timely and accurately.  Employees must also:

·        Demonstrate the ability to balance multiple tasks and priorities

·        Contribute to teamwork and organizational success

·        Adapt to change

·        Treat members of the public and employees with courtesy and respect

·        Assist others

Level 5

Level 5 is a high level of performance that is sustained throughout the entire rating period and demonstrated in many facets of the job.  Level 5 describes a whole different set of contributions above and beyond the Level 3 standards and should be recognized as being something to emulate because of the significance, and ongoing nature, of the initiative demonstrated or the results achieved.

(Developed by DCO, Philadelphia Region 9/06)

In management training we emphasized that Level 5:

• Is an “exclusive” level of performance
• Requires that Level 3 standards are fully met plus
• Is not defined by “more” or “faster”
• Identifies different contributions than the Level 3 standards
• Involves frequently “going beyond one’s usual responsibilities”
• Requires sustained, significant additional contributions—going beyond assigned duties

“What do I have to do to be level 5?”

Perhaps the most effective way to communicate Level 5 is the same way we communicate Level 3 –by providing the standards. Managers should provide employees with the Level 3 and Level 5 standards, along with Performance Expectations which were written for Level 3.

In addition to providing and reviewing the standards with employees, managers should characterize Level 5 as something that:

• Is different than Level 3 contributions, not simply based on “more of Level 3”
• Emanates from significant, repeated or sustained contributions – it is not enough to volunteer once or mentor one trainee – such initiative should be routinely demonstrated and the outcome should result in a positive contribution
• Requires a Level 5 rating on all performance elements for a summary Level 5 rating

Some things we do not want to do are:

• Paraphrase, interpret or speculate on what Level 5 would look like in a way that could be interpreted as creating expectations for a Level 5 rating
• Create a verbal “contract” for a Level 5 by identifying a specific contribution that would be recognized with a Level 5 rating
• Equate Level 5 with “more” or “faster” outcomes related to goals

(Developed by DCO, Philadelphia Region 9/06)

Content Outline

The Alignment Statement: The Link to Agency Goals & Objectives

• The Alignment Statement is a written statement provided by each component that communicates the Agency’s and component’s mission, values, goals and objectives to employees.  This statement will enable employees to see how their work and contributions are essential to the achievement of not only the component’s goals and objectives, but the Agency’s as well.
  • The Alignment Statement discussion is the first part of the initial performance discussion.
  • The Alignment Statement must be given to each employee.  It can be provided individually or in a group meeting of employees within the same standard positions.  {NOTE:  In DCO discussion of the Alignment Statement will be conducted in group meetings}

Uniform Elements and Standards

• Under PACS, the performance elements are individual, uniform statements designed to achieve the Agency’s mission and goals while at the same time reflecting the Agency’s commitment to providing outstanding public service.
  • All elements are critical, which means that each element is of equal importance and unacceptable performance in any element will result in an overall performance rating of Not Successful.
  • Each element will be evaluated. 
  • 4 uniform elements for all positions:

·       Interpersonal skills

·       Participation

·       Demonstrates Job Knowledge

·       Achieves Business Results

• Additional elements for management, team leader and MSS positions:

·       Demonstrates Leadership (for managers/supervisors/team leaders/MSSs)

·       Manages Performance (for managers and supervisors)

·       Assists in Managing Performance (for team leaders/MSSs)

• A limited performance plan for new hires and employees promoted or reassigned into trainee positions.  It includes two elements:

·       Engages in Learning

·       Interpersonal Skills

(Developed by OPE 9/06)

• Each performance element is supported by uniform standards.
  • The standards provide the framework for the expectations of what employees will accomplish and how it will be done.
  • Employees are only rated on the standards that are applicable to their position.
  • In order to be rated Successful on an element, an employee must meet all of the applicable standards described as “successful’ for that element.

• Because the elements and standards are uniform, the performance expectations will be the distinguishing factors that provide the context for individual employee performance.
  • The expectations represent the outcomes that supervisors expect from the employee based on the level, standard and timing of results to be achieved in each performance element.
  • Managers will provide employees with their expectations during the initial performance plan discussion.
  • The National Agreement requires managers to fully explain performance expectations to assist employees in understanding what is required to achieve the Successful Contribution level of performance.
  • Expectations may be quantitative, qualitative or both.

