Performance Management System for NonSupervisory Employees

1
Performance Management System for
Non-Supervisory Employees

• OFFICE OF HUMAN CAPITAL MANAGEMENT
• U. S. DEPARTMENT OF ENERGY

2
New Performance System for Non-Supervisory
Employees

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

3
Goals

• 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

4
Coverage

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

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General Requirements

• 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.

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General Requirements (cont.)

• 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.

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Key Features Being Cascaded

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

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Key Features Being Cascaded (cont.)

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

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Key Features Being Cascaded (cont.)

• 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

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Critical Elements 1 - 4 Specific Job
Responsibilities

• 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.

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Employee Attributes Critical Element

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

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Additional Features

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

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Employee Responsibilities

• 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

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Rating/Reviewing Official 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 organizations performance
  ratings correspond to organizational productivity
  or effectiveness

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DERIVING FINAL RATINGS
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Assigning Weights to Critical Elements

• 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

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Assigning Weights to Critical Elements (cont.)

• 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

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Assigning Weights to Critical Elements (cont)

• 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 employees final performance
  rating

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Computing the Summary 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)

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Computing the Summary Performance Rating (cont.)

• 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

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Computing the Summary Performance Rating (cont)

• 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

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Assigning Weights to Individual Employee
Attributes

• 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

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ORO Elements and Weights for Non-Bargaining Unit
Employees

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

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Computing Summary Performance Ratings

• Example 1-a
• Job Specific
• Critical Element Rating Weight Pts
  Score
• Recruitment SE 30 1
  30
• Classification ME 30 .5
  15
• E/LMR SE 15 1
  15
• HR E-Systems ME 15 .5
  7.5

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Computing Attribute Ratings Scores

• Example 1-b
• Employee Attributes Element
• Attribute Rating Weight Pts
  Score
• Resp Acct 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

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Computing Summary Performance Ratings

• Example 1-c
• Job Specific
• Critical Element Rating Weight Pts
  Score
• 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

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Overall Performance Ratings

• 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

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Performance Awards Eligibility

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

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Performance Award Amounts

• 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

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Performance Award Amounts (cont.)

• Sample Performance Awards Payouts
• Ratings/Scores Opt A Opt B Opt C Opt 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

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Timetable

• 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

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ORO Implementation

• Non-bargaining unit employees
• by December 31, 2005
• Bargaining unit employees
• maybe by December 31, 2005

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• If you have any questions about this new
  performance management system, please contact
  your assigned Human Resources Specialist for
  assistance.

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HR Assigned Specialists

• Office of Manager Adolphus Brown 576-4757
• Public Affairs Office Carol Aytes 576-9586
• Diversity Programs Carol Aytes 576-9586
• Partnerships Program Development Phil Barker
  574-2636
• Office of Chief Counsel Carol Aytes
  576-9586
• AM Security Emergency Management Phil Barker
  574-2636
• Office of Nuclear Fuel Supply Edward Dunbar
  576-0670
• AM Administration Jill Stephenson 576-0677
• AM Environmental Management Edward Dunbar
  576-0670
• Office of Chief Financial Officer Phil Barker
  574-2636
• AM Science Jill Stephenson 576-0677
• AM Environment, Safety Health Carol Aytes
  576-9586
• OSTI Adolphus Brown 576-4757
• PNSO Adolphus Brown 576-4757
• TJSO Adolphus Brown 576-4757