This slide presentation is designed as a tool for agency Executive Resources staff and Training Officers to train SES members on the basic SES appraisal.

This slide presentation is designed as a tool for agency Executive Resources staff and Training Officers to train SES members on the basic SES appraisal system issued by OPM and OMB on January 6, (There is another slide presentation designed for high-level briefings that reviews the basic features of the system, without going into detail – these are the detailed slides for in-depth training.) Agencies can use this presentation as a model or template for developing training for executives. These slides include instruction on the following: Features and mechanics of the basic SES appraisal system. Instruction on the five critical elements and how to apply the performance requirements and standards. Guidance on developing Results-Driven commitments that link to organizational goals and focus on measurable results. Roles and responsibilities for effective implementation and operation of the system.

Senior Executive Service (SES) Performance Appraisal System Training
These slides should be tailored to include agency-specific design features of the basic SES appraisal system. The lessons are designed around the five key Performance Management Processes of Planning, Monitoring, Developing, Rating, and Rewarding performance. The introductory slides provide an initial, brief overview of the appraisal system, but an in-depth discussion of the critical elements, the rating derivation formula, and other system design features are addressed in detail in the course lessons.

Background ECQ-Based SES Performance Appraisal System
The interagency-designed basic SES appraisal system provides for the uniform administration of executive performance management systems within the Federal Government by promoting consistency, clarity, and transferability of performance processes, standards, feedback, and ratings across agencies, and Being rooted in the Executive Core Qualifications (ECQs) that enable a lifecycle approach to managing the Executive cadre a balanced emphasis on strategic leadership and results enhanced equity and mobility of SES members within and across agencies greater flexibility for agencies to develop performance metrics This slide lists the primary purposes for establishing an SES appraisal system that is based on the Executive Core Qualifications.

A Basic SES Performance Appraisal System
In 2011, a workgroup created through the President’s Management Council SES Initiative recommended the design of a standard SES Appraisal System. A broad and diverse group of Federal agencies and organizations collaborated to develop a single performance appraisal system applicable to all organizations and their SES members. OPM also consulted with a broad group of stakeholders throughout the process to ensure the new system incorporates leading practices and reflects all interests and needs, including: the President’s Management Advisory Board; SES members; and the Senior Executives Association. This slide provides information about how the SES appraisal system was created and sets the context for the system’s design.

Guiding Principles and Foundational Benefits
Foundational Benefits to SES Consistency Created with a common language; promotes consistent evaluations across agencies Integrity Developed with Governmentwide collaboration and agreement Fairness Promotes equitable evaluation across Government Leadership-Focused SES members are accountable for demonstrating executive-level leadership, using the Executive Core Qualifications (ECQs) as a basis. Clarity Facilitates a clearer path to full certification Flexibility Agencies can customize performance metrics while maintaining the system’s overall consistency Best Demonstrated Practice Informed by best practices This slide lists the primary purposes for establishing a basic SES appraisal system. It is important to review with SES members the reasons for establishing the new system so they understand the basic premises upon which the system is built. All SES members need to hear a similar and consistent message about the system across all agencies.

What Are the Major Improvements Provided by the SES Appraisal System?
Previous Approach Key Features of the Basic SES Appraisal System 1. Wide range of performance elements and definitions across agencies Five performance elements based on the five ECQs, with Governmentwide performance requirements 2. Mix of four- and five-level rating systems, inconsistent derivation formulas Five-level rating system in all agencies Established performance standards for each rating level Standard numerical rating derivation formula 3. Varying emphasis on leadership competencies Minimum weighting for all ECQs, ensuring accountability for demonstrating leadership skills 4. Wide disparity in distribution of ratings by agency Clear, descriptive performance standards and rating score ranges that establish mid-level ratings as the norm and top-level ratings as truly exceptional 5. Different agency appraisal forms, complicating mobility and cross-Govt. comparisons Standard performance appraisal form with flexibility for limited customization by agencies 6. No requirement for summary narrative to explain ratings Mandatory summary rating narrative, promoting richer feedback for SES This is a brief review of the primary features of the system. This slide is intended as a high-level overview, not an in-depth discussion of the features. Later slides get into more detail on how the system works. If attendees start asking for details at this point, tell them the details are coming shortly.

Training Objectives After completing this training, you will
Understand the key Performance Management Processes. Understand how to write and use your Performance Plan. Understand the importance of Performance Feedback. Understand requirements for Executive Development. Understand how Summary Ratings are Derived. Understand your agency’s Pay and Awards Policy. Note: It is intended that the presenter insert the agency’s name for the red highlighted text, here and throughout the presentation.

LESSON 1: Performance Management Processes Overview
Lesson 1 reviews the five key processes of performance management. A thorough discussion of these processes is on OPM’s website at with additional information in the speaker notes.

Lesson 1 Objectives After completing this lesson, you will be able to
Describe the five key processes of performance management. Describe the associated time frames of the performance management process. A discussion about the five key processes sets the stage for the rest of the training. The training is organized around the five key processes of performance management.

