SCMS Rev. 2.0/PFM_Exh42.pdf 1 of 41 (04/2011)
11

DOE Results DOE Results-Focused Performance Management for Non-Supervisory Employees Supervisory Employees

Participant Guide Participant Guide

September 2008

This page is intentionally left blank.

SCMS Rev. 2.0/PFM_Exh42.pdf 2 of 41 (04/2011)
September 2008

DOE Results DOE Results-Focused Performance Management for Non-Supervisory Employees Supervisory Employees

Participant Guide Participant Guide

September 2008

DOE Results-Focused 

Performance Management 

Non-Supervisory Employees 

Training Course

September 2008

Housekeeping Information

• Time

• Breaks

• Lunch

• Restrooms

• Emergency Procedures

• Cell Phones/PDAs

SCMS Rev. 2.0/PFM_Exh42.pdf 3 of 41 (04/2011)
September 2008

DOE Results DOE Results-Focused Performance Management for Non-Supervisory Employees Supervisory Employees

Participant Guide Participant Guide

September 2008

DOE Department-Wide 

Performance Management Training

• Workforce

– 11,157 (excluding NNSA & FERC)

• Objectives

– To foster a Results-Focused Performance Management 

Culture which promotes a corporate understanding of and 

approach to employee performance

– To ensure fairness, equity, and accountability 

– To make distinctions in levels of performance

– To emphasize alignment of performance with organizational 

results

September 2008

What This Training is Not About

• DOE Performance Management Policies

• Bargaining Unit Agreements

• Annual Performance Ratings

• Performance Based Awards 

• Providing Employee Feedback

SCMS Rev. 2.0/PFM_Exh42.pdf 4 of 41 (04/2011)
September 2008

DOE Results DOE Results-Focused Performance Management for Non-Supervisory Employees Supervisory Employees

Participant Guide Participant Guide

September 2008

Introductions

• Performance 

Management 

Liaison/Subject Matter 

Expert (SME)

• Instructor

September 2008

Part 1: Course Introduction

SCMS Rev. 2.0/PFM_Exh42.pdf 5 of 41 (04/2011)
September 2008

DOE Results DOE Results-Focused Performance Management for Non-Supervisory Employees Supervisory Employees

Participant Guide Participant Guide

September 2008

Course Agenda

• Part 1: Course Introduction

• Part 2: Roles and Responsibilities in the Performance Process

• Part 3: Process for Developing Performance Plans

• Part 4: The SMART Model for Results-Focused Critical Elements with 

Credible Measures

• Part 5: Activity—Developing a Results-Focused Performance Plan

• Part 6: Course Wrap-Up

September 2008

Course Objectives

At the end of this course, you should be able to:

• Understand the roles and responsibilities in the 

Performance Plan development process

• Recognize the value of the performance planning process 

related to alignment with organizational goals 

• Identify effective ways to collaborate with your supervisor 

in developing and implementing your Performance Plan

• Apply the process for developing a SMART ResultsFocused Performance Plan with Critical Elements

SCMS Rev. 2.0/PFM_Exh42.pdf 6 of 41 (04/2011)
99

DOE Results DOE Results-Focused Performance Management for Non-Supervisory Employees Supervisory Employees

Participant Guide Participant Guide

September 2008

This page is intentionally left blank.

SCMS Rev. 2.0/PFM_Exh42.pdf 7 of 41 (04/2011)
September 2008

DOE Results DOE Results-Focused Performance Management for Non-Supervisory Employees Supervisory Employees

Participant Guide Participant Guide

September 2008

Active Participation

• Share ideas related to the Results-Focused Performance 

Management Process 

• Listen with an open mind to the information presented

• Ask questions to clarify the information presented 

• Participate actively

• One voice at a time

September 2008

• Organization

• Cascading Goal Alignment

• Results-Focused Critical Element

• Credible Measures

• Results-Focused Critical Element with Credible 

Measures

Common Terms

SCMS Rev. 2.0/PFM_Exh42.pdf 8 of 41 (04/2011)
14 14

DOE Results DOE Results-Focused Performance Management for Non-Supervisory Employees Supervisory Employees

Participant Guide Participant Guide

September 2008

Common Terms Used in the Course

Organization

The unit you belong to within DOE that shares and pursues common goals and objectives

Cascading Goal Alignment

A goal that is linked to an organizational or strategic goal, and is cascaded down from the 

SES or the employee’s highest management official to the front-line employees

The source document (i.e., DOE Strategic Plan, DOE Annual Plan, Organizational 

Strategic or Annual Plans, President’s Management Agenda [PMA], President’s National 

Energy Policy, etc.) and the specific goal number must be annotated in the Goal Linkage. 

