FY 2014 Senior Executive Service Performance Appraisal System Opening Guidance

Transcription

1 Office f Executive Resurces Office f the Chief Human Capital Officer U.S. Department f Energy FY 2014 Senir Executive Service Perfrmance Appraisal System Opening Guidance

2 Table f Cntents Cntents I. eperformance ACTIONS and TIMELINE... 3 II. PERFORMANCE PLAN - CRITICAL ELEMENTS... 3 III. OPM PERFORMANCE RATING LEVEL DEFINITIONS... 5 IV. RATING CRITICAL ELEMENTS... 6 V. DERIVING THE SUMMARY RATING... 7 VI. TRAINING AND EVALUATION... 7 VII. PERFORMANCE PLAN TIPS EMPLOYEE... 7 VIII. PERFORMANCE PLAN TIPS - RATER... 8 IX. SMART FRAMEWORK... 8 X. eperformance SYSTEM and DOE POINTS OF CONTACTS

3 Fiscal Year 2014 SES Perfrmance Appraisal System Opening Guidance This dcument prvides a summary f the key perfrmance management requirements. These requirements shuld be understd and applied fr all SES members in the cntext f the existing plicies. Supervisrs must establish perfrmance plans fr senir executives in cnsultatin with the senir executives and cmmunicate the plans t the senir executives within 30 days f the beginning f the rating cycle. The perfrmance plan must encmpass the entire rating perid. Senir executive perfrmance plans must include the Gvernment-wide SES perfrmance requirements as written. The gaining rganizatin must als set perfrmance gals and requirements fr any detail r temprary assignment f 120 days r lnger and appraise the perfrmance in writing. I. eperformance ACTIONS and TIMELINE DATES ( ) Dec 2013 ACTIONS Perfrmance Plan templates are available in eperfrmance SES emplyee prepares perfrmance requirements in eperfrmance and submits their recmmendatins t the Rater Rating Official reviews, discusses with emplyee and apprves Perfrmance Plan in eperfrmance SES emplyee acknwledges apprved Perfrmance Plan in eperfrmance Feb 2014 Mar 2014 Jul 2014 Sep 2014 All Perfrmance Plans in eperfrmance are cmplete Prgress Review 1 cmplete Prgress Review 2 cmplete End f Perfrmance Appraisal Cycle II. PERFORMANCE PLAN - CRITICAL ELEMENTS All executives will be assessed and rated n each f the five Critical Elements (CEs) which are based n the Executive Cre Qualificatins. The five CEs are: Leading Change, Leading Peple, Business Acumen, Building Calitins, and Results Driven. All DOE executives must have the Results Driven CE weighted at 40% and have the flexibility t weight the ther fur CEs (minimum 5% and maximum f 20%) as lng as the ttal weight f the elements add up t 100%. All CEs, with the exceptin f Results Driven, will cntain ne mandatry OPM pre-ppulated perfrmance requirement that cannt be changed. The agency-specific perfrmance requirements sectin is nt editable and is reserved fr any DOE-wide requirements established by the Secretary r designee. If the Secretary r designee requires additinal agency-specific requirement in these 3

4 elements, they will be incrprated in the perfrmance appraisal by the Office f the Chief Human Capital Officer. Fr the Results Driven CE, the perfrmance requirements (including measures, targets, timelines, r quality descriptrs, as apprpriate) must describe the range f perfrmance at Level 3 (fully successful) fr each result specified. It is recmmended t als establish the threshld measures/targets fr Levels 5 and Leading Change (5% - 20%) Develps and implements an rganizatinal visin that integrates key rganizatinal and prgram gals, pririties, values, and ther factrs. Assesses and adjusts t changing situatins, implementing innvative slutins t make rganizatinal imprvements, ranging frm incremental imprvements t majr shifts in directin r apprach, as apprpriate. Balances change and cntinuity; cntinually strives t imprve service and prgram perfrmance; creates a wrk envirnment that encurages creative thinking, cllabratin, and transparency; and maintains prgram fcus, even under adversity. 2. Leading Peple (5% - 20%) Designs and implements strategies that maximize emplyee ptential, cnnect the rganizatin hrizntally and vertically, and fster high ethical standards in meeting the rganizatin s visin, missin, and gals. Prvides an inclusive wrkplace that fsters the develpment f thers t their full ptential; allws fr full participatin by all emplyees; facilitates cllabratin, cperatin, and teamwrk, and supprts cnstructive reslutin f cnflicts. Ensures emplyee perfrmance plans are aligned with the rganizatin s missin and gals, that emplyees receive cnstructive feedback, and that emplyees are realistically appraised against clearly defined and cmmunicated perfrmance standards. Hlds emplyees accuntable fr apprpriate levels f perfrmance and cnduct. Seeks and cnsiders emplyee input. Recruits, retains, and develps the talent needed t achieve a high quality, diverse wrkfrce that reflects the natin, with the skills needed t accmplish rganizatinal perfrmance bjectives while supprting wrkfrce diversity, wrkplace inclusin, and equal emplyment plicies and prgrams. 3. Business Acumen (5% - 20%) Assesses, analyzes, acquires, and administers human, financial, material, and infrmatin resurces in a manner that instills public trust and accmplishes the rganizatin s missin. Uses technlgy t enhance prcesses and decisin making. Executes the perating budget; prepares budget requests with justificatins; and manages resurces. 4. Building Calitins (5% - 20%) Slicits and cnsiders feedback frm internal and external stakehlders r custmers. Crdinates with apprpriate parties t maximize input frm the widest range f apprpriate stakehlders t facilitate an pen exchange f pinin frm diverse grups and strengthen internal and external supprt. Explains, advcates, and expresses facts and ideas in a cnvincing manner and negtiates with individuals and grups internally and externally, as apprpriate. Develps a prfessinal netwrk with ther rganizatins and identifies the internal and external plitics that affect the wrk f the rganizatin. 5. Results Driven (40%) This CE includes specific perfrmance results expected frm the executive during the appraisal perid, fcusing n measurable utcmes frm the strategic plan r ther measurable utputs and utcmes clearly aligned t rganizatinal gals and bjectives. 4

