Department of Defense Executive Performance Workshops

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Department of Defense Executive Performance Workshops

  1. 2. Module Agenda <ul><li>Today’s Workshop will cover: </li></ul><ul><ul><li>Regulatory drivers of the performance management system </li></ul></ul><ul><ul><li>What’s new in Performance Management? </li></ul></ul><ul><ul><li>Certification requirements and responsibilities </li></ul></ul><ul><ul><li>DoD Executive and Senior Professional Performance Management System features and requirements </li></ul></ul><ul><ul><li>DoD Organizational Assessment Tool </li></ul></ul>
  2. 3. Learning Objectives <ul><li>Understand the legal requirements for an effective performance management system </li></ul><ul><li>Understand the DoD Executive and Senior Professional Performance Management features and requirements </li></ul><ul><li>Understand the Office of Personnel Management (OPM) and Office of Management and Budget (OMB) performance management system certification requirements and the implications for Executives and Senior Professionals </li></ul><ul><li>Understand how organizational performance is assessed and used in the performance management process </li></ul>
  3. 4. Regulatory Drivers <ul><li>Chapter 43 of Title 5, United States Code </li></ul><ul><ul><li>Provides for performance management for the Senior Executive Service (SES), the establishment of SES performance appraisal systems, and appraisal of senior executive performance. </li></ul></ul><ul><ul><li>Executive performance management systems must hold senior executives accountable for their individual and organizational performance . </li></ul></ul><ul><li>Under this guidance, DoD establishes a pay for performance system, defined in Subchapter (SC)920, with focus on strong principles of performance management. </li></ul><ul><ul><li>A performance culture that encourages a results-driven executive workforce by creating a direct link between the results you achieve and your pay and rewards. </li></ul></ul>
  4. 5. What’s New in Performance Management? <ul><li>Promotes a performance culture in which the performance and contribution of the workforce are recognized and rewarded accurately and fairly </li></ul><ul><li>Establishes common DoD Performance Elements upon which to assess performance </li></ul><ul><li>Links performance requirements with strategic goals of your organization </li></ul><ul><li>Links individual performance with organizational performance </li></ul><ul><li>Uses performance results as a basis for basic pay, bonus, development, and other personnel decisions </li></ul><ul><li>Requires meaningful distinctions be made in performance by writing effective Performance Requirements and effectively assessing performance </li></ul>
  5. 6. What’s New in Performance Management? (cont’d) <ul><li>Provides for the systematic appraising of performance using measures that balance organizational results with customers, employees, or other perspectives </li></ul><ul><li>Requires rigorous appraisal of subordinate performance, which means that all the performance cycle components be completed. They are: </li></ul><ul><ul><li>Planning and communicating performance </li></ul></ul><ul><ul><li>Monitoring performance </li></ul></ul><ul><ul><li>Appraising performance </li></ul></ul><ul><ul><li>Rating performance </li></ul></ul><ul><ul><li>Using performance results </li></ul></ul><ul><li>Holds executives accountable for the performance management of their subordinates, i.e., how well you oversee your employees </li></ul><ul><ul><li>Aligning subordinate performance plans with organizational goals </li></ul></ul><ul><ul><li>Providing rigorous appraisal of subordinate performance </li></ul></ul><ul><li>Requires OPM certification and OMB concurrence of the Department’s design, application and administration of its performance appraisal system </li></ul>
  6. 7. What does Certification mean? Legal Criteria <ul><li>DoD’s performance system makes meaningful distinctions in performance based on relative performance as defined by 5 U.S.C. Chapter 43 </li></ul><ul><li>Key 5 U.S.C. Performance System Requirements </li></ul><ul><ul><li>Establishment of performance standards which provide for accurate evaluation of performance based on objective criteria related to the job </li></ul></ul><ul><ul><li>Employee participation in establishing performance standards </li></ul></ul><ul><ul><li>Monitoring and appraising of performance fairly </li></ul></ul><ul><ul><li>Use of results of performance appraisals as a basis for paying, training, rewarding, reassigning, promoting, reducing in grade, retaining and removing employees </li></ul></ul><ul><ul><li>Evaluation of employees based upon individual and organizational performance </li></ul></ul><ul><ul><li>At least 3 levels of performance (one or more fully successful levels, a minimally satisfactory level, and an unsatisfactory level) </li></ul></ul><ul><ul><li>Oversight responsibilities to ensure the system operates fairly, efficiently, and effectively </li></ul></ul>
