1 Senior Executive Service SES Performance Appraisal System

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Senior Executive Service (SES) Performance Appraisal System Training 2

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 3

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. 4

Guiding Principles and Foundational Benefits Guiding Principles 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 5

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 Five performance elements based on the five ECQs, elements and definitions across with Governmentwide performance requirements agencies 2. Mix of four- and five-level rating systems, inconsistent derivation formulas Five-level rating system in all agencies 3. Varying emphasis on leadership competencies Minimum weighting for all ECQs, ensuring accountability for demonstrating leadership skills • Established performance standards for each rating level • Standard numerical rating derivation formula 4. Wide disparity in distribution Clear, descriptive performance standards and rating of ratings by agency 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 Mandatory summary rating narrative, promoting narrative to explain ratings richer feedback for SES 6

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. 7

LESSON 1: Performance Management Processes Overview 8

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. 9

Key Performance Management Processes Planning Performance Monitoring Performance Rewarding Performance Developing Performance Rating Performance 10

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) 11

Lesson 1: Knowledge Check 1. The minimum appraisal period is: a. b. c. d. 30 days 60 days 90 days 120 days 2. T or F – The Planning process is the most important process of performance management. 12

Lesson 1: Knowledge Check ANSWERS 1. The minimum appraisal period is: a. b. c. d. 30 days 60 days 90 days 120 days 2. T or F – The Planning process is the most important process of performance management. F – each process of performance management is equally important. 13

LESSON 2: Planning Performance: How to Develop a Performance Plan 14

Planning Performance Monitoring Performance Rewarding Performance Developing Performance Rating Performance 15

Lesson 2 Objectives After completing this lesson, you will be able to • 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. 16

Planning Performance Three important aspects to planning performance include - 1. Link performance plan to organizational goals. 2. Develop Results Driven performance requirements. 3. Consult with executives on the development of their performance plans. 17

Align and Plan Work Performance plans must clearly link to • Presidential Orders and Initiatives. • Mission Statements. • Strategic Plans. • Organizational Goals. • Budgetary Priorities. 18

Develop the Performance Plan Overview • Critical Elements • Performance Requirements • Applying the basic Performance Standards • Developing the Results-Driven Requirements 19

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. . 20

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). 21

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. 22

Develop the Performance Plan Critical Elements The five critical elements are based on the Executive Core Qualifications (ECQs) Ø Leading Change. Ø Leading People. Ø Business Acumen. Ø Building Coalitions. Ø Results Driven. 23

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%. 24

Develop the Performance Plan Weighting Critical Elements [Agency describes how weighting requirements will be done within the agency] 25

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. 26

Develop the Performance Plan Performance Requirements 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. 27

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. 28

Develop the Performance Plan Performance Requirements [Agency may add agency-specific or individual performance requirements for the Leading People, Leading Change, Building Coalitions, and/or Business Acumen elements] 29

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. 30

Develop the Performance Plan Results Driven Element Agency or Governmentwide performance results are found in • • • Presidential Orders and Initiatives. Agency High Priority Goals. Strategic Plans. Organizational Goals. Budgetary Priorities. 31

Develop the Performance Plan Alignment of Results Driven Element Strategic Goals/Governmentwide Goals Optimized Customer Engagement Annual Goals/Agency Priority Goals (Near term) Annual customer satisfaction rating Increased Financial Capability Achieve 30% cost savings Outputs (Short Term goals) Customer feedback collected to inform strategy Projects on time/on budget 32

Develop the Performance Plan Results Driven Element Everyday Example I M P R O V E H E A L T H Goal Join a health club/ exercise 30 minutes per day/drink only water Activities Lost 10 pounds by June 1, 2012 Interim result By July 1, 2012, reduced cholesterol by 7 points. ” Outcome (final result) 33

Develop the Performance Plan Results Driven Element Agency Example Decrease the time to hire Agency Goal Implement action plan to Decrease Time to Hire Activity Decreased application processing time by 40% Annual Goal/High Priority goal (Interim result) Customers Satisfied with Agency Time to Hire Strategic Goal (Outcome) 34

Develop the Performance Plan Results Driven Element 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. 35

Develop the Performance Plan Results Driven Element General measures include • • Quantity Quality Timeliness and/or Cost-Effectiveness 36

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. 37

Develop the Performance Plan Results Driven Measures 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% 38

Develop the Performance Plan Results Driven Measures 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 39

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 40

Develop the Performance Plan Results Driven Measures 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 41

Develop the Performance Plan Results Driven Measures For each result identified for the Results Driven element (output and/or outcome), ask • How can the [quantity, quality, timeliness, or costeffectiveness] 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. 42

Develop the Performance Plan Results Driven Measures 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. 43

Develop the Performance Plan Results Driven Measures 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 _______. 44

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] 45

Develop the Performance Plan Results Driven Element 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. 46

