HRDG 4430 - Performance Management - Section B

HRDG 4430 - Performance Management - Section B

Subchapter 4430
Performance Management 

Section B - Developing Performance Plans

 

 

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Introduction

This section provides instructions for creating performance plans for employees, including:

  • Required forms,
  • Timeframes, and
  • Performance plan requirements
Forms
Updated 09/16

Performance plans are documented on USDA Performance Appraisal forms:

  • Form AD435-E (Employees Only Employees Only) is used for non-supervisory employees to record performance elements and standards.  This form is also used to certify completion of performance management training, document formal and informal performance discussions, and calculate/document the summary rating and appropriate signatures at the end of the performance cycle.
  • Form AD435-S (Employees Only Employees Only)is used for supervisory employees to record performance elements and standards.  This form is also used to certify completion of performance management and other supervisory training, answer questions regarding organization and unit performance, document formal and informal performance discussions, and to calculate/document the summary rating and appropriate signatures at the end of the performance cycle. 
Importance of Communication Establishing effective performance plans requires communication between the supervisor and the employee. The supervisor is expected to involve employees in the development of their performance plans, i.e. participation in standards development or commenting on draft plans, etc. While employees should be given an opportunity to comment and make suggestions on their performance plan, the final authority and responsibility for establishing performance plans rests with the supervisor.
Performance Cycle/Timeframes
Updated 09/16

USDA's performance cycle begins October 1 and ends September 30 of each year. The supervisor is required to provide each employee a performance plan:

  • within 30 days of the start of each performance cycle (no later than October 30);
  • within 15 days of effective date for new employees and employees reassigned to a new position;
  • within 15 days of effective date for employees detailed or temporarily promoted for more than 90 days.
Requirements for All Employees
Updated 09/16

The following table provides performance plan requirements for all non-supervisory employees. Additional requirements for supervisors and for employees with safety and health and personally identifiable information (PII) responsibilities are described later in this section.

Employee performance plans must…  Note: 
… include balanced, credible measures of performance which help accomplish organizational and work unit objectives.  The AgLearn course “Managing Performance in Marketing and Regulatory Programs” provides guidance in this area. The MRP Performance Management webpage provides guidance and resources for developing plans. MRP Performance Management.
… contain a minimum of 3, and a maximum of 7 performance elements. Critical elements are weighted 2 appraisal units, and non-critical elements are weighted 1 appraisal unit.
… include at least one Mission Results Oriented critical element which is linked to the strategic goals and objectives of the organization. Alignment statements should be listed under the performance element(s) to show linkage to organizational or work unit goals.

Note:  Mission Results Oriented element(s) is weighted 4 appraisal units each.

Agency and Departmental goals and objectives can be found in the following strategic plans:

… include a critical element which addresses civil rights awareness and interpersonal skills. This element can be a stand-alone element or included within another element. The following is an example of wording that may be used to meet this requirement:

“Treats all employees, stakeholders, program beneficiaries, and the general public with fairness, dignity, and respect - consistent with agency goals for civil rights and equal opportunity.”
Additional Requirements for Supervisory Employees
Updated 09/16
Supervisory performance plans must contain appropriate measures for hiring reform, performance management accountability, cultural transformation and for obtaining and utilizing employee and/or customer feedback. Required text for hiring reform, performance management accountability, and cultural transformation and examples for utilizing employee and customer feedback are incorporated in the following mandatory critical elements:
Agency: Mandatory critical elements for supervisors: 
AMS

Resource Management (PDF)

APHIS

Resource Management (PDF)

Civil Rights, EEO and Diversity and Inclusion (PDF)

GIPSA

Supervision/Management/Leadership (PDF)

Civil Rights, EEO and Diversity and Inclusion (PDF)

Note: The RM/HRM/SML elements and standards must not be edited as they contain material required by OPM, USDA Office of Human Resources Management (OHRM) and the USDA Performance Management Regulation. Additional language can be placed in the measures boxes within the Supervision element on the AD-435-S.
Additional Requirements Regarding Safety & Health, PII, and Feedback  A performance element incorporating safety and health or responsibility for personally identifiable information (PII) is required for employees with those work assignments. The performance standard also should reflect the desired results and outcomes.

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