Key Performance Management Processes
Developing Performance Monitoring Planning Rating Rewarding The five key performance management processes are: Planning performance, linking executive performance requirements to organizational goals and mission, and focusing on strategic leadership and achieving results. Monitoring performance and providing feedback and progress reviews. Developing or improving the capacity to perform; each executive must have an Executive Development Plan. Appraising and rating performance. Rewarding and acknowledging exemplary performance. Stress the fact that each of these processes is equally important. Effective performance management includes all five processes.

Performance Management Process Timelines
Appraisal Period: [AGENCY WILL INSERT BEGINNING & END DATES – e.g. October 1 through September 30] Minimum Period: 90 days. Approve Performance Plan: on or before the first day of the appraisal period. Progress Review: [Agency will insert date– e.g. May] Initial Summary Rating: [Agency inserts due date) Review the agency’s primary due dates for performance management processes.

Lesson 1: Knowledge Check
The minimum appraisal period is: 30 days 60 days 90 days 120 days T or F – The Planning process is the most important process of performance management. Ask attendees to answer these questions.

Lesson 1: Knowledge Check ANSWERS
The minimum appraisal period is: 30 days 60 days 90 days 120 days T or F – The Planning process is the most important process of performance management. F – each process of performance management is equally important. Review the correct answers and ask if anyone has questions.

LESSON 2: Planning Performance: How to Develop a Performance Plan
This section of the course reviews the Planning process. It reviews the following: Alignment of performance plans to organizational goals Critical elements, performance requirements, and performance standards Measures of performance Writing results-focused performance requirements

Planning Performance Planning Monitoring Rewarding Developing
Rating Rewarding Planning Performance: In an effective organization, work is planned out in advance. Planning means setting performance expectations and goals for groups and individuals to channel their efforts toward achieving organizational objectives. Executives must be involved in planning performance and at least must be consulted in the development of their performance plans. The regulatory requirements for planning SES members' performance include establishing the critical elements and performance requirements of their performance appraisal plans. Performance requirements should be measurable, understandable, verifiable, equitable, and achievable. Through their performance plans, executives are held accountable for achieving individual and organizational goals. SES performance plans should be flexible so they can be adjusted for changing program objectives and work requirements. When used effectively, these plans can be beneficial working documents that are discussed often, and not merely paperwork that is filed in a drawer and seen only when annual summary ratings are required.

Describe the criteria for senior executive performance plans: critical elements, performance requirements, and performance standards. Align performance requirements with agency goals. Distinguish between activities and results. Develop a performance plan by writing measurable, results-focused performance requirements. Review the objectives of the lesson.

Planning Performance Three important aspects to planning performance include - Link performance plan to organizational goals. Develop Results Driven performance requirements. Consult with executives on the development of their performance plans. Note: Alignment, Results, and Consultation are three of the 10 criteria established in regulation for OPM’s certification of an agency SES appraisal system.

Align and Plan Work Performance plans must clearly link to
Presidential Orders and Initiatives. Mission Statements. Strategic Plans. Organizational Goals. Budgetary Priorities . Include a blank SES performance plan as a handout for participants. Point out that Part 5 of the executive performance plan form has a column under the Results-Driven element (Critical Element 5) for identifying the organizational and strategic plan goals to which each Results-Driven commitment links. Note: Executives do not have to identify links to organizational goals for critical elements 1 through 4 (that is, Leading Change, Leading People, Business Acumen, Building Coalitions).

Develop the Performance Plan Overview
Critical Elements Performance Requirements Applying the basic Performance Standards Developing the Results-Driven Requirements Following slides will go into detail on each of these bullets.

Develop the Performance Plan Definitions
Activities-actions taken to produce results. Competencies- the personal and professional attributes that are critical to successful performance in the SES. Critical element-a key component of an executive’s work that contributes to organizational goals and results and is so important that unsatisfactory performance of the element would make the executive’s overall job performance Unsatisfactory. Outcome -describes the intended result or consequence that will occur from carrying out a program or activity. These are definitions of terms that will be discussed in the following slides. Critical elements for the SES will be reviewed in depth beginning on slide 23. They are Leading People, Leading Change, Business Acumen, Building Coalitions, and Results Driven.

Develop the Performance Plan Definitions (cont’d)
Outputs-goods and services produced by a program or organization and provided to the public or to other programs or organizations. Performance requirements- statement of the performance expected for a critical element. Performance standards- the description of performance expected at a given level of performance. Result-Consequence(s) of activities, accomplishments and outputs (can be short term, annual or long term). Performance requirements for Leading People, Leading Change, Business Acumen, and Collaboration are already provided on the executive performance plan. Agencies also may develop additional, agency-specific requirements for these elements. Executives will need to develop the performance requirements for the Results Driven element. Performance requirements discussions begin on slide 26. Performance Standards: The SES system establishes the performance standards for Level 5 (Outstanding) through Level 1 (Unsatisfactory). The performance standards are listed in Part 5 of the performance plan and in Part 6 of the system description. The discussion of performance standards begins on slide 27.