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. 47

Lesson 2: Knowledge Check 1. Which of the following captures all of the Critical Elements? a. Leading Change, Leading People, Results Driven b. Leading Change, Leading People, Business Acumen, Building Coalitions c. Leading People, Business Acumen, Building Coalitions, Results Driven d. Leading People, Leading Change, Business Acumen, Building Coalitions, Results Driven 2. T or F - The Critical Elements are anchored to the ECQs. 48

Lesson 2: Knowledge Check - ANSWER 1. Which of the following captures all of the Critical Elements? a. Leading Change, Leading People, Results Driven b. Leading Change, Leading People, Business Acumen, Building Coalitions c. Leading People, Business Acumen, Building Coalitions, Results Driven d. Leading People, Leading Change, Business Acumen, Building Coalitions, Results Driven 2. T or F - The Critical Elements are anchored to the ECQs 49

Lesson 2: Knowledge Check 3. For the interagency developed SES system, the Results Driven critical element must be weighted at least a. b. c. d. 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. 50

Lesson 2: Knowledge Check - ANSWERS 3. The Results Driven critical element must be weighted at least: a. b. c. d. 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 51

LESSON 3: Monitoring Performance: The Importance of Performance Feedback 52

Monitoring Performance Planning Performance Monitoring Performance Rewarding Performance Developing Performance Rating Performance 53

Lesson 3 Objectives After completing this lesson, you will • Understand the importance of monitoring performance. • Understand the purpose of the mandatory progress review. 54

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. . 55

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. 56

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. 57

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. 58

Lesson 3: Knowledge Check 1. How often should a rating official monitor executives’ performance? a. Weekly b. Ongoing c. Once a year (end of appraisal period) d. Twice a year (mid and end of appraisal period) 2. Who is responsible for ensuring performance discussions? a. Rating Official b. Executive c. Both Rating Official and Executive 59

Lesson 3: Knowledge Check - ANSWERS 1. How often should a rating officials monitor their executive’s performance? a. Weekly b. Ongoing c. Once a year (end of appraisal period) d. Twice a year (mid and end of appraisal period) 2. Who is responsible for ensuring performance discussions? a. Rating Official b. Executive c. Both Rating Official and Executive 60

Lesson 3: Knowledge Check 3. 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 4. 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 61

Lesson 3: Knowledge Check 3. 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 4. 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 62

LESSON 4: Developing Performance 63

Developing Performance Planning Performance Monitoring Performance Developing Performance Rewarding Performance Rating Performance 64

Lesson 4 Objectives After completing this lesson, you will be able to • 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 65

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. 66

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 412. 401). 67

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. 68

Executive Development Resources Strategic Executive Onboarding • Hit the Ground Running. Establishing a Model Executive Onboarding Program http: //www. opm. gov/WIKI/uploads/docs/Wiki/O PM/training/Hit_the_Ground_Running_Establishi ng_a_Model_Executive_Onboarding_Framework _2011. pdf 69

Executive Development Resources (cont’d) Executive Development • OPM’s Executive Development Wiki Page http: //www. opm. gov/WIKI/training/Executive. Development. ashx • OPM’s Executive Development Webpage http: //www. opm. gov/ses/executive_development/i ndex. asp • OPM’s SES Website http: //www. opm. gov/ses/index. asp 70

Lesson 4 Knowledge Check 1. T or F – An Executive Development Plan (EDP) is NOT required by regulation. 2. An EDP should be reviewed: a. b. c. d. Every 3 years Every 5 years At least annually Only if the executive receives a performance rating below level 5 71

Lesson 4 Knowledge Check Answers 1. 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 412. 401 2. An EDP should be reviewed: a. b. c. d. Every 3 years Every 5 years At least annually Only if the executive receives a performance rating below level 5 72

LESSON 5: Rating Performance 73

Rating Performance Planning Performance Monitoring Performance Rewarding Performance Rating Performance Developing Performance 74

Lesson 5 Objectives After completing this lesson, you will be able to • 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]. 75

Deriving the Results Driven Element Rating • [The agency inserts instructions for deriving the Results Driven element rating here] 76

Deriving the Initial Summary Rating 1. 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. ) 77

Deriving the Initial Summary Rating 2. Derive the initial point score for each Critical Performance Element by multiplying the performance level point value by the assigned weight. Ø E. g. , “Leading People” assigned Level 4 (4 points) and is weighted 20% initial point score = 80. 3. Derive the total point score by adding the initial point score from each Critical Element. 78

Deriving the Initial Summary Rating 4. 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 79

Deriving the Initial Summary Rating Example Element Appraisal Critical Element Score Initial Element Score Weight 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 10 3 x 10 = 30 4. Building Coalitions 4 10 4 x 10 = 40 5. Results Driven 4 50 4 x 50 = 200 100% 400 Total A total point score of 400 yields a Level 4 Summary Rating 80