  7. 8. What does Certification mean? OPM Criteria <ul><li>Training executives on the design and implementation of the DoD Performance System </li></ul><ul><li>Writing measurable, results-driven Performance Requirements </li></ul><ul><ul><li>Measures in Performance Requirements that include quality, quantity, timeliness, and cost effectiveness as applicable </li></ul></ul><ul><li>Aligning Performance Requirements to organizational goals </li></ul><ul><li>Consultation of executives and raters about Performance Requirements and expectations for performance </li></ul><ul><li>Measure of “balance” in Performance Requirements that includes indicator of employee and or customer feedback </li></ul>
  8. 9. What does Certification mean? OPM Criteria (cont’d) <ul><li>Individual Assessments based upon individual performance and organizational performance that is assessed annually </li></ul><ul><li>Executive accountability for rigorously evaluating subordinates and cascading and linking organizational goals to subordinates </li></ul><ul><li>Communication of performance results (ratings and payouts), in the aggregate, to executives </li></ul><ul><li>Pay differentiation so that those who have demonstrated the highest levels of individual performance receive the highest summary ratings and pay adjustments (bonus and pay increases) </li></ul><ul><li>Oversight of performance appraisal process to ensure fairness and compliance </li></ul>
  9. 10. Certification – What does it mean for you? <ul><li>Signals to the workforce that DoD has a creditable, transparent, fair and equitable system for appraising and rewarding individual performance </li></ul><ul><li>Instills confidence in the workforce that supervisors are capable of making meaningful distinctions in performance and pay </li></ul><ul><li>Provides authority to apply the higher aggregate limitation on pay – equivalent to the rate payable to the Vice President </li></ul><ul><li>Provides authority to increase in the maximum rate of basic pay from Level III to Level II of the Executive Schedule (SES) </li></ul>
  10. 11. How do you impact certification? Executive Responsibilities Engage in training on the design and implementation of the DoD Executive and Senior Professional Performance Management System Ensure that pay adjustments and awards for your subordinates are based on performance Ensure that organizational assessment results are used to appraise, pay and reward
  11. 12. How do you impact certification? Authorizing Official Responsibilities Communicate organizational performance goals or objectives at the beginning of the performance cycle and reinforce them throughout the performance year Communicate results of the pay-for-performance system to the executive workforce Communicate the annual ratings distributions , average pay adjustments and awards granted Communicate organizational assessment results to executives, Rating Officials, and Performance Review Boards
  12. 13. How do you impact certification? Your Performance Plans Must clearly link with and support established organizational goals Must include appropriate measures or indicators of use of employee and customer/stakeholder feedback Must contain a critical element that holds executives accountable for the performance management of subordinates and alignment of subordinate performance plans
  13. 14. How do you impact certification? Departmental Oversight Ensures meaningful distinctions are made in the appraisal, rating, pay adjustment and award of Executives Ensures ratings, pay adjustments, and awards are based on performance Ensures the Performance Management System operates effectively and efficiently
  14. 15. Benefits of an Effective Performance Management Process <ul><li>Assigns, assesses and rewards work; provides a means to reward your top performers </li></ul><ul><li>Establishes an equitable method for setting pay </li></ul><ul><li>Allows flexibility to respond to mission changes; realign, reorganize, and reshape the workforce </li></ul><ul><li>Means to attract and retain a valued and high performing workforce </li></ul><ul><li>Opens a dialogue between executives and supervisors around organizational goals, expected contributions to meet the goals, expectations for performance, and developmental requirements </li></ul><ul><li>Builds an understanding of DoD priorities and how they cascade to an organization’s priorities, and how in turn, these priorities cascade to executive and subordinate performance requirements </li></ul>
  15. 16. Executive Performance Management Cycle At a Glance Plan Aug/Oct Monitor Ongoing Rate Oct/Nov Reward Dec/Jan Communicate And Develop
  16. 17. DoD Performance Management System Features Performance Elements <ul><li>Performance Elements are the critical components of an executive’s or senior professional’s work that contribute to organizational goals and results </li></ul><ul><li>Unsatisfactory performance in any one of the Performance Elements would make the executive’s overall job performance unsatisfactory </li></ul><ul><li>Performance Element Benchmarks included as a resource slide in this Module </li></ul>Resource Management SES Customer Care Communications Cooperation/Teamwork SP Technical Competence/Problem Solving 60% SES, SP Contribution to Mission Accomplishment SES, SP as applicable Leadership/Supervision Mandatory Weight Mandatory Application Performance Element
