# Presentation: 491187

## Performance Management System for Non-Supervisory Employees End of First Rating Cycle Briefing – 9/30/06

- U. S. DEPARTMENT OF ENERGY
- Oak Ridge Office

## Coverage:

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

## 2006 End of Year Process

- _September 30, 2006_ – End of rating cycle
- Rating Period 1/01/06 to 9/30/06 for most employees
- _October 23, 2006_ – Deadline for finalizing performance ratings (unless extended to meet minimum 90 days)
- _October 27, 2006_ – Deadline for submitting completed appraisals to HR
- Minimum appraisal period - 90 calendar days.

## 2006 End of Year Process cont

- Can only be extended up to 45 days
- If unable to meet 90 days with a 45 day extension – employee gets assumed ME
- _October 30, 2006_ – Deadline for new performance  plans to be in place for FY 2007
- _December 31, 2006_ – Deadline for payment of FY 2006 performance awards

## Key Features

- Four-Level Performance Appraisal System:
- Significantly Exceeds Expectations
- Meets Expectations
- Needs Improvement
- Fails to Meet Expectations
- Standards Written at the “Meets Expectations” Level

## Key Features (cont.)

- Two to Five Critical Elements assigned variable weights to reflect their relative degree of importance:
- 1. Specific Job Responsibilities
- One – Four Critical Elements
- ORO – Mandatory Four Elements
- Elements weighted 30, 30, 15, & 15 (ORO)

## Key Features (cont.)

- 2. Employee Attributes – Critical Element
- Five Attributes
- _Attribute 1_ – Responsibility and Accountability
- _Attribute 2_ – Communication
- _Attribute 3_ – Teamwork
- _Attribute 4_ – Innovation/Quality Improvements_ _
- _Attribute 5_ – Customer Service
- All Attributes weighted at 2 points (ORO)

## ORO Elements and Weights for Non-supervisory Employees

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

## Employee Responsibilities for Appraisal

- Reporting on the status of assignments during the year, including any problems which may prevent their successful completion
- Maintaining records on work outputs for use during progress reviews and appraisal

## Rating/Reviewing Official Responsibilities

- Provide subordinates opportunity for input to rating
- Coordinate rating with reviewing official, other management, and HR as needed
- Ratings _MUST_ be concurred with by the reviewing official prior to discussion with employee
- Conduct an appraisal meeting/discussion with the employee to provide the performance appraisal
- Assure that the organization’s performance ratings correspond to organizational productivity or effectiveness

##  DERIVING FINAL RATINGS

## 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

- Specific Job Responsibilities Critical Elements = 90
- Employee Attributes Critical Element = 10

- Assigning Weights to Critical Elements

## Weights for Critical Elements

- Weights were initially assigned during the plan development stage.
- Weights may be adjusted, along with other related factors, during the progress review stage, _consistent with Mgmt policy._
- Weights may need to be re-distributed for the final performance rating if no opportunity to perform under one or more elements.

## Weights for Critical Elements (cont)

- Coordinate with HR _before_ adjusting weights.
- Weight for “unused” job specific element will be distributed to other job specific elements.
- Weights for Attributes should not be redistributed.

## 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)

## Computing the Summary Performance Rating (cont)

- _Element and Attribute 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

## 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

## 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

## Computing Attribute Ratings Scores

**Example #1-b **
**Employee Attributes Element**
**	**_Attribute_         _Rating_     _Weight_     _Pts_       _Score_
- 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**

## Computing Summary Performance Ratings

**Example #1-c**
- _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**

## Overall Performance Ratings

- Rating of 74.5 = 75 = ME
- 	(Ratings are rounded up)
- _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

## Performance Awards Eligibility

- System Provisions
- _Mandatory Awards:_  SE
- _Discretionary Awards:_  ME
- _No Awards:_  NI or FME
- ORO Policy
- _No Performance awards below SE_
- ME will still be eligible for Special Act Awards

## Performance Award Amounts

**ORO Policy on awards to employees rated Significantly Exceeds Expectations:**
- SE/95-100 pts		5%
- SE/80-94 pts		3%
- ME:  Eligible for Special Act Award
- Maximum Performance Award approved locally -- $7,500

## Timetable

- _September 30, 2006_ – End of first rating cycle
- _October 23, 2006_ – Deadline for finalizing performance ratings
- _October 27, 2006_ – Deadline for submitting completed appraisals to HR
- _December 31, 2006_ – Deadline for payment of FY 2006 performance awards

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

## HR Assigned Specialists

- Office of Manager  			Carol Aytes – 576-9586
- Public Affairs Office  			Carol Aytes – 576-9586
- Diversity Programs  			Carol Aytes – 576-9586
- Partnerships & Program Development 	Phil Barker – 574-2636
- Office of Chief Counsel  			Phil Barker – 574-2636
- AM Security & Emergency Management  	Edward Dunbar – 576-0670
- Office of Nuclear Fuel Supply 		Edward Dunbar – 576-0670
- AM Administration  			Brad Thompson – 576-4496
- AM Environmental Management 		Jill Stephenson – 576-0677
- Office of Chief Financial Officer  		Phil Barker – 574-2636
- AM Science  				Phil Barker – 574-2636
- AM Environment, Safety & Health 		Carol Aytes – 576-9586
- OSTI  					Adolphus Brown – 576-4757
- PNSO  					Adolphus Brown – 576-4757
- TJSO					Adolphus Brown – 576-4757