Course EXE-PMT-02 Version 3 Summer 2008

1. Course EXE-PMT-02 Version 3 � Summer 2008

2. Driving Organizational Results Communicating and Planning Slide 1-2 Module Agenda Today�s Workshop will cover: Mandatory Performance Elements Mandatory components of Performance Requirements Building results-driven SMART-Q Requirements Sample Performance Requirements

3. Driving Organizational Results Communicating and Planning Slide 1-3 Learning Objectives Understand what Performance Elements must be addressed in your Performance Plan Understand what must be included in Performance Requirements Define the components of SMART-Q Performance Requirements Recognize results-driven Performance

4. Driving Organizational Results Communicating and Planning Slide 1-4 Executive Performance Management CycleAt a Glance

5. Driving Organizational Results Communicating and Planning Slide 1-5 DoD Performance Management System FeaturesPerformance Elements � A Review Performance Elements are the critical components of an executive�s or senior professional�s work that contribute to organizational goals and results Unsatisfactory performance in any one of the Performance Elements would make the executive�s overall job performance unsatisfactory Performance Element Benchmarks included as a resource slide in this Module

6. Driving Organizational Results Communicating and Planning Slide 1-6 DoD Performance Management System FeaturesPerformance Requirements � A Review Must be results-driven Performance Requirements, written as: SMART-Q (Specific, Measurable, Aligned, Realistic, Timely, Quality) statements of results expected to be achieved during the Performance Appraisal period Describe �what is required� and �how well it is to be done� 60 percent of Performance Requirements must be SMART-Q. 40 percent may be written as a behavior statement within the measure (e.g. Consults with employees and/or stakeholders in developing policy) Must describe a requirement/outcome that is of sufficient depth and complexity to reflect the high-level work of an Executive or Senior Professional

7. Driving Organizational Results Communicating and Planning Slide 1-7 DoD Performance Management System FeaturesPerformance Requirements � A Review Typically between one and four Performance Requirements per Performance Element Performance Requirements must be written to a Level 3 , �Achieved Expectations� Achieved Expectations is a high-bar standard for those who deliver expected, customary results of a high quality and creativity �Stretch� Performance Requirements are optional and describe high-bar standards for those who deliver breakthrough results, uncommon, or extraordinary or unexpected results The Performance Element �Contribution to Mission Accomplishment� MUST contain ALL SMART-Q Requirements No behavioral measures are permissible

8. Driving Organizational Results Communicating and Planning Slide 1-8 Performance Management System FeaturesPerformance Requirements SMART-Q statements of results expected to be achieved during the Performance Appraisal period Describe �what is required� and �how well it is to be done� Must describe a requirement/outcome that is of sufficient depth and complexity to reflect the high-level work of an Executive or Senior Professional Typically between one and four Performance Requirements per Performance Element Performance Requirements must be written to a Level 3 , �Achieved Expectations� Achieved Expectations is a high-bar standard for those who deliver expected, customary results of a high quality and creativity �Stretch� Performance Requirements are optional and describe high-bar standards for those who deliver breakthrough results, uncommon, or extraordinary or unexpected results

9. Driving Organizational Results Communicating and Planning Slide 1-9 Communicating and PlanningGetting Started - Employee Perspective Complete the Basic Performance Management Training (Executive Performance Management � System Overview and Requirements) Obtain copies of the foundational documents that are the �building blocks� for developing Performance Plans: Strategic Plans, Organizational Plans, Organizational Priorities Annual DoD Organizational Priorities DoD Organizational Assessments (published annually) Component Organizational Assessments � as applicable (published annually) Rater�s requirements or expectations that will be reflected in your performance plan Identify Performance Requirements Know how to write a SMART-Q Performance Requirement Know the OPM and DoD mandatory Performance Elements and Performance Requirements Discuss with your rater the major work that needs to be accomplished, the linkage to organizational goals, measures of performance, and expectations of performance Draft compliant Performance Requirements

10. Driving Organizational Results Communicating and Planning Slide 1-10 Communicating and PlanningGetting Started - Rating Official Perspective Complete the Basic Performance Management training (Executive Performance Management � System Overview and Requirements) Make time for planning and communicating performance requirements and expectations Discuss and identify organizational goals and priorities and your own performance requirements that will have an impact on the executive�s performance Identify the 3 mandatory Performance Elements and any optional Performance Elements applicable for the executive Discuss with your executive the major work that needs to be accomplished, the linkage to organizational goals, measures of performance, and expectations of performance Develop compliant Performance Requirements

11. Driving Organizational Results Communicating and Planning Slide 1-11 Performance RequirementsWhat must be included? The CFR and OPM prescribe mandatory criteria for Performance Requirements, they are: Provide evidence that DoD has an effective and legally compliant performance management system in place Are used by OPM as an element in the certification of DoD�s performance management system. Failure to meet the criteria may result in the decertification of the DoD performance management system DoD requires Performance Requirements to demonstrate results in achieving a diverse workforce OPM and DoD mandatory criteria may be part of a Performance Requirement or exist as a Performance Requirement by itself. Whatever approach is taken, the criteria must be clearly evident in the Performance Requirement.