  17. 18. DoD Performance Management System Features Performance Requirements <ul><li>Must be results-driven Performance Requirements, written as: </li></ul><ul><ul><li>SMART-Q (Specific, Measurable, Aligned, Realistic, Timely, Quality) statements of results expected to be achieved during the Performance Appraisal period </li></ul></ul><ul><ul><li>Describe “what is required” and “how well it is to be done” </li></ul></ul><ul><li>60 percent of Performance Requirements must be SMART-Q. </li></ul><ul><li>40 percent may be written as a behavior statement within the measure (e.g. Consults with employees and/or stakeholders in developing policy) </li></ul><ul><li>Must describe a requirement/outcome that is of sufficient depth and complexity to reflect the high-level work of an Executive or Senior Professional </li></ul>
  18. 19. DoD Performance Management System Features Performance Requirements <ul><li>Typically between one and four Performance Requirements per Performance Element </li></ul><ul><li>Performance Requirements must be written to a Level 3 , “Achieved Expectations” </li></ul><ul><ul><li>Achieved Expectations is a high-bar standard for those who deliver expected, customary results of a high quality and creativity </li></ul></ul><ul><ul><li>“ Stretch” Performance Requirements are optional and describe high-bar standards for those who deliver breakthrough results, uncommon, or extraordinary or unexpected results </li></ul></ul><ul><li>The Performance Element “Contribution to Mission Accomplishment” MUST contain ALL SMART-Q Requirements </li></ul><ul><ul><li>No behavioral measures are permissable </li></ul></ul>
  19. 20. DoD Performance Management System Features Performance Rating Levels Sub-standard bar that delivers results that are below what is expected. The results are not good enough, lacking, of poor quality, and unacceptable. Unsatisfactory Low-bar standard that delivers results that are just about satisfactory. The results are insignificant, minor and of nominal quality. The performance is cited as disappointing, and in need of improvement and upgrading. Minimally Satisfactory High-bar standard that delivers results that are likely and anticipated. The results are excellent and of high quality. The performance is admired and praiseworthy. Performance is cited as well-regarded, valued and respected. Achieved Expectations Commendable-bar standard that delivers results that surpass expectations. Results are unexpected and or of very high quality. The performance is commendable and praiseworthy. Performance is cited as an exemplar of excellence. Exceeds Expected Results Extraordinary-bar standard that delivers distinguished,” role model” results. Results are generally characterized as “breakthrough”, uncommon, unexpected or extraordinary and or of extraordinary high quality. Performance is inspirational and emulated by others. Exceptional Results Benchmark Definition Performance Rating Level
  20. 21. DoD Performance Management System Features Organizational Assessments <ul><li>An Organizational Assessment is a thorough evaluation of DoD, Component, organizational, and or functional performance against prescribed strategic goals, objectives, and or priorities </li></ul><ul><li>Organizational Assessments must be: </li></ul><ul><ul><li>Used by rating officials and Performance Review Boards to assess and rate individual performance, make meaningful distinctions in performance, and pay and reward executives </li></ul></ul><ul><ul><li>Communicated and be readily assessable to executives </li></ul></ul><ul><li>The DoD Organizational Assessment consists of: </li></ul><ul><ul><li>Annual publication of the DoD priorities (currently referred to as 25 Transformational Priorities), usually in September or October of each year </li></ul></ul><ul><ul><li>Annual Organizational Assessment based on the DoD Priorities, usually published in August or September of year </li></ul></ul>
  21. 22. DoD Performance Management System Features Organizational Assessments (cont’d) <ul><li>A Component Organizational Assessment consists of: </li></ul><ul><ul><li>Annual publication of Component priorities that considers the Annual DoD Priorities; publication is determined by the Component Head, but it must be published in time to be used to establish annual Performance Requirements </li></ul></ul><ul><ul><li>Annual Organizational Assessment that considers the DoD Organizational Assessment – Publication is determined by the Component Head, but it must be published in time to be considered in the final evaluation and rating of an executive </li></ul></ul><ul><li>Other Assessments that can be used by an organization include: </li></ul><ul><ul><li>Presidential Management Agenda (PMA) </li></ul></ul><ul><ul><li>Governmental Performance Results Act (GRPA) </li></ul></ul><ul><ul><li>Organizational Strategic Plan Performance Results </li></ul></ul>
  22. 23. Resources <ul><li>SES Website (Includes SC 920) </li></ul><ul><ul><li>www.cpms.osd.mil/sespm </li></ul></ul><ul><li>Executive Performance in the 21 st Century: A Guide to Driving Organizational Results </li></ul><ul><li>Executive Management Development Office </li></ul><ul><li>5 USC 43 </li></ul><ul><li>OPM Certification </li></ul><ul><ul><li>http://www.opm.gov/ses/certification.asp </li></ul></ul>