Develop the Performance Plan Critical Elements
Critical elements- components of an executive’s work that contribute to the accomplishment of organizational goals and results. Unsatisfactory performance in one or more of the five critical elements results in overall Unsatisfactory (Level 1) performance. This slide repeats the definition of critical element.

Develop the Performance Plan Critical Elements
The five critical elements are based on the Executive Core Qualifications (ECQs) Leading Change. Leading People. Business Acumen. Building Coalitions. Results Driven. The performance requirements for the first four elements are provided in Part 5 of the executive performance plan. Agencies also may develop additional, agency-specific requirements for these elements. Performance requirements discussions start on slide 26.

Develop the Performance Plan Weighting Critical Elements
The basic SES appraisal system description requires that all critical elements be weighted. Results Driven = at least 20%. All other Critical Elements = at least 5%. No single critical element can weigh more than the Results Driven element. Sum of the weights = 100%. Note: If the presenter would rather focus on the agency’s weighting scheme instead of what the basic system allows, the presenter can skip this slide and move directly to the next slide. The presenter should stress that these weights are merely the MINIMUM values required by the system. While this slide includes a discussion of the weighting scheme, the process for determining the initial summary rating (i.e., the derivation formula) won’t be discussed until Lesson 5 on Rating Performance.

Develop the Performance Plan Weighting Critical Elements
[Agency describes how weighting requirements will be done within the agency] The presenter should explain how element weighting will be handled in the agency. If the agency has established an agency-wide weighting scheme, the presenter should include the weighting scheme on this slide.

Develop the Performance Plan Performance Requirements
Define the performance requirements for a critical element. The basic SES appraisal system description has language addressing Governmentwide performance requirements for all critical elements except the Results Driven critical element. Refer executives to Part 5 of the executive appraisal form to see the standard performance requirement language for the Leading People, Leading Change, Business Acumen, and Building Coalitions performance elements. Agencies can add language to the existing performance requirements under Leading People, Leading Change, Business Acumen, and Building Coalitions. Agencies must create the performance requirements, with measureable results, for the Results Driven element.

The basic system’s performance requirements comply with regulations for system approval and certification and include - Balanced measures of customer and employee perspectives. Accountability for the performance management of subordinates, including alignment of performance plans. Point out the following language on the SES appraisal form, Part 5: Customer perspective is included in the Building Coalitions performance requirement: “Solicits and considers feedback from internal and external stakeholders or customers.” Employee perspective is included in the Leading People performance requirement: “Seeks and considers employee input.” Accountability for performance management is included in the Leading People performance requirement: “Ensures employee performance plans are aligned with the organization’s mission and goals, that employees receive constructive feedback, and that employees are realistically appraised against clearly defined and communicated performance standards. Diversity and inclusion language is included in the performance requirement for Leading People: “Provides an inclusive workplace that fosters the development of others to their full potential; allows for full participation by all employees…” and “Recruits, retains, and develops the talent needed to achieve a high quality, diverse workforce that reflects the nation, with the skills needed to accomplish organizational performance objectives while supporting workforce diversity, workplace inclusion, and equal employment policies and programs.”

Develop the Performance Plan Performance Standards
The basic SES appraisal system establishes performance standards for each performance level and are part of the performance plan. The performance requirements and standards are used together to rate executive performance. Point out the standards included in Part 5 of the SES performance plan. Each critical element and performance requirement is appraised against the established performance standards by applying the performance standards individually to each critical element. For example, at the end of the appraisal period, the rating official will analyze the performance of an executive on the performance requirements for each one of the critical elements and apply the appropriate level of performance as described in the performance standards. This will be covered in more detail in Lesson 5, Rating Performance.

[Agency may add agency-specific or individual performance requirements for the Leading People, Leading Change, Building Coalitions, and/or Business Acumen elements] Some agencies may have additional requirements for Leading People, Leading Change, Building Coalitions, and/or Business Acumen. If so, that language should be reviewed here. Since the Results Driven element will be tailored to each executive, agencies would not usually add an agency-wide requirement to that element, but if there is an appropriate Results Driven requirement that applies to all, include a discussion here.

Develop the Performance Plan Results Driven Element
Executives must develop the performance requirements for their Results Driven element that are clearly linked to organizational goals. The Results Driven performance requirements must be comprised of measurable results. Results Driven performance requirements can be stated as either outcomes or outputs. Outcomes are more meaningful (to customers, stakeholders and the public) than outputs, which tend to be more process-oriented or means to an end. Slides 30 through 44 cover instructions for developing the performance requirements for Critical Element 5, Results Driven.

Agency or Governmentwide performance results are found in Presidential Orders and Initiatives. Agency High Priority Goals. Strategic Plans. Organizational Goals. Budgetary Priorities.

Develop the Performance Plan Alignment of Results Driven Element
Strategic Goals/Governmentwide Goals Optimized Customer Engagement Increased Financial Capability Annual Goals/Agency Priority Goals (Near term) Annual customer satisfaction rating Achieve 30% cost savings Outputs (Short Term goals) Customer feedback collected to inform strategy Projects on time/on budget This graphic shows how alignment cascades from agency and Government-wide strategic plan goals (plans that usually cover a 5-year period), to the agency’s annual performance goals, and short-term goals. We suggest, the presenter insert agency specific goals as the examples.

