# Presentation: 883677

## Department of EnergySenior Executive ServicePerformance Management System

***“******FOCUSING ON LEADERSHIP EFFECTIVENESS*****”**

- Office of Management, Budget & Evaluation
- SES Performance Management System Briefing & Training

## 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.  **

## 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).**

## What’s New About This System?

-            **TWO EQUALLY WEIGHTED**
**                ****CRITICAL ELEMENTS**
**Key Programmatic Accomplishments**
**Key Leadership Attributes**

## 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. **

## Element I -  Key Programmatic Accomplishments

**Focuses on the “critical few” program and mission-related activities in the executive’s 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).**

## 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**.

## 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**

## 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.   **

## 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.**

## 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)**

## 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).**

## Determining Annual Summary Ratings

- In assessing annual performance, the rater will take into consideration the executive’s written accomplishments, personal observations, customer feedback, and other information received.

## 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.**

## 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.**

## 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.

## 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.**

## 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.**

## 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.

## 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.”  **
** **

## 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.**

## 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.**

## 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 (202) 586-8451 or Ina Shaw at (202) 586-8464.**
**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 (202) 287-1678 or Tanya Luckett at (202) 287-1655. **