12. Driving Organizational Results Communicating and Planning Slide 1-12 Performance RequirementsWhat must be included? (cont�d) Accountability Criteria (SES Only) - Accountability for subordinate performance management Must specifically have a statement that holds executives accountable for the performance of a subordinate, which includes ensuring that subordinate performance plans are aligned to organizational goals, appraising subordinates against clear, measurable standards of performance Outcome must be SMART-Q written at the Level 3 Include in the Leadership/Supervision Element Alignment Criteria � Performance Plan linkage to organizational goals established in Strategic Plans, annual performance plans, or other organizational planning or budget documents Each Requirement must cite the actual plan and/or goal The citation may be abbreviated , e.g., (Goal 1.1 of CPP Strategic Plan) The referenced plan must be available, upon request, to submit to DoD as part of the evidence required for OPM certification

13. Driving Organizational Results Communicating and Planning Slide 1-13 Performance RequirementsWhat must be included? (cont�d) Balanced Measures Criteria� Measures or indicators of the collection and uses of employee and customer/stakeholder feedback A Performance Requirement must state that employee and customer/stakeholder feedback was solicited and used in achieving a performance result Outcome must be SMART-Q written at Level 3 Include in any one of the Performance Elements, e.g., Contribution to Mission Accomplishment or Customer Care Consultation Criteria: Requirement to involve the executive and rater in developing Performance Requirements Executives and Raters must co develop the Performance Requirements Signature of the Executive and Rater is required in Part B-1 of the Executive Performance Appraisal Form Diversity Criteria � DoD Requirement: Performance plans must have a Performance Requirement that holds executives accountable for achieving results in promoting diversity in the workforce and furthering equal employment opportunity in the workplace

14. Driving Organizational Results Communicating and Planning Slide 1-14 Performance RequirementsWhat must be included? (cont�d) Measurable Results Criteria� Output or outcome that is observable and or verifiable results in terms of quality, quantity, timeliness, and or cost effectiveness All Performance Requirements under Contribution to Mission Accomplishment must be results-driven (SMART-Q) Measures can include efficiency or accuracy rates, improvement from survey results, acceptance of articles by jury journals, Presidential Management Agenda metrics or other program metrics, attributes of value, thoroughness, excellence of an effort, or result. Tip: Measures allow for meaningful distinctions in performance Yes or No responses to a Performance Requirement may be an indication that the Performance Requirement cannot make a meaningful distinction in performance For example, a Performance Requirement that states: �Write a DoD Instruction by January 2008� uses time as the measure. However, meeting or �beating� the clock may be insufficient to determine a level 3, 4 or 5 rating on the Performance Element. Other indicators e.g., a quality measure, can be used to help make meaningful distinctions in performance.

15. Driving Organizational Results Communicating and Planning Slide 1-15 SMART-Q Framework Elements of the SMART-Q Framework Specific Measured Aligned Realistic Timeframe Quality

16. Driving Organizational Results Communicating and Planning Slide 1-16 SMART-Q Framework �S� Specific Clear, concise statement of what is being measured. Observable outcome or achievement. Ask yourself What am I responsible for accomplishing? What will be achieved? What is the expected result and outcome? How will this drive organizational success?

17. Driving Organizational Results Communicating and Planning Slide 1-17 SMART-Q Framework �M� Measurable Result is observable or verifiable. Does a method, procedure or standard exist to assess and record the result of the requirement? Ask yourself How will I know I achieved the result at the �Achieved Expectations� level, at a minimum? Is the requirement a �big rock� that describes your work as an executive? Is the requirement simply a statement of activity versus outcomes/results to evoke a meaningful distinction in performance?

18. Driving Organizational Results Communicating and Planning Slide 1-18 SMART-Q Framework �A� Aligned A clear, direct connection exists between my requirements and the QDR. Ask yourself Does this requirement support the QDR and/or my organizational goals? If this requirement is not met, what is the impact to the organization? What specific goal/priority does the performance requirement meet?

19. Driving Organizational Results Communicating and Planning Slide 1-19 SMART-Q Framework �R� Realistic The outcome must be achievable with the resources and personnel available. Is it within your control and responsibility? Ask yourself Do I need to plan on additional resources to meet this requirement? Is this a realistic goal given the organization�s mission? Is the achievement of this goal under my control?

20. Driving Organizational Results Communicating and Planning Slide 1-20 SMART-Q Framework �T� Timed Timeframe needed to complete the requirement Ask yourself Have I included a realistic timeframe for all variables identified at this time? Have I included time to resolve potential obstacles? Did I specify when the outcomes will be achieved? Do I need to break the project into milestones to identify an appropriate timeframe?

21. Driving Organizational Results Communicating and Planning Slide 1-21 SMART �Q Framework �Q� Quality Assesses how well you completed the requirement Ask yourself How do I know how well I completed the work? Is there a governing body that can identify the quality of my work? Are there functional experts that can attest to the quality of my results?

22. Driving Organizational Results Communicating and Planning Slide 1-22 Sample Requirement 1 Improve the delivery of HR policy advice and guidance to customers worldwide, including in deployed locations, by developing a variety of useful resources that are robust and easily accessible by Q2 as measured by supervisor, stakeholder, and customer feedback. (Strategic Goal 4.2)

23. Driving Organizational Results Communicating and Planning Slide 1-23 Sample Requirement 2 Improve the effectiveness of the Service Logistics Command by the end of Q4 by increasing the competencies of the staff and ensuring clarity in staff responsibility by cascading performance goals throughout subordinate performance plans. (Workforce Goal 5.7)

24. Driving Organizational Results Communicating and Planning Slide 1-24 Tip SheetCreating Your Performance Requirements Checklist� SMART-Q? Accountability? Strategic Alignment? Balanced Measures? Consultation? Diversity Result? Measurable Results?

25. Driving Organizational Results Communicating and Planning Slide 1-25 Requirements Writing Discussion What was easy? What helped? What are the lessons learned? What additional support is needed?

26. Driving Organizational Results Communicating and Planning Slide 1-26 Resources SES Website (Includes SC 920) www.cpms.osd.mil/sespm Executive Performance in the 21st Century: A Guide to Driving Organizational Results Executive Management Development Office 5 USC 43 OPM Certification http://www.opm.gov/ses/certification.asp

27. Driving Organizational Results Communicating and Planning Slide 1-27 Questions