Office f Executive Resurces Office f the Chief Human Capital Officer U.S. Department f Energy FY 2014 Senir Level (SL) and Scientific r Prfessinal (ST) Perfrmance Appraisal System Opening Guidance
Table f Cntents Cntents I. SL/ST PERFORMANCE APPRAISAL TEMPLATE and TIMELINE... 3 II. PERFORMANCE PLAN - CRITICAL ELEMENTS... 3 III. SL/ST SUMMARY RATING LEVEL DEFINITIONS... 5 IV. DERIVING THE SUMMARY RATING... 6 V. TRAINING AND EVALUATION... 7 VI. PERFORMANCE PLAN TIPS - EMPLOYEE... 7 VII. PERFORMANCE PLAN TIPS - RATER... 7 VIII. SMART FRAMEWORK... 8 IX. DOE POINTS OF CONTACTS... 8 2
Fiscal Year 2014 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 Senir Level (SL) and Scientific r Prfessinal (ST) emplyees in the cntext f the existing plicies. Supervisrs must establish perfrmance plans fr senir prfessinals in cnsultatin with the senir prfessinal and cmmunicate their written expectatins n later than 30 days after the beginning f the rating perid. The perfrmance plan must encmpass the entire rating perid. Senir prfessinal perfrmance plans must include measurable utcmes as dcumented in the DOE s strategic plan. 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. SL/ST PERFORMANCE APPRAISAL TEMPLATE and TIMELINE DATES (2013-2014) Dec 2013 ACTIONS If needed, please cntact HC-40 fr the latest SL/ST Perfrmance Appraisal template SL/ST emplyee prepares their 3-5 key prgrammatic accmplishments, DOE Strategic Plan gal linkage, and desired weights and submits their recmmendatins t the Rating Official Rating Official reviews submissin, discusses with the emplyee and signs and dates the Perfrmance Appraisal SL/ST emplyee signs and dates the Perfrmance Appraisal Feb 2014 Apr 2014 Sep 2014 All Perfrmance Appraisals are cmplete Prgress Review cmpleted End f Perfrmance Appraisal Cycle II. PERFORMANCE PLAN - CRITICAL ELEMENTS All senir prfessinals will be assessed and rated n tw Critical Elements: (1) Key Prgrammatic Accmplishments (3-5 bjectives) and (2) Key Leadership Attributes. Critical Element I fcuses n the 3-5 critical few prgram and missin- related activities linked t the agency s strategic gals in the SL/ST emplyee s area f respnsibility. The ttal weight fr Critical Element I must be 60%. Each key bjective will be tracked and evaluated in a unifrm manner with tw primary fcuses: (1) hw efficiently and effectively the SL/ST emplyee executed r btained the results, and (2) the impact f the results achieved (e.g., prgram imprvements, utcmes, plicy impacts). Critical Element I must als identify clear, transparent alignment t relevant agency r rganizatinal gals, including page numbers, frm DOE s Strategic Plan, Cngressinal Budget Justificatin, r ther 3
rganizatinal planning dcument fr each perfrmance bjective. Objectives must be measurable and established at the Meets Expectatins level. Critical Element II fcuses n hw the SL/ST emplyee carries ut his/her respnsibilities relative t highly desirable attributes that are expected f all DOE SL/ST emplyees. The ttal weight must be 40% fr Critical Element II. Critical Element II is based n the 5 Executive Cre Qualificatins (ECQs). The five ECQ s are: Leading Change, Leading Peple, Results Driven, Business Acumen and Building Calitins. Supervisry SL/ST emplyees will be assessed against all 5 ECQs and nn-supervisry SL/ST emplyees will be assessed against the 4 ECQs as dented belw. 1. Leading Change (5% - 10%) The ability t develp and implement a visin integrating key natinal and prgram gals, pririties, values, and ther factrs. Ability t balance change and cntinuity; t strive t imprve custmer service and prgram perfrmance; and t create a wrk envirnment that encurages creativity. 