PACS Rating Levels

• The three rating levels are:
  • Outstanding Contribution, Level 5
  • Successful Contribution, Level 3
  • Not Successful, Level 1

• These rating levels:
  • Provide for a clear distinction between levels of performance
  • Eliminate complexities experienced in prior 5 level systems in defining and communicating the differences between levels 3 and 4 and levels 4 and 5 performance
  • Promote recognition of high performance

Summary Appraisal Ratings

• An employee rated at level 5 on every element is performing at an Outstanding Contribution Level.

• An employee rated less than 5 on any element and having no level 1 ratings is performing at the Successful Contribution Level.

(Developed by OPE 9/06)

• Any element ratings of level 1 will result in the employee receiving a Not Successful rating.

Element Average

• A new concept in PACS is the Element Average.

• The Element Average is used primarily in determining award eligibility.

• The Element Average also distinguishes degrees of performance for employees receiving Successful Contribution summary appraisal ratings.

• It is computed based on the rating of each individual element by adding the ratings for each of the elements and then dividing that sum by the total number of elements.  All elements have equal weight in the computation.

• New Hires/Trainees do not receive an Element Average.

Plan for Addressing Poor Performance

• The goal of the PACS performance improvement process is to return employees to the Successful Contribution level.

• PACS provides a simplified, two-tiered process for handling marginal, inconsistent performance or below standard performance:
  • Performance Assistance is the informal process and lasts 30 days
  • Opportunity to Perform Successfully (OPS) is the formal process and lasts 120 days

• Both Performance Assistance and OPS plans hold employees accountable for performance.

• While serving under a Performance Assistance plan, the employee remains in good standing and is eligible for consideration for awards and promotions, and is entitled to a WIGI if one comes due.

• During an OPS plan, the employee is not in good standing, which means he/she is not eligible for awards or promotions, and WIGIs and career ladder promotions are withheld for the duration of the OPS period.

(Developed by OPE 9/06)

PACS for New Hires/Trainees (PACS-NHT)

• PACS-NHT is a special performance plan to assess new hires and trainees.

• The PACS-NHT provisions are for those employees who require a lengthy period of formal classroom training, mentoring and/or on-the-job training before they are able to perform the full range of their job duties.

• Under the NHT provisions, employees are rated Pass/Fail on the following 2 elements:
  • Engages in Learning
  • Interpersonal Skills

• Use of the NHT provisions is optional and the positions to be covered by it will be determined by each component.  {See Talking Points above for DCO positions covered}

• PACS-NHT also provides an employee a minimum 6-month period after the training period to demonstrate performance under the standard PACS performance plan before the employee can be rated.

Awards

·       When changes were made in the appraisal process, the Agency wanted to make sure that there were corresponding changes to the awards process that would:

o      Recognize superior individual and group achievement

o      Ensure that recognition is meaningful, and

o      Link Agency values to recognition.

• Under the new monetary awards program, three types of awards are available:
  • Recognition of Contribution (ROC) Award
  • Exemplary Contribution or Service Award (ECSA)
  • Executive Recognition Award (ERA)

• ROC Awards
  • ROC awards should recognize individual contributions of employees who most effectively contribute to the component and Agency mission.
  • Employees with an Element Average of 5.0 will be considered for a ROC award.
  • Employees with an Element Average of 4.0 or greater but less than 5.0 may be considered.
  • Employees with an Element Average of less than 4.0 will not be considered.
  • If granted, ROC award amounts for employees with an Outstanding rating must be greater than the award amounts for employees with lower element averages at the same grade level in the component.

(Developed by OPE 9/06)

• Exemplary Contribution or Service Awards
  • Granted for exemplary individual contributions to group achievement or extraordinary service or acts (this new award is similar to the current Commendable Act or Service/Special Act or Service Awards).
  • Employees must have an Element Average of at least 3.0 to be considered for an award.
  • Minimum award amount is $200.
  • There is no limit to the number or frequency of ECSAs an employee may receive.

• Executive Recognition Awards
  • This is a new award based on exceptional or outstanding contribution by a team or workgroup in which all members have made significant contributions.
  • Each team member must have an Element Average of at least 3.0.
  • Each team member will receive the same award amount regardless of grade level or Element Average.
  • ERAs will be approved by higher level Agency executives.
  • There is no limit to the number or frequency of ERAs an employee may receive.

(Developed by OPE 9/06)