Employees should be able to see and understand how the results for which they are held 

responsible are linked to those specified in their supervisory/managerial chain, thereby 

creating a clear “line of sight” between individual performance and organizational success.

Results-Focused Critical Element

A performance expectation that holds an employee accountable for achieving a result that 

directly supports an organization’s goal achievement

A Critical Element is an assignment or responsibility of such importance that unacceptable 

performance in a single such Critical Element would constitute an overall “Fails-to-Meet”

summary performance rating. A Critical Element should include measure(s) that specify 

the performance threshold(s), requirement(s), or expectation(s) written at the “Meets”

performance level. A Critical Element or measure may be modified, deleted, or adjusted 

prior to the last 90 days of the rating period.

Credible Measures

Valid and specific measurement of how a result is evaluated, usually in the form of quality, 

quantity, timeliness, and/or cost-effectiveness

Results-Focused Critical Element with Credible Measures

Job Performance Critical Element must specify a result/outcome which is:

(1) Linked to an organizational or strategic goal

(2) Cascaded down from the SES or the employee’s highest management official

(3) Measurable

SCMS Rev. 2.0/PFM_Exh42.pdf 9 of 41 (04/2011)
September 2008

DOE Results DOE Results-Focused Performance Management for Non-Supervisory Employees Supervisory Employees

Participant Guide Participant Guide

September 2008

Part 2: Roles and Responsibilities in the 

Performance Process

September 2008

Manager/Supervisor Role

• Identify key program/site and work unit goals as a basis for 

aligning employee Results-Focused Critical Elements

• Communicate site and work unit objectives

• Provide the link between employee work objectives and 

Agency mission

• Develop Performance Plan, in collaboration with employee

• Provide regular feedback on the 

development of Performance Plans

• Modify Performance Plan with 

employee as required

SCMS Rev. 2.0/PFM_Exh42.pdf 10 of 41 (04/2011)
September 2008

DOE Results DOE Results-Focused Performance Management for Non-Supervisory Employees Supervisory Employees

Participant Guide Participant Guide

September 2008

Employee Role

• Become familiar with the DOE 

Strategic Plan

• Understand key DOE, program, 

organizational, and site goals as a 

basis for developing Results-Focused 

Critical Elements

• Collaborate with supervisor to develop 

Performance Plan linked to strategic, 

operational, or program plans

• Understand the links between:

– Performance and its value to DOE

– Results-focused performance and 

organizational performance

• Ask for and respond to performance 

feedback

September 2008

Collaborating with Your Supervisor

• Develop a Performance Plan:

– Specify results and measures

– Share and discuss the Performance Plan with your supervisor

– Finalize the Performance Plan with your supervisor

• Monitor progress:

– Observe and document interim results and behavior during performance 

period

– Discuss applicability of required changes to Results-Focused Critical 

Elements with your supervisor

• Evaluate and rate performance:

– Provide a list of accomplishments

– Request an appraisal meeting with your supervisor

SCMS Rev. 2.0/PFM_Exh42.pdf 11 of 41 (04/2011)
September 2008

DOE Results DOE Results-Focused Performance Management for Non-Supervisory Employees Supervisory Employees

Participant Guide Participant Guide

September 2008

Rewarding

DOE Performance Management Process

September 2008

Rating Levels

• Significantly Exceeded 

Expectations (SE)

• Meets Expectations (ME)

• Needs Improvement (NI)

• Fails to Meet Expectations

(FME)

Write Performance Plans to the ME Level

SCMS Rev. 2.0/PFM_Exh42.pdf 12 of 41 (04/2011)
September 2008

DOE Results DOE Results-Focused Performance Management for Non-Supervisory Employees Supervisory Employees

Participant Guide Participant Guide

September 2008

Part 3: Process for Developing 

Performance Plans

September 2008

Process for Developing Performance Plans

1. Review DOE mission, goals, and strategic themes.

2. Align individual goals with higher-level goals.

3. Specify results expected for individual goals.

4. Develop SMART, Results-Focused Critical Elements 

with credible measures.