2. Leading Peple and/r Prgrams (Supervisry SL/ST nly) (5% - 10 %) Prvides leadership and supprt t imprve the hiring prcess t recruit and retain a diverse and highly skilled wrkfrce by planning fr current and future wrkfrce requirements, identifying skills required fr the jb, practively participating in the recruitment and interviewing prcesses, and prviding assistance t newly hired Federal emplyees in accrdance with DOE requirements and established timeframes in rder t meet the President s recruitment and hiring refrm bjectives. Wrks t imprve the diversity f the rganizatin and ensures that all emplyee rights are respected, and takes respnsibility fr the effective management f emplyee perfrmance. Prmtes equal emplyment pprtunity and affirmative actin. Ensures that subrdinate emplyees knw and understand the rganizatinal strategic gals and hw their psitins cntribute t meeting rganizatinal gals. Ensures that perfrmance requirements r perfrmance bjectives f subrdinate emplyees are aligned with rganizatinal gals and emplyees are held accuntable fr results against clear, measurable perfrmance standards. Prvides timely and cnstructive perfrmance feedback. Delivers prducts r services that supprt the Agency s strategic plan, prgrams, plicies, rganizatin annual perfrmance plans r budget pririties. Prducts r services are f a gd quality and prvide gd mdels fr addressing wrk challenges and require high levels f creativity, skill, and knwledge f subject area. Prducts are prduced within the expected timeframes and reliably cmply with applicable statues, regulatins, and established plicies and prcedures, adjusts t changing pririties. Prducts r serves demnstrate thrugh research and analysis. Exhibits effective skills in independently planning, rganizing, and priritizing multiple assignments. Develps and ffers suggestins fr rganizatinal and wrk prcess imprvements that increase results, efficiency, r effectiveness. Effectively cmmunicates verbally and in writing. Written materials are well received and easily understd by a range f individuals and grups, prmting the Agency s prgrams and missin. 4
Prmtes teamwrk and cllabratin acrss rganizatins. Prvide training and mentrship t emplyees n the relatinship f prgram pririties t Departmental Strategic Objectives in accrdance with the DOE Strategic Plan. Prvide high-ptential emplyees with pprtunities t wrk between headquarters and the field, as well as between line and supprt functins. Demnstrates tw-way cmmunicatin with emplyees and actively slicits emplyee feedback t use t infrm decisins. Emplyee feedback is cnsidered during the verall assessment f each executive s perfrmance. 3. Results Driven (5% - 10 %) Accuntability and cntinuus imprvement and the ability t make timely and effective decisins and prduce results thrugh strategic planning and the implementatin and evaluatin f prgrams and plicies. 4. Business Acumen (5% - 10 %) The ability t acquire and administer human, financial, material, and infrmatin resurces in a manner that instills public trust and accmplishes the prgram s missin, and the ability t use new technlgy t enhance decisin making. Demnstrates tw-way cmmunicatin with the custmers and actively slicits custmer feedback t use t infrm decisins. Custmer feedback is cnsidered during the verall assessment f each executive s perfrmance. 5. Building Calitins (5% - 10%) The ability t explain, advcate, and express facts and ideas in a cnvincing manner and t negtiate with individuals and grups internally and externally. The ability t develp and expansive prfessinal netwrk with ther rganizatins and t identify the internal and external plitics that impact the wrk f the rganizatin. III. SL/ST SUMMARY RATING LEVEL DEFINITIONS The perfrmance standard definitins fr each rating level are specified belw: Level 5 (Outstanding): This level is reserved fr the truly exemplary emplyee wh demnstrates the highest degree f achievement in his/her area (s) f wrk. This emplyee demnstrates an extrardinary degree f initiative and self-reliance in identifying and reslving prblems r requirements f the wrk situatin and in develping, recmmending r executing innvative slutins successfully t accmplish tasks ahead f target. The emplyee is extremely adaptable in adjusting t, and reslving, new, unusual, difficult r cmplex situatins r prblems in rder t successfully accmplish prgram bjectives. The emplyee s perfrmance and cntributins are f such a high level that they prduce a significant and psitive impact n the perfrmance f thers and the peratins r reputatin f the wrk unit. Level 4 (Exceeds): This level signifies that the results achieved are clearly beynd what culd be reasnably expected. 5