  23. 24. Resources Performance Element Benchmarks (1) The basis for determining the rating level of each Performance Element will be the relationship of an executive or senior professional’s accomplishments to the Performance Requirements. The information below identifies each of the seven benchmark Performance Elements: Leadership/Supervision; Contribution to Mission Accomplishment; Resource Management; Communication; Cooperation/Teamwork; Customer Care; and Technical Competence/Problem Solving and illustrates accomplishments and contributions that may be considered in reviewing the executive’s accomplishments. Vision - Takes a long-term view and acts as a catalyst for organizational change; builds a shared vision with others. Influences others to translate vision into action. Engages in succession planning. Drives results and creates high performing organizations and safe work environments. Service Motivation - Creates and sustains an organizational culture which encourages others to provide the quality of service essential to high performance. Enables others to acquire the tools and support they need to perform well. Shows a commitment to public service. Influences others toward a spirit of service and meaningful contributions to mission accomplishment. Leadership/Supervision Competencies/Performance Accomplishments Performance Element
  24. 25. Resources Performance Element Benchmarks (2) Integrity/Honesty - Instills mutual trust and confidence; creates a culture that fosters high standards of ethics; behaves in a fair and ethical manner toward others, and demonstrates a sense of corporate responsibility and commitment to public service. Leveraging Human Capital - Recruits, develops, and retains a diverse high quality workforce in an equitable manner consistent with applicable law and merit systems principles. Leads and manages an inclusive workplace that maximizes the talents of each person to achieve sound business results. Respects, understands, values and seeks out individual differences to achieve the vision and mission of the organization. Develops and uses measures and rewards to hold self and others, including subordinate managers and supervisors, accountable for achieving results that embody the principles of diversity and achieve organizational results. Decisiveness - Exercises good judgment by making sound and well-informed decisions; perceives the impact and implications of decisions; makes effective and timely decisions, even when data is limited or solutions produce unpleasant consequences; is proactive and achievement oriented. Leadership/Supervision (cont’d) Competencies/Performance Accomplishments Performance Element
  25. 26. Resources Performance Element Benchmarks (3) Balancing Perspectives – Approaches responsibilities that balance organizational results with the perspectives of distinct groups, including customers and employees. Leadership/Supervision (cont’d) Strategic Alignment - Achieves results that support and contribute to the accomplishment of the strategic goals of the organization, Component and the Department. Strategic Thinking - Formulates effective strategies consistent with the business and competitive strategy of the Department and Component in a global economy. Examines policy issues and strategic planning with a long-term perspective. Determines objectives and sets priorities; anticipates potential threats or opportunities. Entrepreneurship - Identifies opportunities to develop and market new products and/or services within or outside of the organization. Is willing to take risks; initiates actions that involve a deliberate risk to achieve a recognized benefit or advantage. External Awareness - Identifies and keeps up to date on key national and international policies and economic, political, and social trends that affect the organization. Understands near-term and long-range plans and determines how best to be positioned to achieve a competitive business advantage in a global economy or to best achieve the goals of the Department and Component. Contribution to Mission Accomplishment Competencies/Performance Accomplishments Performance Element
  26. 27. Resources Performance Element Benchmarks (4) External Awareness - Identifies and keeps up to date on key national and international policies and economic, political, and social trends that affect the organization. Understands near-term and long-range plans and determines how best to be positioned to achieve a competitive business advantage in a global economy or to best achieve the goals of the Department and Component. Contribution to Mission Accomplishment (cont’d) Financial Management - Demonstrates broad understanding of principles of financial management and marketing expertise necessary to ensure appropriate funding levels. Prepares, justifies, and/or administers the budget for the program area; uses cost-benefit thinking to set priorities; monitors expenditures in support of programs and policies. Identifies cost-effective approaches. Manages procurement and contracting. Human Resources Management - Assesses current and future staffing needs based on organizational goals and budget realities. Using merit principles, ensures staff is appropriately selected, developed, utilized, appraised, and rewarded; takes corrective action, as appropriate. Resource Management Competencies/Performance Accomplishments Performance Element