Everyday Example IMPROVE HEALTH By July 1, 2012, reduced cholesterol by 7 points.” Join a health club/ exercise 30 minutes per day/drink only water Lost 10 pounds by June 1, 2012 This is a non-work related example of cascading goals. Outcome (final result) Activities Interim result Goal

Agency Example Decrease the time to hire Implement action plan to Decrease Time to Hire Decreased application processing time by 40% Customers Satisfied with Agency Time to Hire This is a work-related example of cascading an agency goal, the activities it takes to reach the goal, the interim result, and the eventual outcome. For the Result Driven element, executives should include either interim results or outcome goals as their performance requirements. The activity is not a result. Annual Goal/High Priority goal (Interim result) Agency Goal Activity Strategic Goal (Outcome)

Results Driven performance requirements must include credible measures with targets of performance. Performance measures are the indicators or metrics that are used to gauge program performance. Performance measures can either be output or outcome measures. The presenter should make sure the measures are focusing on measuring results, not measuring activities. As questions and examples arise, make sure the examples are focused on results. Participants often get so interested in establishing measures, they forget to measure results, not activities. It is always much easier to measure activities rather than results. Keep the focus on results.

General measures include Quantity Quality Timeliness and/or Cost-Effectiveness Note: The General Measures included on this slide will be developed in following slides with examples.

Develop the Performance Plan Results Driven Measures
Effective performance measures can indicate How well the executive is doing. If the executive is meeting goals. If customers are satisfied. If processes are within statistical controls. If and where improvements are needed. This slide includes reasons why measures are important.

Quantity Number of products or services provided, or a production quota to be met, or percent to be achieved. Consider the customer/stakeholder needs for numbers achieved or produced. Examples Backlog reduced by 50-55% An average of 100 cases resolved per month over the year A 60-75% increase in stakeholder use The percentage of lead in the water is reduced by 10-15% QUANTITY addresses how much work the executive or work unit produced. Quantity measures are expressed as a number of products produced or services provided, or as a general result to achieve. Usually, quantity measures require numbers. Note that the target in most of the examples is a range of performance, not a single point. The presenter will cover targets of performance when discussing performance requirements.

Quality Addresses the level of excellence of the achievement, to include accuracy , appearance, customer satisfaction, relevance, usefulness, functionality, and/or effectiveness. Consider whether the customer/stakeholder cares about the quality of the result. Examples The agency has a 95-97% accuracy rate in case completion Program policy supports the Administration’s initiative Policy incorporates stakeholder feedback 70-80% customer satisfaction rate with agency service QUALITY addresses how well the executive or work unit performed the work and/or the accuracy or effectiveness of the final product. Quality refers to accuracy, appearance, usefulness, or effectiveness. Quality measures can include error rates (such as the number or percentage of errors allowable per unit of work) and customer satisfaction rates (determined through a customer survey). If quality cannot be measured in numerical terms, it must at least be described.

Develop the Performance Plan: Results Driven Measures
Timeliness Timeframe or deadline for the result. Consider whether customers/stakeholders care when a result is achieved. Consider whether it is important to accomplish a result by a certain time or date. Examples Result achieved by June 1 Project meets quarterly milestones TIMELINESS addresses how quickly, when, or by what date the result should be achieved.

Cost-Effectiveness How much savings or cost controls. Important for Government accountability. Must be able to document and measure. Consider whether it is important to complete work or produce results within certain cost constraints. Examples Reduced expenses by 1-3%, maintaining quality Reduced waste by at least 5%, maintaining quality Completed project within 5% of budget, without exceeding budget COST-EFFECTIVENESS addresses dollar savings or cost controls for the Government. Participants should develop measures that address cost-effectiveness on specific resource levels (money, personnel, or time) that executives can generally document and measure in agency annual fiscal year budgets. Cost-effectiveness measures may include such aspects of performance as maintaining or reducing unit costs, reducing the time it takes to produce or provide a product or service, or reducing waste.

For each result identified for the Results Driven element (output and/or outcome), ask How can the [quantity, quality, timeliness, or cost-effectiveness] of the result be measured? Is there a number or percent that can be tracked? If not, who can determine that the performance result met expectations and what are the factors that person would look for? Pre-determined agency High Priority and Strategic Goals can help answer these questions. Note: Not all general measures will apply to each result, but it is important for participants to include each general measure that applies. In general, quality and timeliness apply to all results.

If the measure is more descriptive than numeric, the performance result should include Person or group that could judge performance. E.g. customers, stakeholders, supervisor. Factors that the judge would expect in performance. What the judge can observe and report to verify the performance level achieved. OPM has examples of measurable Results Driven performance requirements. The presenter can use those examples for extra emphasis. (Examples are posted to OPM’s web site at

Key points when developing performance requirements for the Results Driven element: DON’T list tasks and activities (e.g., hold five meetings; visit eight field locations). DO identify the desired outputs, outcomes. If you’re having difficulty turning an activity into a measureable output or outcome, try this trick to getting your thoughts moving in the right direction… Just fill in the blanks in the following: I will _(do what?)___ by _(when?) resulting in _______________, and my success can be verified using _____________. Key points to remember when developing performance requirements with measureable results. The instructor may want to go through a few examples (using actual agency goals) to ensure understanding.