Level 3 (Meets Expectatins): This level signifies the emplyee s perfrmance results achieved are thse that can be reasnably expected f any emplyee n the jb in rder t fully and adequately achieve assigned respnsibilities. Level 2 (Minimally Satisfactry): This level signifies that there is a significant perfrmancerelated prblem(s) althugh the perfrmance has nt reached Unacceptable in any Critical Element. The emplyee demnstrates limited ability in: Prducing wrk f acceptable vlume and/r quality within established timeframes; r Exhibits limited sense f persnal respnsibility and accuntability in wrk assignments; r Experiences difficulty in addressing new r unusual wrk situatins under nrmal pressure; r Requires frequent guidance and assistance frm supervisr r thers. Level 1 (Unacceptable): This level signifies the perfrmance f the emplyee cnsistently fails t meet the established perfrmance standards in ne r mre critical elements f the emplyee s psitin. When perfrmance is rated at this level, a Perfrmance Imprvement Plan (PIP) must be implemented t help the emplyee imprve his/her perfrmance t Meet Expectatins. IV. DERIVING THE SUMMARY RATING The verall final perfrmance scre and rating is determined based n the derivatin frmula lcated in Table 1. Within the tw Critical Elements, each bjective is individually scred based n the Rating Level (Level 1 Level 5) definitins prvided in Sectin III. The ratings are multiplied by the weight f the bjective. Bth Critical Elements are summed t determine the verall perfrmance scre (max f 500 pints) which equates t a crrespnding final rating level (Level 1 Level 5). Table 1: Overall Perfrmance Rating Derivatin Frmula (Supervisry Example) *EXAMPLE Rating Level Scre Critical Elements Initial Initial Pint Final Rating Level Derivatin Frmula Element Weight Scre Rating Critical Element 1 (60%): Key Prgrammatic Accmplishments - Objective 1 5 15 5 X 15 = 75 Outstanding Level 5 475 500 - Objective 2 4 15 4 X 15 = 60 - Objective 3 3 15 3 X 15 = 45 Exceeds Level 4 387 474 - Objective 4 3 15 3 X 15 = 45 Meets Critical Element 2 (40%): Key Leadership Attributes Expectatins Level 3 300 386 1. Leading Change 4 8 4 x 8 =32 Minimally 2. Leading Peple 5 8 5 x 8 = 40 Satisfactry Level 2 200-299 3. Business Acumen 3 8 3 x 8 = 24 4. Building Calitins 4 8 4 x 8 = 32 Unacceptable Level 1 0-199 5. Results Driven 4 8 4 x 8 = 32 Any CE rated Level 1 = Level 1 Ttal 100 385 6
V. TRAINING AND EVALUATION All senir prfessinals must review the annual training SL/ST perfrmance management training. This will cnstitute training fr FY 2014. 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 evaluates the effectiveness f the perfrmance management system and implements imprvements as needed. VI. PERFORMANCE PLAN TIPS - EMPLOYEE Key Prgrammatic Accmplishment (3-5 bjectives) shuld nt exceed ne page Use bullet r narrative frmat with a minimum f 10-pint fnt Limit the use f jargn/acrnyms and technical terms s gals are better understd Eliminate typs 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 Reference a specific DOE Strategic Gal May use an Organizatinal Gal that stems frm the Strategic Gal Prvide a timeframe fr cmpletin Use the SMART Framewrk VII. PERFORMANCE PLAN TIPS - RATER Ensure Perfrmance Requirements are f quality and prvide a challenge t the emplyee Cmmunicate changes/edits t be made by emplyee in the key prgrammatic bjective sectin f the plan Identify perfrmance targets fr inclusin that were nt identified by the emplyee Ensure perfrmance targets are realistic and within emplyee s cntrl Ensure emplyee is made fully aware f perfrmance expectatins Cnduct Initial Feedback Sessin 7
VIII. 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 IX. DOE POINTS OF CONTACTS Cntact the DOE Perfrmance Management Team fr assistance: Ms. Ina Shaw; Ina.Shaw@hq.de.gv; (202) 586-8464 Ms. Selina Swales; Selina.Swales@hq.de.gv; (202) 586-7975 Ms. Erin Mre; Erin.S.Mre@hq.de.gv; (202) 586-9558 8