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]. 81

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]. 82

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. 83

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. 84

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. 85

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. 86

Six Tips for Writing an Accomplishment Narrative 1. Address each performance element individually and focus on results achieved. 2. Use key words to clearly link to the level of performance demonstrated. 3. Focus and prioritize achievements. Describe the conditions under which you achieved your accomplishments. If you overcame challenges, describe them. 4. Write in the past tense. 5. Write in first person (e. g. , “I”, “me”, “my”). 6. Describe why your accomplishments matter. 87

Rating Process in a Nutshell Step Activity Step 1 [AGENCY INSERTS DATE] Executives complete Accomplishment Narrative and provide to Rating Official (optional). Step 2 [AGENCY INSERTS DATE] Rating Officials evaluate executive performance on each Critical Performance Element. Step 3 [AGENCY INSERTS DATE] Rating Officials assign a performance rating level to each Critical Performance Element. Step 4 [AGENCY INSERTS DATE] Rating Officials derive Initial Summary Ratings. 88

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 [AGENCY INSERTS DATE] Executives may request a higher level review (optional). Higher Level Reviewer provides recommendations to PRB and Appointing Authority. PRB reviews and evaluates executive’s accomplishment narrative (if provided), Initial Summary Rating, higher level review (if applicable). Rating Officials communicate executive Annual Summary Ratings once approved by the [INSERT TITLE OF APPOINTING AUTHORITY]. Step 7 [AGENCY INSERTS DATE] Step 8 [AGENCY INSERTS DATE] 89

Lesson 5: Knowledge Check 1. 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? a. b. c. d. 20 points 40 points 60 points 80 points 90

Lesson 5: Knowledge Check 1. 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? a. b. c. d. 20 points 40 points 60 points 80 points 91

Lesson 5: Knowledge Check 2. An executive receives the following initial element scores. What is her total point score and Summary Rating Level? Rating Level Critical Element Score Initial Element Score Weight 1. Leading Change 4 10 2. Leading People 4 20 3. Business Acumen 3 10 4. Building Coalitions 4 10 5. Results Driven 4 50 Total Initial Point Score 100% 92

Lesson 5: Knowledge Check - ANSWER 2. An executive receives the following initial element scores. What is her total point score and Summary Rating Level? Rating Level Critical Element Score Initial Element Score Weight Initial Point Score 1. Leading Change 4 10 4 x 10 = 40 2. Leading People 4 20 4 x 20 = 80 3. Business Acumen 3 10 3 x 10 = 30 4. Building Coalitions 4 10 4 x 10 = 40 5. Results Driven 4 50 4 x 50 = 200 100% 390 Total Summary Rating Level = Level 3 (300 – 399 points) 93

Lesson 5: Knowledge Check 3. T or F – The Higher Level Reviewer can change the Initial Summary Rating. 4. T or F – The PRB cannot recommend performance awards to the Appointing Authority [INSERT TITLE]. 94

Lesson 5: Knowledge Check - ANSWERS 3. T or F – The Higher Level Reviewer can change the Initial Summary Rating. 4. T or F – The PRB cannot recommend performance awards to the Appointing Authority [INSERT TITLE] 95

Lesson 5: Knowledge Check 5. To derive and/or recommend a summary rating, Rating Officials, the Higher Level Reviewer, the PRB, and Appointing Authority [INSERT TITLE] consider: a. Executives accomplishment narratives (if provided) b. Executive contributions to organizational performance c. Executive performance throughout the entire appraisal cycle d. A and B e. B and C f. A, B, and C 96

Lesson 5: Knowledge Check - ANSWERS 5. To derive and/or recommend a summary rating, Rating Officials, the Higher Level Reviewer, the PRB, and Appointing Authority [INSERT TITLE] consider: a. Executives accomplishment narratives (if provided) b. Executive contributions to organizational performance c. Executive performance throughout the entire appraisal cycle d. A and B e. B and C f. A, B, and C 97

LESSON 6: Rewarding Performance: Pay and Awards Policy 98

Rewarding Performance Planning Performance Monitoring Performance Rewarding Performance Developing Performance Rating Performance 99

Lesson 6 Objectives After completing this lesson, you will be able to • 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. ] 100

Pay and Awards Policy [Agency adds a description of its pay and awards policy here] 101

Lesson 6: Knowledge Check [Agency develops at least one question and answer about the agency’s pay policy] 102

Lesson 6: Knowledge Check [Agency provides answer(s) to the question(s) on the previous slide] 103

SES Performance Appraisal System Helpful Links Delivering High Performance Government http: //www. whitehouse. gov/sites/default/files/omb/bud get/fy 2011/assets/management. pdf GAO’s High Risk & Other Government Challenges http: //www. gao. gov/highrisk/risks/high_risk. php Performance. gov http: //www. performance. gov SES Performance and Compensation http: //www. opm. gov/ses/performance/appraise. asp GPRA Modernization Act http: //www. gao. gov/products/GAO-11 -466 T 104