Develop the Performance Plan Writing Performance Results
[Agency specifies instructions for the number of objectives/expectations to include in Results Driven, or any other instructions for the Results Driven element] If the agency has any additional instructions for developing the Results Driven element, include those here. (For example, if an agency requires each executive to include a minimum of 3 performance requirements in the Results Driven element, that instruction should be reviewed here.)

Pitfalls to Avoid Focusing on processes– Focus on more than process (operational) data. Focus on the longer-term measures of customer satisfaction, employee satisfaction, product/service quality, and public responsibility. Failing to base business decisions on the data—You have the data…so use it. “Dumbing down” the data - Sometimes data can be summarized so much that it becomes meaningless. If business decisions are going to be based on the data, then the data needs to be meaningful and useful. Results Driven performance requirements need to be useful, measurable targets of performance.

Develop the Results Driven Performance Requirements
Performance requirements should describe the result expected at Level 3, “Fully Successful” level. The performance requirement should include the target or range of performance expected at Level 3, “Fully Successful” using the specific measures identified for quality, quantity, timeliness, and/or cost effectiveness. TIP: define threshold measures for Level 5, “Outstanding” and Level 2, “Minimally Satisfactory” so the executive understands the range of performance for these levels. While the basic system does not require performance requirements be established at Levels 2 and 5, it is a sound performance management principle to establish tier goals and stretch goals for improving performance. Establishing the Outstanding level sets a clear goal for performance. Outstanding always should be a significant stretch goal. Targets should represent a range of performance. If the target is numeric, create the range by establishing the lowest and highest number acceptable at the Fully Successful level. When describing the Outstanding level, setting the floor or threshold for that level is sufficient since anything above that floor will be considered Outstanding.

Which of the following captures all of the Critical Elements? Leading Change, Leading People, Results Driven Leading Change, Leading People, Business Acumen, Building Coalitions Leading People, Business Acumen, Building Coalitions, Results Driven Leading People, Leading Change, Business Acumen, Building Coalitions, Results Driven T or F - The Critical Elements are anchored to the ECQs. Provide this short quiz, to confirm knowledge gained by participants.

Lesson 2: Knowledge Check - ANSWER
Which of the following captures all of the Critical Elements? Leading Change, Leading People, Results Driven Leading Change, Leading People, Business Acumen, Building Coalitions Leading People, Business Acumen, Building Coalitions, Results Driven Leading People, Leading Change, Business Acumen, Building Coalitions, Results Driven T or F - The Critical Elements are anchored to the ECQs Review the correct answers and ask if anyone has questions.

3. For the interagency developed SES system, the Results Driven critical element must be weighted at least 5% 15% 20% 60% 4. T or F – In writing Performance Requirements for the Results Driven critical element, the executive should focus on activities not accomplishments.

Lesson 2: Knowledge Check - ANSWERS
3. The Results Driven critical element must be weighted at least: 5% 15% 20% 60% 4. T or F – In writing Performance Requirements for the Results Driven critical element, the executive should focus on activities not accomplishments F – the executive should develop performance requirements describing expected accomplishments Review the correct answers and ask if anyone has questions.

LESSON 3: Monitoring Performance: The Importance of Performance Feedback
Monitoring Performance. In an effective organization, assignments and projects are monitored continually. Monitoring well means consistently measuring performance and providing ongoing feedback to executives, employees and work groups on their progress toward reaching their goals. Regulatory requirements for monitoring performance include conducting progress reviews with executives where their performance is compared against their elements, performance requirements, and performance standards. Ongoing monitoring provides the opportunity to check how well executives are meeting predetermined performance requirements and to make changes to unrealistic or problematic targets. And by monitoring continually, unacceptable performance can be identified at any time during the appraisal period and assistance provided to address such performance rather than wait until the end of the appraisal period when initial summary rating levels are assigned.

Monitoring Performance
Developing Performance Monitoring Planning Rating Rewarding Monitoring performance is one of the five key performance management processes.

Lesson 3 Objectives After completing this lesson, you will
Understand the importance of monitoring performance. Understand the purpose of the mandatory progress review. Review the objectives of this lesson with participants.

Monitoring Performance
Establish a strategy for regular collaboration between executives and rating officials to discuss performance expectations throughout the appraisal period and to provide feedback. If priorities change, discuss how the changes impact the work and revise the performance plan, if needed. Collaborative feedback is essential for good performance management.

Monitoring Performance (cont’d)
When meeting with the rating official, executives share their own assessment of their accomplishments to date. It is important to have an honest assessment of successes and strengths, developmental needs, and performance against requirements and established standards.

Importance of Feedback Meetings
Rating Officials -- Use these opportunities to gain insight and enhance executive performance. Executives -- If you are not having regularly scheduled discussions with your supervisor, ASK for them! You deserve to receive feedback and learn about opportunities to improve. Monitoring performance and providing feedback is important for good performance management.

