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Performance Management System for Non-Supervisory

Employees

OFFICE OF HUMAN CAPITAL MANAGEMENT

U. S. DEPARTMENT OF ENERGY

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New Performance System for Non-Supervisory Employees

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

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Goals:

Identify performance distinctions among non-supervisory employeesIncorporate strategic plans and mission objectives with accountability for achieving such objectivesProvide substantial financial rewards commensurate with top performanceProvide proportionately less rewards for lesser ratings

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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 ExpectationsMeets ExpectationsNeeds ImprovementFails 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 ResponsibilitiesOne – Four Critical Elements

2. Employee Attributes – Critical ElementFive 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 planReport on the status of assignments including any problems which may prevent their successful completionMaintain complete records on work outputs for use during progress reviewsInclude 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 organization’s performance ratings correspond to organizational productivity or effectiveness

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DERIVING FINAL RATINGS

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Total weight assigned to all critical elements must equal 100 by using the following proportions:Specific Job Responsibilities Critical

Elements = 90Employee Attributes Critical Element = 10

Assigning Weights to Critical Elements

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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

objectivesComplexity of assignments, risk factorsCosts, 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 employee’s 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 pointMeets Expectations (ME) = .5 pointNeeds Improvement (NI) = 0 pointsFails 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 ElementsWeights: 30, 30, 15, & 15

Employee AttributesWeights: 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 ME15 .5 7.5

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Computing Attribute Ratings Scores

Example #1-b Employee Attributes Element

Attribute Rating Weight Pts ScoreResp & Acc’t SE 2 1 2Communication SE 2 1 2Teamwork ME 2 .5 1Innov/ Qual Imp. ME 2 .5 1Cust 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 ME15 .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 $7,500Mangement 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 DSE/95-100 pts 10% 7.5% 5% 5%SE/80-94 pts 8 6 4 3ME/70-79pts 6 4.5 3 1ME/60-69pts * 4 3 2 0ME/50-59pts * 2 1.5 1 0

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TimetableDecember 31, 2005 – Deadline for implementation of the new performance management systemMarch 1, 2006 – Start date for progress reviewsSeptember 30, 2006 – End of first rating cycleOctober 15, 2006 – Deadline for finalizing performance ratingsDecember 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 – 576-4757Public Affairs Office Carol Aytes – 576-9586Diversity Programs Carol Aytes – 576-9586Partnerships & Program Development Phil Barker – 574-2636Office of Chief Counsel Carol Aytes – 576-9586AM Security & Emergency Management Phil Barker – 574-2636Office of Nuclear Fuel Supply Edward Dunbar – 576-0670AM Administration Jill Stephenson – 576-0677AM Environmental Management Edward Dunbar – 576-0670Office of Chief Financial Officer Phil Barker – 574-2636AM Science Jill Stephenson – 576-0677AM Environment, Safety & Health Carol Aytes – 576-9586OSTI Adolphus Brown – 576-4757PNSO Adolphus Brown – 576-4757TJSO Adolphus Brown – 576-4757