5 The Results-Driven CE must als identify clear, transparent alignment t relevant agency r rganizatinal gals/bjectives, page numbers, frm the Strategic Plan, Cngressinal Budget Justificatin/Annual Perfrmance Plan, r ther rganizatinal planning dcument in the designated sectin fr each perfrmance result specified. III. OPM PERFORMANCE RATING LEVEL DEFINITIONS The perfrmance standard definitins fr each rating level are specified belw: Level 5 (Outstanding): The executive demnstrates exceptinal perfrmance, fstering a climate that sustains excellence and ptimizes results in the executive s rganizatin, agency, department r gvernment-wide. This represents the highest level f executive perfrmance, as evidenced by the extrardinary impact n the achievement f the rganizatin s missin. The executive is an inspiratinal leader and is cnsidered a rle mdel by agency leadership, peers, and emplyees. The executive cntinually cntributes materially t r spearheads agency effrts that address r accmplish imprtant agency gals, cnsistently achieves expectatins at the highest level f quality pssible, and cnsistently handles challenges, exceeds targets, and cmpletes assignments ahead f schedule at every step alng the way. Level 4 (Highly Successful): The executive demnstrates a very high level f perfrmance beynd that required fr successful perfrmance in the executive s psitin and scpe f respnsibilities. The executive is a prven, highly effective leader wh builds trust and instills cnfidence in agency leadership, peers, and emplyees. The executive cnsistently exceeds established perfrmance expectatins, timelines, r targets, as applicable. Level 3 (Fully Successful): The executive demnstrates the high level f perfrmance expected and the executive s actins and leadership cntribute psitively tward the achievement f strategic gals and meaningful results. The executive is an effective, slid, and dependable leader wh delivers high-quality results based n measures f quality, quantity, efficiency, and/r effectiveness within agreed upn timelines. The executive meets and ften exceeds challenging perfrmance expectatins established fr the psitin. Level 2 (Minimally Satisfactry): The executive s cntributins t the rganizatin are acceptable in the shrt term but d nt appreciably advance the rganizatin twards achievement f its gals and bjectives. While the executive generally meets established perfrmance expectatins, timelines and targets, there are ccasinal lapses that impair peratins and/r cause cncern frm management. While shwing basic ability t accmplish wrk thrugh thers, the executive may demnstrate limited ability t inspire subrdinates t give their best effrts r t marshal thse effrts effectively t address prblems characteristic f the rganizatin and its wrk. 5

6 Level 1 (Unsatisfactry): In repeated instances, the executive demnstrates perfrmance deficiencies that detract frm missin gals and bjectives. The executive generally is viewed as ineffectual by agency leadership, peers, r emplyees. The executive des nt meet established perfrmance expectatins/timelines/targets and fails t prduce r prduces unacceptable wrk prducts, services, r utcmes. IV. RATING CRITICAL ELEMENTS The rating level determinatin fr each CE will be based n the relatinship f the senir executive s accmplishment t the perfrmance requirements, as established in the plan, fr his/her psitin. When any CE cntains mre than ne perfrmance requirement, the rating fficial will use the rating determinatin in Table 1. Critical Element Rating Levels Level 5 Outstanding Level 4 Highly Successful Level 3 Fully Successful Level 2 Minimally Satisfactry Level 1 Unsatisfactry Table 1: Critical Element Derivatin Frmula Rating Determinatin All perfrmance requirements are rated Outstanding, as defined by Level 5 abve. A majrity f the perfrmance requirements are rated at least Highly Successful, with nne belw the Fully Successful level, as defined by Level 4 abve. A majrity f the perfrmance requirements are rated at least at the Fully Successful level, with nne belw the Fully Successful level, as defined by Level 3 abve. One r mre f the perfrmance requirements in the element were perfrmed at the Minimally Satisfactry level, as defined by Level 2 abve. One r mre f the perfrmance requirements in the element were perfrmed at the Unsatisfactry level, as defined by Level 1 abve. 6