Mandatory Progress Review
Performance feedback should be given on a regular basis throughout the appraisal period, but at least one progress review is required. Typically occurs at mid-point of the period. Must be documented on the Executive Performance Agreement. If an employee is failing to meet expectations, he or she must receive specific feedback on what needs to be improved in order to meet expectations. If an agency has additional requirements for progress reviews (such as quarterly reviews rather than mid-year reviews), add the feedback requirement here.

How often should a rating official monitor executives’ performance? Weekly Ongoing c. Once a year (end of appraisal period) Twice a year (mid and end of appraisal period) Who is responsible for ensuring performance discussions? a. Rating Official b. Executive c. Both Rating Official and Executive Provide this brief quiz to check knowledge transfer.

How often should a rating officials monitor their executive’s performance? Weekly Ongoing c. Once a year (end of appraisal period) Twice a year (mid and end of appraisal period) Who is responsible for ensuring performance discussions? a. Rating Official b. Executive c. Both Rating Official and Executive Review the correct answers and ask if anyone has questions.

Performance feedback meetings provide an opportunity to a. Identify strengths and areas for improvement b. Discuss resource challenges c. A and B d. None of the above In general, Rating Officials conduct Progress Reviews a. At the beginning of the executive’s appraisal period b. At the midpoint of the executive’s appraisal period c. At the end of the executive’s appraisal period

Performance feedback meetings provide an opportunity to a. Identify strengths and areas for improvement b. Discuss resource challenges c. A and B d. None of the above In general, Rating Officials conduct Progress Reviews a. At the beginning of the executive’s appraisal period b. At the midpoint of the executive’s appraisal period c. At the end of the executive’s appraisal period Review the correct answers and ask if anyone has questions.

LESSON 4: Developing Performance
This lessons addresses the third performance management process and reviews executive development requirements.

Developing Performance
Monitoring Planning Rating Rewarding Developing Performance. In an effective organization, executive and employee developmental needs are evaluated and addressed. Developing in this instance means increasing the capacity to perform through training, mentoring, giving higher levels of leadership responsibility, improving work processes, or other methods. Providing executives with training, mentoring, and developmental opportunities encourages good performance, strengthens competencies, and helps executives continue to develop their core competencies. Carrying out the processes of performance management provides an excellent opportunity to identify developmental needs. During planning and monitoring of work, deficiencies in performance become evident and can be addressed. Areas for improving good performance also stand out, and action can be taken to help successful executives improve even further.

Define Executive Development Understand how Executive Development fits into the performance management process. Understand the use of the Executive Development Plan in the performance management process Review the lesson objectives with participants. Insert agency specific information.

Executive Development
Executive development is an ongoing activity aimed at systematically assessing, developing, and enhancing an executive’s ability to carry out top-level roles in the organization. Within the performance management process, executive development: Is informed by performance reviews. Promotes individual and organizational achievement. Is aligned with organizational performance.

Executive Development Requirements
Executive Development Plans (EDPs) An Executive Development Plan (EDP) is a key tool in assisting executives in their continued development. Every executive must establish and regularly update an EDP for continued learning (5 CFR ).

Executive Development Requirements (cont’d)
EDPs : Function as a detailed guide of developmental opportunities. Address enhancement of existing executive competencies. Should be reviewed at least annually by an ERB or similar body.

Executive Development Resources
Strategic Executive Onboarding Hit the Ground Running. Establishing a Model Executive Onboarding Program

Executive Development Resources (cont’d)
OPM’s Executive Development Wiki Page OPM’s Executive Development Webpage OPM’s SES Website You can find sample executive development plans on OPM’s executive development wiki page

Lesson 4 Knowledge Check
T or F – An Executive Development Plan (EDP) is NOT required by regulation. An EDP should be reviewed: Every 3 years Every 5 years At least annually Only if the executive receives a performance rating below level 5

Lesson 4 Knowledge Check Answers
T or F – An Executive Development Plan (EDP) is NOT required by regulation. F - ALL executives must complete an EDP in accordance with 5 CFR An EDP should be reviewed: Every 3 years Every 5 years At least annually Only if the executive receives a performance rating below level 5

LESSON 5: Rating Performance
The next lesson is on how to derive the initial and annual summary ratings.

Rating Performance Rating Planning Monitoring Rewarding Developing
Rating Performance. Agencies are required to rate their executives at least annually. Executives are to be systematically appraised using measures that balance organizational results with customer, employee and other perspectives and the results of the appraisal are to be used as a basis for pay, awards, development, retention, removal, and other personnel decisions.

Describe how the Results Driven element rating is derived. Describe how initial summary ratings are derived. Define the five summary rating levels. Explain the role of the [INSERT AGENCY] Rating Official, Higher Level Reviewer, Performance Review Board (PRB), and Appointing Authority [INSERT TITLE, e.g. Secretary]. Review the lesson objectives with participants. Insert agency specific information.