SCMS Rev. 2.0/PFM_Exh42.pdf 13 of 41 (04/2011)
September 2008

DOE Results DOE Results-Focused Performance Management for Non-Supervisory Employees Supervisory Employees

Participant Guide Participant Guide

September 2008

DOE Mission

The Department of Energy’s overarching mission is to 

discover the solutions to power and secure America's 

future.

September 2008

Process for Developing Performance Plans: 

Concept of Cascading Goals

Strategic Plan 

Department Mission

Strategic Goals

Program Goals

Program Measures

Individual

Performance Standards

Strategic Themes

SCMS Rev. 2.0/PFM_Exh42.pdf 14 of 41 (04/2011)
September 2008

DOE Results DOE Results-Focused Performance Management for Non-Supervisory Employees Supervisory Employees

Participant Guide Participant Guide

September 2008

DOE Strategic Themes

DOE

Strategic Theme 1: Energy Security

Promoting America’s energy security through reliable, clean, and affordable energy

Strategic Theme 2: Nuclear Security

Ensuring America’s nuclear security

Strategic Theme 3: Scientific Discovery and Innovation 

Strengthening America’s scientific discovery and economic competitiveness, and 

improving America’s quality of life through innovations in science and technology

Strategic Theme 4: Environmental Responsibility

Protecting the environment by providing a responsible resolution to the environmental 

legacy of nuclear weapons production 

Strategic Theme 5: Management Excellence

Enabling the mission through sound management

September 2008

Strategic Theme 5: Management Excellence

DOE

Strategic Theme 5: Management Excellence

Enabling the mission through sound management

Goal 5.1 Integrated Management

Institute an integrated business management approach throughout DOE with clear roles and 

responsibilities and accountability, to include effective line management oversight by both Federal 

and contractor organizations. 

Goal 5.2 Human Capital

Ensure that the DOE workforce is capable of meeting the challenges of the 21st Century by 

attracting, motivating, and retaining a highly skilled and diverse workforce to do the best job.

Goal 5.3 Infrastructure

Build, modernize, and maintain facilities and infrastructure to achieve mission goals and ensure a 

safe and secure workplace.

Goal 5.4 Resources 

Institutionalize a fully integrated resource management strategy that supports mission needs and 

postures the Department for continuous business process improvement.

SCMS Rev. 2.0/PFM_Exh42.pdf 15 of 41 (04/2011)
September 2008

DOE Results DOE Results-Focused Performance Management for Non-Supervisory Employees Supervisory Employees

Participant Guide Participant Guide

September 2008

DOE Performance Plan

September 2008

Benefits of Cascading Organizational Goal 

Alignment

• Push goals throughout the Agency to keep everyone 

heading in the same direction.

• Align work unit, manager, and employee objectives to 

overall Agency objectives.

• Keep employees engaged by providing clear visibility into 

how their individual goals affect the organization’s 

objectives.

• Keep employees focused on results.

• Hold both managers and employees accountable for 

achieving results, relative to their levels of responsibility.

SCMS Rev. 2.0/PFM_Exh42.pdf 16 of 41 (04/2011)
September 2008

DOE Results DOE Results-Focused Performance Management for Non-Supervisory Employees Supervisory Employees

Participant Guide Participant Guide

September 2008

Example of an Organizational Cascade

Office of Procurement and Assistance 

Management (OPAM) Director

Supervisory Administrative Officer

Management Analyst

Administrative Support Specialist

DOE Strategic Goals

September 2008

Cascading Goals Example 

Office of Procurement and 

Assistance Management 

(OPAM) Director

Supervisory Administrative 

Officer

Management Analyst

Administrative Support 

Specialist

DOE Strategic Goals

Develops and compiles fiscal budgetary reports

Monitors, analyzes, and develops reports for OPAM budgetary

authorization/expenditures programs

Directs and manages the OPAM financial and human resources 

functions 

SCMS Rev. 2.0/PFM_Exh42.pdf 17 of 41 (04/2011)
September 2008

DOE Results DOE Results-Focused Performance Management for Non-Supervisory Employees Supervisory Employees

Participant Guide Participant Guide

September 2008

Part 4: The SMART Model for 

Results-Focused Critical 

Elements with Credible Measures

September 2008

SMART Model for 

Results-Focused Critical Elements and Measures

• Specific

• Measurable

• Achievable

• Relevant

• Time-Bound

SCMS Rev. 2.0/PFM_Exh42.pdf 18 of 41 (04/2011)
September 2008

DOE Results DOE Results-Focused Performance Management for Non-Supervisory Employees Supervisory Employees

Participant Guide Participant Guide

September 2008

Specific—What?

