Performance Management System for Non-Supervisory Employees - PowerPoint PPT Presentation

U. S. DEPARTMENT OF ENERGY

• DOE’s Proud to Be commitments to OMB & OPM
• Supports Human Capital Management items under the President’s Management Agenda
• Cascades from the performance management systems in place for SES and Managers and Supervisors
• Strategic Alignment - DOE missions
• Accountability – and Rewards

• Identify performance distinctions among non-supervisory employees
• Incorporate strategic plans and mission objectives with accountability for achieving such objectives
• Provide substantial financial rewards commensurate with top performance
• Provide proportionately less rewards for lesser ratings

• DOE Non-Supervisory Employees in Competitive Service General Schedule and Excepted Service positions

• Performance plans in place no later than 30 days from the start of the performance appraisal period.
• At least one progress review annually.
• Minimum performance appraisal period - 90 calendar days.

• Recognition and rewards must be provided to top performers.
• Assistance must be provided to employees in improving unacceptable performance.
• Action must be taken to reassign, reduce in grade, or remove employees who continue to have unacceptable performance after an opportunity to demonstrate acceptable performance.

• Fiscal Year Appraisal Cycle
• Plans Linked to Organizational Strategic and Mission Objectives
• Direct Linkage between Performance Ratings and Awards
• Significant Awards to Top Performers

• Four-Level Performance Appraisal System:
• Significantly Exceeds Expectations
• Meets Expectations
• Needs Improvement
• Fails to Meet Expectations

• Two to Five Critical Elements assigned variable weights to reflect their relative degree of importance:

1. Specific Job Responsibilities

• One – Four Critical Elements

2. Employee Attributes – Critical Element

• Five Attributes

• Specific Job Responsibility Critical Elements are assigned weights to reflect differences in importance.
• At least one specific job responsibility critical element must be linked to an organizational goal and/or mission objective
• Organizational goals/mission objectives must be achievable and include measurable outcomes.

• Attribute 1 – Responsibility and Accountability
• Attribute 2 – Communication
• Attribute 3 – Teamwork
• Attribute 4 – Innovation/Quality Improvements
• Attribute 5 – Customer Service

• Performance Standards Written at the “Meets Expectations” Level
• Variable Weights Assigned to Individual Critical Elements and Individual Employee Attributes

• Participate in the development of plan
• Report on the status of assignments including any problems which may prevent their successful completion
• Maintain complete records on work outputs for use during progress reviews
• Include training as required for professional development and performance of responsibilities

• Involve subordinates in the development of performance plans
• Conduct one or more progress reviews with subordinates and provide interim assessments of their performance.
• Assure that the organization’s performance ratings correspond to organizational productivity or effectiveness

• Total weight assigned to all critical elements must equal 100 by using the following proportions:
• Specific Job Responsibilities Critical Elements = 90
• Employee Attributes Critical Element = 10

• Examples of factors to consider in the assignment of weights:
• Relative importance as related to mission objectives
• Complexity of assignments, risk factors
• Costs, both in terms of resources and staff time
• Impact on the organization or the Department as a whole

• Weights initially assigned during the plan development stage
• Weights may be adjusted, along with other related factors, during the progress review stage
• Rating officials are expected to discuss with the employee the impact of assigned weights on the determination of the employee’s final performance rating

• Each Element has a numerical weighting
• Each rating level has an assigned point value
• Multiplying these gives score for each element
• Similar “sub” process for Attributes
• Add resulting #s to get a total
• Total score dictates summary rating (unless an element was rated FME)

Rating Levels: Point Ranges

SE 80 - 100

ME 50 - 79

NI 49 and below

FME any score with at least 1

critical element rated FME

• Specific Job Responsibilities Critical Element Rating Levels and Assigned Point Values:
• Significantly Exceeds Expectations (SE) = 1 point
• Meets Expectations (ME) = .5 point
• Needs Improvement (NI) = 0 points
• Fails to Meet Expectations (FME) = Results in a Summary Rating of FME

• Similar to that used to assign weights to Job Specific Responsibilities Critical Elements:
• An individual weight is assigned to each Employee Attribute ranging from 1 to 3 points
• Individual weights must total 10 for the overall Employee Attributes Critical Element

• 4 Job-Specific Elements
• Weights: 30, 30, 15, & 15
• Employee Attributes
• Weights: All weighted at 2 points

Example #1-a

Job Specific

Critical ElementRatingWeightPtsScore

Recruitment SE 30 1 30

Classification ME 30 .5 15

E/LMR SE 15 1 15

HR E-Systems ME 15 .5 7.5

Example #1-b

Employee Attributes Element

AttributeRatingWeightPtsScore

Resp & Acc’t SE 2 1 2

Communication SE 2 1 2

Teamwork ME 2 .5 1

Innov/ Qual Imp. ME 2 .5 1

Cust Svc ME 2 .5 1

Totals 10 7pts

Example #1-c

Job Specific

Critical ElementRatingWeightPtsScore

Recruitment SE 30 1 30

Classification ME 30 .5 15

E/LMR SE 15 1 15

HR E-Systems ME 15 .5 7.5

Attributes 10 7

Totals 100 74.5pts

Rating Levels: Point Ranges

SE 80 - 100

ME 50 - 79

NI 49 and below

FME any score with at least 1

critical element rated FME

• Mandatory Awards: SE
• Discretionary Awards: ME
• No Awards: NI or FME

• Awards to employees rated Significantly Exceeds Expectations:
• System recommends 5 to 10% of base pay for highest SE levels
• Maximum of $7,500
• Mangement discretion (w/ HQ approval) for lower amounts based on funding shortfalls

Sample Performance Awards % Payouts:

Ratings/ScoresOpt AOpt BOpt COpt D

SE/95-100 pts 10% 7.5% 5% 5%

SE/80-94 pts 8 6 4 3

ME/70-79pts 6 4.5 3 1

ME/60-69pts * 4 3 2 0

ME/50-59pts * 2 1.5 1 0

• December 31, 2005 – Deadline for implementation of the new performance management system
• March 1, 2006 – Start date for progress reviews
• September 30, 2006 – End of first rating cycle
• October 15, 2006 – Deadline for finalizing performance ratings
• December 31, 2006 – Deadline for payment of FY 2006 performance awards

• Non-bargaining unit employees:

by December 31, 2005

• Bargaining unit employees:

maybe by December 31, 2005

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