Department of Energy Senior Executive Service Performance Management System

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Department of EnergySenior Executive
ServicePerformance Management System

• FOCUSING ON LEADERSHIP EFFECTIVENESS

Office of Management, Budget Evaluation SES
Performance Management System Briefing Training
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What is the New SES Performance Management System?

• The new system is a results oriented
  performance measurement tool which places
  emphasis on direct and clear linkages between
  organizational mission/programs, strategic plans,
  and individual senior executive performance
  plans.

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When Will the New System Be Effective?

• The new Senior Executive Service (SES)
  Performance Management System is effective
  November 7, 2001 through the end of the FY 2002
  SES performance appraisal cycle (i.e., September
  30, 2002).

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Whats New About This System?

• TWO EQUALLY WEIGHTED
• CRITICAL ELEMENTS
• Key Programmatic Accomplishments
• Key Leadership Attributes

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Major Differences

• Major Feature Current System New
  System
• Rating Levels ME, NI, U
  O, ME, NI, U
• Performance Elements 3 Critical 2
  Critical
• Awards (Bonuses) 5 - 14 ME - 5
• O - 10 - 20
• Balanced Measures 360 Degree Promotes
  ongoing communication and feedback
  in support of customer
  satisfaction.
• Written Accomplishments None Required.

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Element I - Key Programmatic Accomplishments

• Focuses on the critical few program and
  mission-related activities in the executives
  area of responsibility
• The objectives are developed by the executive and
  his/her manager at the start of the performance
  cycle
• Each key objective will be tracked and evaluated
  based on
• (1) how efficiently and effectively the senior
  executive executed or obtained results, and
• (2) results achieved (e.g., program objectives,
  outcomes, policy impacts).

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Critical Element II - Key Leadership Attributes

• This area of performance assessment is
• Generic
• Focuses on how the executive carries out
  his/her responsibilities relative to highly
  desirable leadership attributes that are expected
  of all DOE Senior Executive Service members.

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II. KEY LEADERSHIP ATTRIBUTES

• Demonstrates Functional Competence
• Exhibits Analytical Ability Solves Problems
• Builds Diversity
• Serves Customers Builds Partnerships
• Communicates Effectively
• Innovates
• Demonstrates Personal Leadership
• Creates Effective Operating Plans
• Builds Capability
• Coaches, Motivates, Develops Mentors

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Progress Reviews

• At least one Progress Review is required
  annually--more if deficiencies are noted
• Prior to the Progress Review discussion, the
  senior executive is responsible for documenting
  progress made on the established program
  objectives, projects and other priorities (page
  14 of the plan)
• The rater is responsible for discussing and
  certifying any changes needed
• Both the supervisor and senior executive certify
  the form upon conclusion of the discussion.

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Optional Peer Feedback

• To facilitate performance excellence, Secretarial
  Officers may require that peer assessments or
  other forms of 360 Degree Feedback be conducted
  on executives in their organizations.
• The focus is on Element II - Key Leadership
  Attributes and the results are for performance
  improvement and developmental purposes only.
• A standard form is included in the established
  SES performance plan package.

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Rating Levels

• The new SES performance management system has
  four summary rating levels
• Exceeds Expectations (O)
• Meets Expectations (ME)
• Needs Improvement (NI)
• Fails to Meet (U)

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Performance Appraisal and Ratings

• Executive - Written accomplishments addressing
  results achieved in terms of key performance
  objectives and leadership attributes are required
  of each senior executive being evaluated.
• Rating Official - All annual performance
  evaluations are required to be completed within 3
  weeks following the annual appraisal cycle end
  (October 20).

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Determining Annual Summary Ratings

• In assessing annual performance, the rater will
  take into consideration the executives written
  accomplishments, personal observations, customer
  feedback, and other information received.

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Assessing Element I

• The rater will perform the following for each
  executive being evaluated
• Assess each objective in line with the respective
  SES performance management plan, and
• Assign a rating of Exceeds Expectations, Meets
  Expectations, Needs Improvement, or Fails to Meet
  for each.

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Overall Rating for Element I

• Following assessment of each objective under this
  critical element, the rater assigns an overall
  rating as follows
• Exceeds Expectations (O) All objectives are
  rated at Exceeds Expectations
• Meets Expectations (ME) At least two objectives
  are rated at ME, no more than one objective is
  NI, and no objectives at U.
• Needs Improvement (NI) Two or more objectives
  are NI.
• Fails to Meet (U) One or more objectives is
  rated U.

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Assessing Element II

• In assessing this element, the rater is required
  to rate each of the 10 attributes according to
  the generic standards provided for each (refer
  to pages 3-13 of the appraisal form).
• A determination of Low, Mixed, Solid, Excellent,
  or Outstanding performance is to be made on each
  and documented on page 17 of the respective
  performance plan.

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Determining a Summary Rating for Element II

• After assessing each attribute, an overall
  summary rating must be assigned
• Exceeds Expectations (O) All attributes are
  rated at Excellent or Outstanding.
• Meets Expectations (ME) Combination of Mixed
  Performance, Solid, Excellent and Outstanding
  performance no more than three ratings are
  Mixed.
• Needs Improvement (NI) Majority are rated at
  either Mixed, Low or Fails to Meet no more than
  two are Low.
• Fails to Meet (U) Three or more at rated Low.

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Determining the Initial Summary Rating

• Rating officials are required to make their
  overall assessments and document based on the
  following
• Exceeds Expectations (O) Both critical elements
  are rated O.
• Meets Expectations (ME) One or both critical
  elements are ME.
• Needs Improvement (NI) One or both critical
  elements are NI.
• Fails to Meet (U) One or both critical elements
  is at U.

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Performance Bonuses for Career SES

• Exceeds Expectations Mandatory bonus of between
  10 to 20 of basic pay.
• Meets Expectations rating - May be nominated for
  a bonus at 5 of basic pay.
• Criteria for Nomination O or ME initial summary
  rating and clearly documented significant
  achievements/measurable results. Additional
  criteria may be added annually by S-1 or S-2.

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NONCAREER SES AWARDS

• Pay Rate Adjustment - Increase in ES level. The
  normal progression is one level annually.
• Cash Award - Special Act or Service or On-The
  -Spot Award.
• Time-Off Award - For annual performance,
  typically granted as 40 hours for Exceeds
  Expectations rating, and 20 hours for Meets
  Expectations.

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Higher Level Review

• DOE policy requires that all SES initial ratings
  be reviewed by an official in the organization
  who is at a higher level than the rater. It is
  advisable that this be done prior to documenting
  the proposed rating or discussing with the
  employee.
• The higher level reviewer may concur or
  non-concur on a documented initial rating, but is
  not permitted to change the proposed rating.

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Determining the Final Rating and Performance
Recognition

• The DOE Performance Review Board (PRB) serves as
  an advisory group to the Secretary and is
  primarily responsible for conducting objective
  reviews and evaluations of career SES annual
  performance proposals, followed by providing
  their final recommendations to the Secretary for
  decision.

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Performance Management Assistance and Training

• The Executive Resources Management Division is
  available to answer your questions on the new SES
  Performance Management System. Please contact
  Debra Gibson at [phone] or Ina Shaw at
  [phone].
• Additional training will be provided to DOE
  organizations through their Training Points of
  Contact, briefings upon request, and resources
  including handouts, On-Line Learning Center
  training, and web-based courses. For more
  information, please contact Dottie VanSteinburg
  [phone] or Tanya Luckett at (202)
  287-1655.