• What results are needed?

– Defines what needs to be 

accomplished

– Conveys a clear understanding of 

the impact of required actions

– Covers “Big Bucket” items 

– Has a measure for the result

– The result is observable

September 2008

Measurable—Where?

• Explains where the 

performance target lies by 

defining measurements

– Quantity 

– Time 

– Milestones 

– Quality 

– Use of resources

• A method or procedure must 

be in place that allows 

tracking, recording, and 

validation

• Proof of accomplishment

If you cannot evaluate it, 

you cannot manage it.

SCMS Rev. 2.0/PFM_Exh42.pdf 19 of 41 (04/2011)
September 2008

DOE Results DOE Results-Focused Performance Management for Non-Supervisory Employees Supervisory Employees

Participant Guide Participant Guide

September 2008

Measurable—Developing Specific Measures

• Quantity

• Quality examples:

– Government standards

– Customer service surveys

– Independent program appraisals

– Laws, Regulations, Standard 

Operating Procedures

• Timeliness

• Cost-Effectiveness

September 2008

Achievable—How?

• Goals define how you can attain the goal through specific 

actions. What steps must be taken?

• Goals are challenging, but achievable. 

• Goals must be within the your control.

• Goals can change from year to year as you are able to 

achieve them.

SCMS Rev. 2.0/PFM_Exh42.pdf 20 of 41 (04/2011)
September 2008

DOE Results DOE Results-Focused Performance Management for Non-Supervisory Employees Supervisory Employees

Participant Guide Participant Guide

September 2008

Relevant—Why?

• Explains why the goal is important—it is aligned with the 

strategic goals of DOE and it adds value.

• Relevant means that the goal supports the achievement of the 

Agency mission with a clear line of sight between actions and 

expected results.

• A clear connection should be shown to at least one level 

higher than you.

September 2008

Time-Bound—When?

• Time-bound means there is a point 

in time when the goal will start or 

when it will be completed.

• This requires using specific time 

frames—e.g., 2nd quarter—or 

actual dates, if possible. 

• This requires allowing for flexibility 

and revision as Agency constraints 

change. 

• Milestones can be used to provide an indication of interim 

accomplishments during the rating period.

SCMS Rev. 2.0/PFM_Exh42.pdf 21 of 41 (04/2011)
September 2008

DOE Results DOE Results-Focused Performance Management for Non-Supervisory Employees Supervisory Employees

Participant Guide Participant Guide

September 2008

The SMART Template

Specific: What results are needed?

Results-Focused 

Critical Elements 

with Credible 

Measures

Measurable: Where does the performance target 

lie? Is there quantitative or qualitative measure?

Achievable: How can the employee attain the goal 

through specific actions? What steps must be 

taken?

Relevant: Why is the goal important (alignment)? Goal Linkage

Time-Bound: When will the goal start, or when will 

it be completed?

Results-Focused 

Critical Elements 

with Credible 

Measures

September 2008

DOE Results-Focused Critical Element Format

Goal 

Linkage

Results-Focused Critical Elements with Credible 

Measures Weight

1.

2.

SCMS Rev. 2.0/PFM_Exh42.pdf 22 of 41 (04/2011)
September 2008

DOE Results DOE Results-Focused Performance Management for Non-Supervisory Employees Supervisory Employees

Participant Guide Participant Guide

September 2008

The SMART Model for Results-Focused

Critical Elements

Specific

Measurable

Achievable

Relevant

Time-Bound

September 2008

Tools for Writing Critical Elements

• SMART Template

• Position Description (PD)

• Organizational Goals

• Annual Project Plans

• Program Plans

SCMS Rev. 2.0/PFM_Exh42.pdf 23 of 41 (04/2011)
43 43

DOE Results DOE Results-Focused Performance Management for Non-Supervisory Employees Supervisory Employees

Participant Guide Participant Guide

September 2008

Using the SMART Template

Specific: What results are needed?

• Develop fiscal budgetary reports and presentations that convey the 

organization’s financial posture 

ResultsFocused Critical 

Elements with 

Credible 

Measures

Measurable: Where does the performance target lie?

Is there quantitative or qualitative measure?

• Budgetary reports and presentations accurately display fiscal data, 

pending challenges and solutions, and program management plans 

as approved by the Supervisory Administrative Officer

Achievable: How can the employee attain the goal through specific 

actions? What steps must be taken?