Deriving the Results Driven Element Rating
[The agency inserts its instructions for deriving the Results Driven element rating here] Provide instruction to participants on the agency’s method for deriving the rating for the Results Driven element.

Deriving the Initial Summary Rating
Appraise each Critical Element and assign the corresponding points for the performance level. Level 5 = 5 points Level 4 = 4 points Level 3 = 3 points Level 2 = 2 points Level 1 = 0 points (Note: if any Critical Element is rated Level 1, the overall Summary Rating is Level 1.) The point assignments as listed on this slide are found in the agency’s basic SES appraisal system description and also on page 2 of the SES appraisal form. Point this out to participants.

Derive the initial point score for each Critical Performance Element by multiplying the performance level point value by the assigned weight. E.g., “Leading People” assigned Level 4 (4 points) and is weighted 20%  initial point score = 80. Derive the total point score by adding the initial point score from each Critical Element. The table for deriving the initial summary rating is found in the agency’s basic SES appraisal system description and on the front page of the SES appraisal form. Point this out to participants.

Assign the Initial Summary Rating using these ranges. 475 – 500 = Level 5 400 – 474 = Level 4 300 – 399 = Level 3 200 – 299 = Level 2 Any Critical Element rated Level 1 = Level 1 The summary rating ranges are found in the agency’s basic SES appraisal system description and on the first page of the SES appraisal form. Point this out to participants. Note that any critical element rated as Unsatisfactory (Level 1) causes the overall summary rating to be Unsatisfactory (Level 1).

Example Critical Element Element Appraisal Weight Score Initial Element Score Initial Point Score 1. Leading Change 4 20 4 x 20 = 80 2. Leading People 5 10 5 x 10 = 50 3. Business Acumen 3 3 x 10 = 30 4. Building Coalitions 4 x 10 = 40 5. Results Driven 50 4 x 50 = 200 Total 100% 400 Run through this example with participants. If the agency uses a standard weighting formula for all executives, the presenter may want to revise this slide to use those weights. Have participants refer to their copy of the form for the summary rating point ranges. It might be helpful to develop some additional examples so participants can see a variety of weighting possibilities, if allowed by the agency, and various summary rating results. A total point score of 400 yields a Level 4 Summary Rating

Rating Official Responsibilities
Encourage executives to provide a narrative of accomplishments. Appraise executives realistically and fairly. Make meaningful distinctions in performance. Discuss overall performance and Initial Summary Rating. Do not discuss performance payout information (i.e. pay adjustments or performance awards) until approved by the Appointing Authority [INSERT TITLE]. Insert the name or title of the appropriate appointing authority.

Higher Level Reviewer Responsibilities
Within [# days] of receiving the Initial Summary Rating, but prior to review by the Performance Review Board (PRB), an executive may request, in writing, Higher-Level Review of the Initial Summary Rating. This is an executive’s only opportunity for higher review. Higher Level Reviewer must respond, in writing, within [# days] . Fill in the agency specific information, noted in red. Have participants refer to the front page of the appraisal form to show the location of the designated signature lines.

Higher Level Reviewer Responsibilities (cont’d)
Higher Level Reviewer provides findings and recommendations to the executive, Rating Official, PRB, and Authorizing Official. Higher Level Reviewer cannot change the Rating Official’s Initial Summary Rating but may recommend a different rating to the PRB and Appointing Authority.

Performance Review Board (PRB) Responsibilities
Review and evaluate the Executive’s accomplishment narrative (if provided) and Initial Summary Rating (i.e. the overall rating and written assessment). If applicable, review Executive’s request for Higher-Level Review and Higher Level Reviewer’s findings and recommendations.

Performance Review Board (PRB) Responsibilities (cont’d)
Make written recommendations to the Appointing Authority [INSERT TITLE] on: Annual summary ratings. Pay increases and performance awards (bonuses). Ensure meaningful distinctions in Executive performance and payout decisions are made based on individual and organizational performance. Insert the agency-specific information, noted in red.

Appointing Authority [TITLE, e.g. Secretary] Responsibilities
Establishes PRB and selects Chairperson. Considers PRB recommendations to assign Annual Summary Ratings. Considers PRB recommendations for pay adjustments and performance awards (bonuses). Ensures pay increases and performance awards (bonuses) accurately reflect and recognize individual performance and contribution to [INSERT AGENCY] mission. Insert the agency-specific information, noted in red.

Six Tips for Writing an Accomplishment Narrative
Address each performance element individually and focus on results achieved. Use key words to clearly link to the level of performance demonstrated. Focus and prioritize achievements. Describe the conditions under which you achieved your accomplishments. If you overcame challenges, describe them. Write in the past tense. Write in first person (e.g., “I”, “me”, “my”). Describe why your accomplishments matter. These tips are for SES members writing their end-of-year accomplishment narrative, which should be included in Part 7 of the SES appraisal form. Draw participant attention to Part 7 of the form.