7 V. DERIVING THE SUMMARY RATING The verall final perfrmance scre and rating is determined based n the derivatin frmula lcated in Table 2. Each CE is prvided with a rating (Level 1 Level 5) and it is multiplied by the weight f the CE. All five CEs are summed t determine the verall perfrmance scre (max f 500 pints) which equate t a crrespnding final rating level (Level 1 Level 5). Table 2: Overall Perfrmance Rating Derivatin Frmula *EXAMPLE Rating Level Scre Critical Element Initial Initial Pint Final Rating Level Derivatin Frmula Element Weight Scre Rating 1. Leading Change x 20 = Leading Peple x 10 = Level 5 Outstanding 3. Business Acumen x 20 = Level 4 Highly Successful 4. Building Calitins x 10 = Level 3 Fully Successful 5. Results Driven x 40 = 200 Minimally Level 2 Satisfactry Ttal Any CE rated Level 1 = Level 1 Unsatisfactry VI. TRAINING AND EVALUATION All executives must review the annual training n the OPM perfrmance management system. This will cnstitute as training fr FY The training slides are being updated and will be available fr review by mid-february. A separate cmmunicatin will be distributed nce available. The Department f Energy will evaluate the effectiveness f the perfrmance management system and implement imprvements as needed. VII. PERFORMANCE PLAN TIPS EMPLOYEE Ensure Objectives are: Written at an executive level with a strategic fcus, yet measurable and quantifiable Fcused n utcmes/deliverables rather than meeting milestnes Nt written like a Psitin Descriptin Cmpleted with Metrics fr Meeting/Exceeding Use bullets r narrative frmat fr bjectives Minimum f 3 bjectives with a maximum f 5 bjectives fr Results Driven CE May nt exceed 4000 characters per bjective Limit the use f jargn/acrnyms and technical terms s gals are better understd Eliminate typs Reference a specific DOE r the respective rganizatin s Strategic Plan fr each bjective May use an Organizatinal Gal that stems frm the Strategic Plan Prvide a timeframe fr cmpletin Use the SMART Framewrk 7

8 VIII. PERFORMANCE PLAN TIPS - RATER Ensure bjectives are f quality and prvide a challenge t the emplyee Cmmunicate changes/edits t be made by emplyee in the Rater s Cmments sectin f the plan Rater Cmments are nt included as part f the fficial Perfrmance Plan Identify perfrmance targets fr inclusin that were nt identified by the emplyee Ensure perfrmance targets are realistic and within emplyee s cntrl Ensure member is made fully aware f perfrmance expectatins Cnduct Initial Feedback Sessin IX. SMART FRAMEWORK Perfrmance Standards shuld be Specific, Measurable, Aligned, Realistic, and Timeframe bund. Specific - Clear, cncise statement f what is being measured with bservable utcmes. Measurable - Result shuld be bservable r verifiable with a methd, prcedure r standard t assess and recrd the result f the requirement. Aligned - A clear, direct cnnectin shuld exist between Standards and the rganizatinal pririties and/r cmpnent strategic gals. Realistic - The utcme must be achievable with the resurces and persnnel available, and it shuld be within the emplyee s cntrl and respnsibility. Timeframe - bund - Timeframe needed t cmplete the Standard shuld be within the perid f perfrmance. Tips Use the phrase as measured by t ensure measures have been included Use multiple measures, when pssible Measure what is truly critical t the perfrmance f the jb nt just what is easiest t measure X. eperformance SYSTEM and DOE POINTS OF CONTACTS eperfrmance must be accessed thrugh the Internet Explrer brwser using this link: Cntact the eperfrmance Prgram Manager fr assistance: Sharn Pllck; Sharn.Pllck@hq.de.gv; (202) Cntact the DOE Perfrmance Management team fr assistance: Ms. Ina Shaw; Ina.Shaw@hq.de.gv; (202) Ms. Selina Swales; Selina.Swales@hq.de.gv; (202) Ms. Erin Mre; Erin.S.Mre@hq.de.gv; (202)