  27. 28. Resources Performance Element Benchmarks (5) Technology Management - Uses efficient and cost-effective approaches to integrate technology into the workplace and improve program effectiveness. Develops strategies using new technology to enhance decision-making. Understands the impact of technological changes on the organization. Accountability - Assures that effective controls are developed and maintained to ensure the integrity of the organization. Holds self and others accountable for rules and responsibilities. Can be relied upon to ensure that projects within areas of specific responsibility are completed in a timely manner and within budget. Monitors and evaluates plans; focuses on results and measuring attainment of outcomes. Complies with all accountability systems requirements, and documents actions taken. Resource Management Influencing/Negotiating – Consistent with Department and Component policies, persuades others; builds consensus through give and take; gains cooperation from others to obtain information and accomplish goals; facilitates &quot;win-win&quot; situations. Communication Competencies/Performance Accomplishments Performance Element
  28. 29. Resources Performance Element Benchmarks (6) Interpersonal Skills - Considers and responds appropriately to the needs, feelings, and capabilities of different people in different situations; is tactful, compassionate and sensitive, and treats others with respect. Oral Communication - Makes clear and convincing oral presentations to individuals or groups; listens effectively and clarifies information as needed; facilitates an open exchange of ideas and fosters an atmosphere of open communication. Political Savvy - Identifies the internal and external politics that impact the work of the organization. Approaches each problem situation with a clear perception of organizational and political reality; recognizes the impact of alternative courses of action. Written Communication - Expresses facts and ideas in writing in a clear, convincing and organized manner. Communication (cont’d) Competencies/Performance Accomplishments Performance Element
  29. 30. Resources Performance Element Benchmarks (7) Flexibility - Is open to change and new information; adapts behavior and work methods in response to new information, changing conditions, or unexpected obstacles. Adjusts rapidly to new situations warranting attention and resolution. Resilience - Deals effectively with pressure; maintains focus and intensity and remains optimistic and persistent, even under adversity. Recovers quickly from setbacks. Effectively balances personal life and work. Conflict Management - Identifies and takes steps to prevent potential situations that could result in unpleasant confrontations. Manages and resolves conflicts and disagreements in a positive and constructive manner to minimize negative impact. Team Building - Inspires, motivates, and guides others toward goal accomplishment. Consistently develops and sustains cooperative working relationships. Encourages and facilitates cooperation within the organization and with customer groups; fosters commitment, team spirit, pride, and trust. Develops leadership in others through coaching, mentoring, rewarding, and guiding employees. Cooperation/Teamwork Competencies/Performance Accomplishments Performance Element
  30. 31. Resources Performance Element Benchmarks (8) Customer Service - Balancing interests of a variety of clients, readily readjusts priorities to respond to pressing and changing client demands. Anticipates and meets the need of clients; achieves quality end products; is committed to continuous improvement of services. Partnering - Develops networks and builds alliances, engages in cross-functional activities; collaborates across boundaries, and finds common ground with a widening range of stakeholders. Utilizes contacts to build and strengthen internal support bases. Customer Care Problem Solving - Identifies and analyzes problems; distinguishes between relevant and irrelevant information to make logical decisions; provides solutions to individual and organizational problems. Technical Credibility - Understands and appropriately applies procedures, requirements, regulations, and policies related to specialized expertise. Is able to make sound hiring and capital resource decisions and to address training and development needs. Understands linkages between administrative competencies and mission needs. Problem Solving/Technical Competence Competencies/Performance Accomplishments Performance Element
  31. 32. Resources Performance Element Benchmarks (9) Customer Service - Balancing interests of a variety of clients, readily readjusts priorities to respond to pressing and changing client demands. Anticipates and meets the need of clients; achieves quality end products; is committed to continuous improvement of services. Partnering - Develops networks and builds alliances, engages in cross-functional activities; collaborates across boundaries, and finds common ground with a widening range of stakeholders. Utilizes contacts to build and strengthen internal support bases. Customer Care Continual Learning - Grasps the essence of new information; masters new technical and business knowledge; recognizes own strengths and weaknesses; pursues self-development; seeks feedback from others and opportunities to master new knowledge. Creativity and Innovation - Develops new insights into situations and applies innovative solutions to make organizational improvements; creates a work environment that encourages creative thinking and innovation; designs and implements new or cutting-edge programs. Problem Solving/Technical Competence Competencies/Performance Accomplishments Performance Element
  32. 33. Questions

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