• Reports and presentations are developed through the use of the 

organization’s internal tracking system and in accordance with 

OPAM’s Standard Operating Procedures

Relevant: Why is the goal important (alignment)?

• Supports OPAM’s fiscal goals and deliverables, and

• DOE Strategic Goal #5, Management Excellence—Enabling the 

mission through sound management

Goal Linkage

Time-Bound: When will the goal start, or when will it be completed?

• Monthly status updates to OPAM Leadership

• Budget reports produced quarterly 

ResultsFocused Critical 

Elements with 

Credible 

Measures

Administrative Support Specialist:

SCMS Rev. 2.0/PFM_Exh42.pdf 24 of 41 (04/2011)
44 44

DOE Results DOE Results-Focused Performance Management for Non-Supervisory Employees Supervisory Employees

Participant Guide Participant Guide

September 2008

Performance Plan

Goal Linkage Results-Focused Critical Elements with Credible Measures Weight

1

.

SCMS Rev. 2.0/PFM_Exh42.pdf 25 of 41 (04/2011)
September 2008

DOE Results DOE Results-Focused Performance Management for Non-Supervisory Employees Supervisory Employees

Participant Guide Participant Guide

September 2008

Administrative Support Specialist: Results-Focused 

Critical Elements with Credible Measures

Goal Linkage Results-Focused Critical Elements with 

Credible Measures Weight

1. DOE Strategic 

Goal #5, 

Management 

Excellence—

Enabling the 

mission through 

sound 

management

Develop and compile fiscal budgetary reports and 

presentations that accurately convey the organization’s 

financial posture as captured in the organization’s internal 

budgetary tracking system. The reports and 

presentations, developed in accordance with OPAM’s

Standard Operating Procedures, accurately display fiscal 

data, pending challenges and solutions, and program 

management plans as approved by the Supervisory 

Administrative Officer in order to meet OPAM fiscal goals 

and deliverables. Provides OPAM leadership with 

monthly status updates and quarterly budget reports. 

There should be no more than 4 instances of inaccurate 

data report during the rating period.

30

September 2008

This slide is intentionally left blank.

SCMS Rev. 2.0/PFM_Exh42.pdf 26 of 41 (04/2011)
September 2008

DOE Results DOE Results-Focused Performance Management for Non-Supervisory Employees Supervisory Employees

Participant Guide Participant Guide

September 2008

Part 5: Activity—Developing a ResultsFocused Performance Plan

September 2008

This slide is intentionally left blank.

SCMS Rev. 2.0/PFM_Exh42.pdf 27 of 41 (04/2011)
49 49

DOE Results DOE Results-Focused Performance Management for Non-Supervisory Employees Supervisory Employees

Participant Guide Participant Guide

September 2008

Activity: Utilizing a Sample Narrative with the SMART Model

Management Analyst Position:

This position is located in the DOE, Office of Management, Office of 

Procurement and Assistance Management, Administrative Office. The 

mission of the office is to provide administrative support to the 

organization. 

The Management Analyst analyzes, evaluates, and advises management 

on deficient areas while ensuring that the current year’s fiscal budget is 

no more than 5% above the previous year’s budget. Recommendations 

on fiscal goals must be in accordance with budgetary regulations and the 

organizational plan. Authorization and detailed expenditure reports are 

provided quarterly to supervisor in accordance with standard operating 

procedure.

SCMS Rev. 2.0/PFM_Exh42.pdf 28 of 41 (04/2011)
50 50

DOE Results DOE Results-Focused Performance Management for Non-Supervisory Employees Supervisory Employees

Participant Guide Participant Guide

September 2008

SMART Template

Specific: What results are needed?

ResultsFocused Critical 

Elements with 

Credible 

Measures

Measurable: Where does the performance target lie?

Is there quantitative or qualitative measure?

Achievable: How can the employee attain the goal through specific 

actions? What steps must be taken?

Relevant: Why is the goal important (alignment)?

Goal Linkage

Time-Bound: When will the goal start, or when will it be completed?

ResultsFocused Critical 

Elements with 

Credible 

Measures

SCMS Rev. 2.0/PFM_Exh42.pdf 29 of 41 (04/2011)
51 51

DOE Results DOE Results-Focused Performance Management for Non-Supervisory Employees Supervisory Employees

Participant Guide Participant Guide

September 2008

This page is intentionally left blank.