Rating Process in a Nutshell
Step Activity Step 1 [AGENCY INSERTS DATE] Executives complete Accomplishment Narrative and provide to Rating Official (optional). Step 2 Rating Officials evaluate executive performance on each Critical Performance Element. Step 3 Rating Officials assign a performance rating level to each Critical Performance Element. Step 4 Rating Officials derive Initial Summary Ratings. The next two slides are intended to summarize the due dates for the SES summary rating process. Fill in the appropriate dates, noted in red, or revise to fit the agency’s process.

Rating Process in a Nutshell
Step Activity Step 5 [AGENCY INSERTS DATE] Rating Officials discuss overall performance and initial Summary Rating with executives. Step 6 Executives may request a higher level review (optional). Higher Level Reviewer provides recommendations to PRB and Appointing Authority. Step 7 PRB reviews and evaluates executive’s accomplishment narrative (if provided), Initial Summary Rating, higher level review (if applicable). Step 8 Rating Officials communicate executive Annual Summary Ratings once approved by the [INSERT TITLE OF APPOINTING AUTHORITY]. Slide 2 of 2 on deadlines for the rating process.

An executive receives an initial element score of Level 3 in Business Acumen, which is weighted 20%. What is the executive’s Business Acumen initial point score? 20 points 40 points 60 points 80 points Run participants through the knowledge check quiz.

An executive receives an initial element score of Level 3 in Business Acumen, which is weighted 20%. What is the executive’s Business Acumen initial point score? 20 points 40 points 60 points 80 points Review the correct answers and ask if anyone has questions.

An executive receives the following initial element scores. What is her total point score and Summary Rating Level? Critical Element Rating Level Weight Score Initial Element Score Initial Point Score 1. Leading Change 4 10 2. Leading People 20 3. Business Acumen 3 4. Building Coalitions 5. Results Driven 50 Total 100%

Lesson 5: Knowledge Check - ANSWER
An executive receives the following initial element scores. What is her total point score and Summary Rating Level? Critical Element Rating Level Weight Score Initial Element Score Initial Point Score 1. Leading Change 4 10 4 x 10 = 40 2. Leading People 20 4 x 20 = 80 3. Business Acumen 3 3 x 10 = 30 4. Building Coalitions 5. Results Driven 50 4 x 50 = 200 Total 100% 390 Review the correct answers and ask if anyone has questions. Summary Rating Level = Level 3 (300 – 399 points)

T or F – The Higher Level Reviewer can change the Initial Summary Rating. T or F – The PRB cannot recommend performance awards to the Appointing Authority [INSERT TITLE].

T or F – The Higher Level Reviewer can change the Initial Summary Rating. T or F – The PRB cannot recommend performance awards to the Appointing Authority [INSERT TITLE] Review the correct answers and ask if anyone has questions.

To derive and/or recommend a summary rating, Rating Officials, the Higher Level Reviewer, the PRB, and Appointing Authority [INSERT TITLE] consider: Executives accomplishment narratives (if provided) Executive contributions to organizational performance Executive performance throughout the entire appraisal cycle A and B B and C A, B, and C

To derive and/or recommend a summary rating, Rating Officials, the Higher Level Reviewer, the PRB, and Appointing Authority [INSERT TITLE] consider: Executives accomplishment narratives (if provided) Executive contributions to organizational performance Executive performance throughout the entire appraisal cycle A and B B and C A, B, and C Review the correct answers and ask if anyone has questions.

LESSON 6: Rewarding Performance: Pay and Awards Policy
This lesson includes a discussion on the agency’s SES pay policy. It may be helpful to provide a copy of the policy to participants.

Rewarding Performance
Developing Performance Monitoring Planning Rating Rewarding Rewarding Performance. Rewarding good performance is the fifth key performance management process. In 2004, the Federal Government implemented a performance-based pay system for SES members. Agencies grant pay adjustments and performance awards based on executives’ annual summary ratings.

Describe the [Insert agency] SES pay policy. Describe the results of the previous year’s ratings and awards decisions. [Agency adds any other outcome it desires from a discussion on pay and awards.] Provide a copy of the SES pay policy to participants and a summary of the rating and awards results from the previous rating period (i.e., the average rating given, the number of performance awards given, and the average amount of performance awards given). If presenting data on very small agencies or agency components, be careful to protect the privacy of ratings data, including the potential backward-engineering of that information from relevant pay or awards data.

Pay and Awards Policy [Agency adds a description of its pay and awards policy here]

[Agency develops at least one question and answer about the agency’s pay policy] Develop at least one question and answer about the agency’s pay policy.

[Agency provides answer(s) to the question(s) on the previous slide] Review the correct answers and ask if anyone has questions.

SES Performance Appraisal System Helpful Links
Delivering High Performance Government GAO’s High Risk & Other Government Challenges Performance.gov SES Performance and Compensation GPRA Modernization Act

This slide presentation is designed as a tool for agency Executive Resources staff and Training Officers to train SES members on the basic SES appraisal.

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This slide presentation is designed as a tool for agency Executive Resources staff and Training Officers to train SES members on the basic SES appraisal.

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Presentation on theme: "This slide presentation is designed as a tool for agency Executive Resources staff and Training Officers to train SES members on the basic SES appraisal."— Presentation transcript:

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About project

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