SCMS Rev. 2.0/PFM_Exh42.pdf 30 of 41 (04/2011)
52 52

DOE Results DOE Results-Focused Performance Management for Non-Supervisory Employees Supervisory Employees

Participant Guide Participant Guide

September 2008

Performance Plan

Goal Linkage Results-Focused Critical Elements with Credible Measures Weight

1

.

SCMS Rev. 2.0/PFM_Exh42.pdf 31 of 41 (04/2011)
53 53

DOE Results DOE Results-Focused Performance Management for Non-Supervisory Employees Supervisory Employees

Participant Guide Participant Guide

September 2008

Dissecting the Narrative

SCMS Rev. 2.0/PFM_Exh42.pdf 32 of 41 (04/2011)
September 2008

DOE Results DOE Results-Focused Performance Management for Non-Supervisory Employees Supervisory Employees

Participant Guide Participant Guide

September 2008

Management Analyst Position

Specific: Analyzes, evaluates, and advises management on deficient areas

Measurable: Current year’s budget authorizations are no more than a 5% 

increase over the previous year’s budget (Quantitative)

In accordance with budgetary regulations and the organizational plan 

(Qualitative)

Achievable: In accordance with standard operating procedures, through 

detailed expenditure reports

Relevant: Meet OPAM’s fiscal goals and deliverables 

DOE Strategic Goal #5, Management Excellence: Enabling the mission 

through sound management 

Time-Bound: Reports on quarterly basis

September 2008

Management Analyst: Results-Focused Critical 

Elements with Credible Measures

Use SMART to create summary element

Goal 

Linkage

Results-Focused Critical Elements with 

Credible Measures Weight

1. DOE 

Strategic 

Goal #5, 

Management 

Excellence: 

Enabling the 

mission 

through 

sound 

management 

Monitors, analyzes, and develops reports for OPAM’s

budgetary authorization and expenditure programs in 

accordance with OPAM’s Standard Operating Procedure; 

makes recommendations to improve deficient areas in 

order to meet fiscal goals and ensure that the current 

year’s fiscal budget is no more than 5% above the 

previous year’s budget. Detailed expenditure reports 

are due to supervisor by 1 Jan 2009; 1 Apr 2009; 1 Jul 

2009.

30

SCMS Rev. 2.0/PFM_Exh42.pdf 33 of 41 (04/2011)
September 2008

DOE Results DOE Results-Focused Performance Management for Non-Supervisory Employees Supervisory Employees

Participant Guide Participant Guide

September 2008

Cascading 

Alignment

September 2008

Common Errors to Avoid

• Absolute standards

• Vagueness 

• Unmeasurable or unverifiable intended outcomes

• Overly complex or lengthy language

• Unspecified due date or timeframe

• Emphasis on inappropriate or wrong outcomes

• Too many objectives (laundry list)

SCMS Rev. 2.0/PFM_Exh42.pdf 34 of 41 (04/2011)
September 2008

DOE Results DOE Results-Focused Performance Management for Non-Supervisory Employees Supervisory Employees

Participant Guide Participant Guide

September 2008

Part 6: Course Wrap-Up

September 2008

Performance Management Process

SCMS Rev. 2.0/PFM_Exh42.pdf 35 of 41 (04/2011)
September 2008

DOE Results DOE Results-Focused Performance Management for Non-Supervisory Employees Supervisory Employees

Participant Guide Participant Guide

September 2008

Resources

• Performance Management 

Liaison/Subject Matter Expert 

(SME)

• Servicing Human Resources 

Office 

• Ongoing training for NonSupervisory Employees

September 2008

Course Wrap-Up

• Clear the Parking Lot

• Share a key lesson 

learned

• Complete Course 

Evaluation

Thank You For Your Participation!

SCMS Rev. 2.0/PFM_Exh42.pdf 36 of 41 (04/2011)
13 13

DOE Results DOE Results-Focused Performance Management for Non-Supervisory Employees Supervisory Employees

Participant Guide Participant Guide

September 2008

This page is intentionally left blank.

SCMS Rev. 2.0/PFM_Exh42.pdf 37 of 41 (04/2011)
65 65

DOE Results DOE Results-Focused Performance Management for Non-Supervisory Employees Supervisory Employees

Participant Guide Participant Guide

September 2008

Specific: What results are needed?

ResultsFocused 

Critical 

Elements with 

Credible 

Measures

Measurable: Where does the performance target lie?

Is there quantitative or qualitative measure?

Achievable: How can the employee attain the goal through specific 

actions? What steps must be taken?

Relevant: Why is the goal important (alignment)?

Goal Linkage

Time-Bound: When will the goal start, or when will it be completed?

ResultsFocused 

Critical 

Elements with 

Credible 

Measures

SMART Template

SCMS Rev. 2.0/PFM_Exh42.pdf 38 of 41 (04/2011)
66 66

DOE Results DOE Results-Focused Performance Management for Non-Supervisory Employees Supervisory Employees

Participant Guide Participant Guide

September 2008

Specific: What results are needed?

Does it convey a clear understanding of the impact of required 

actions?

Is this a “Big Bucket” item? 

Is there a measure for the result?

Is the result observable?

ResultsFocused 

Critical 

Elements with 

Credible 

Measures

Measurable: Where does the performance target lie?

Is there quantitative or qualitative measure?

Can a qualified observer tell if it is done well?

Is effective use of resources important?

Are there published standards (O/G/M)?

Are employee attributes important? 

Achievable: How can the employee attain the goal through specific 

actions? What steps must be taken?

Is the outcome within the control of the employee?

Is there some stretch for the employee?

Relevant: Why is the goal important (alignment)?

Does this result connect to the next higher level? 

Does it support the achievement of DOE missions and themes?

Is there a line of sight to DOE strategic goals?

Does it add value to the organization?

Goal Linkage

Time-Bound: When will the goal start, or when will it be completed?

Can specific completion or achievement dates be used?

Are there interim milestones?

ResultsFocused 

Critical 

Elements with 

Credible 

Measures

SMART Template, expanded

SCMS Rev. 2.0/PFM_Exh42.pdf 39 of 41 (04/2011)
67 67

DOE Results DOE Results-Focused Performance Management for Non-Supervisory Employees Supervisory Employees

Participant Guide Participant Guide

September 2008

Specific: What results are needed?

• Implement and manage Research & Development (R&D) projects 

ResultsFocused 

Critical 

Elements with 

Credible 

Measures

Measurable: Where does the performance target lie?

Is there quantitative or qualitative measure?

• Increase the efficiencies of environmental performance and 

reliability of systems by 1–3%

• FY08 Qtr 1 project costs are equal to or exceed FY07 Qtr 1 costs

by no more than 3% 

• Complete reports and make recommendations regarding efficiency, 

cost, and reliability of Power Systems 

Achievable: How can the employee attain the goal through specific 

actions? What steps must be taken?

• Planning

• R&D follow-through

• Analysis and reporting of results

• Development of advanced power systems

Relevant: Why is the goal important (alignment)?

• Supports DOE Strategic Goal #3, Scientific Discovery and 

Innovation—Strengthening U.S. scientific discovery, economic 

competitiveness, and improving quality of life though innovations in 

science and technology

Goal Linkage

Time-Bound: When will the goal start, or when will it be completed?

• Produce R&D deliverables by program due dates

• Provide progress reports by end of each quarter

• Provide FY08 Qtr 1 project costs by Dec 31, 2008

ResultsFocused 

Critical 

Elements with 

Credible 

Measures

Sample Performance Plan: 

General Engineer Position

SCMS Rev. 2.0/PFM_Exh42.pdf 40 of 41 (04/2011)
68 68

DOE Results DOE Results-Focused Performance Management for Non-Supervisory Employees Supervisory Employees

Participant Guide Participant Guide

September 2008

Goal Linkage Results-Focused Critical Elements with 

Credible Measures

Weight

1. DOE Strategic Goal 

#3, Scientific 

Discovery and 

Innovation—

Strengthening U.S. 

scientific discovery, 

economic 

competitiveness, 

and improving 

quality of life though 

innovations in 

science and 

technology 

Implement and manage Research & 

Development (R&D) projects in accordance 

with Power Systems Division and NEPA 

standards and to meet timeframes specified in 

the annual R&D project plan, in order to 

increase environmental performance efficiency 

and system reliability by 1–3% over the 

previous fiscal year. Provides supervisor a 

progress report by the end of each quarter. By 

Dec 31, 2008, provide FY08 Qtr 1 project costs 

which equals or exceeds FY07 Qtr 1 costs by 

no more than 3%. 

35

Sample Performance Plan: 

General Engineer Position

SCMS Rev. 2.0/PFM_Exh42.pdf 41 of 41 (04/2011)