Human Resources Management Division

QUICK REFERENCE FOR DEVELOPING EMPLOYEE PERFORMANCE PLANS

BACKGROUND

Alignment in performance appraisal should begin with SES member performance plans.  SES plans should hold executives accountable for achieving business results.  Business results should be the goals established in the organization’s annual performance plan or work plan.  Simply restating organizational goals without also including the metrics for determining performance against those goals is not adequate.

Performance appraisal programs should require that employees are held accountable through at least one critical element (or performance expectation) for achieving an accomplishment that supports organizational goals. 

Examples of Alignment.  Employee performance plans can show alignment in several ways.  Here are some examples:

The element should directly relate to the organizational goal and include clear, credible measures of performance of quality, quantity, timeliness, and/or cost-effectiveness. (Credible measures mean that standards include descriptions of quality, quantity, timeliness, cost-effectiveness, and/or manner of performance.)

• For example, “In order for the Bureau to achieve its goal of completing X during FY05, the employee must complete an average of Y each month, with Y meeting the requirements outlined in the Agency’s Operating Procedures.”

Some agencies have broad strategic goals that can be used in employee performance plans as elements.  For example, if the agency has a broad strategic goal of customer satisfaction, the agency could transfer that goal into employee performance plans as a critical element, as long as the standard for that element holds the employee accountable for a specific result, has measures of performance, and supports any other specific targets that may be found in an organization’s annual work plan.

Example of Results-Oriented Elements.  Below are a few examples of results-oriented elements and standards (or performance expectations).  Note that the results being measured are products or services, not a competency, behavior, or activity. 

A critical element and standard for a program manager responsible for an adult literacy program with the intended outcome of improved literacy in adults might be written as:

• For example, “Within the X region during the fiscal year, at least 95 percent of participating adults passed a standard literacy test.  The program had less than a 2 percent drop-out rate.”  The result is the literacy rate among participating adults in that region.  It is aligned to an organizational goal that specifies a certain percentage of adult literacy improvement.

A critical element and standard for a supervisor of a work unit that completes casework might be written as:

• For example, “The work unit reduces the case backlog by 50 percent by the end of the fiscal year, with at least 98 percent accuracy in the cases completed.”  The result is a reduced case backlog.  It is aligned to an organizational goal of customer satisfaction that specifies reducing the case backlog during the fiscal year.

A critical element and standard for an Administrative Officer responsible for the budget of an organization might be written as:

• For example, “A budget for X organization for the next fiscal year is completed by June 15.  The budget contains well-justified descriptions of budget requests, is accurate, and meets all the specifications as outlined by the CFO.” The result is a complete budget document.  It supports the organizational goal of operational excellence.

REQUIREMENT FOR MANAGERS AND SUPERVISORS

Include employee and customer perspectives in the mandatory supervisory element and standard.

BACKGROUND

In order to have supervisory performance plans that align with organizational goals and cascade from executive plans, customer perspective and employee perspective should also be included in supervisory performance plans.   

Customer Perspective

Federal executives, managers, and employees must determine who their customers are, and what those customers expect from them, in the context of the employing agency's business purpose and mission.

Customer perspective measures consider the organization's performance through the eyes of its customers, so that the organization retains a careful focus on customer needs and satisfaction. 

For executives and managers of line organizations (i.e., an organization that directly affects the agency's mission), customers may include a wide variety of public groups, other agencies, other governments, and Congress.  Examples of customer perspective measures for line organizations could include:

•  For example, visitors to a specific national park had a satisfactory experience during their visit.

• For example, Most patients on a specific ward in a hospital rate the nursing staff as exceptionally competent and helpful.

• For example, Agencies respond that the regulations a policy work unit proposed are flexible, easier to read and follow, and take into account agencies' previous comments.

For executives and managers of Support organizations, such as a human resources office, a building services office, or an acquisitions office, also will have goals and measures, but most of the customers of support organizations will likely be employees who work for the same agency.  Examples of customer perspective goals and measures for various support organizations could include:

• For example, most managers of the agency believe they receive adequate assistance when they call their human resources office.

• For example, employees are generally satisfied with the food service provider in their building.

• For example, Managers believe that the procurement office provides adequate instruction on new procurement procedures.

Employee Perspective

The employee perspective factor is not a "popularity contest."  Rather, this factor focuses on providing a healthy work environment for employees, which includes how executives and managers lead and motivate their employees and address development and training needs. Examples of employee perspective measures include determining the level of:

• For example, recognition employees receive for doing good work.

• For example, information employees receive from management on what's going on in the organization; and

• For example, training employees receive for their present jobs and the career development opportunities they have for future positions.

OPM GUIDANCE FOR ESTABLISHING ADMINISTRATIVE POSITION
PERFORMANCE ELEMENTS AND STANDARDS

Example Elements and Standards. By using a customer-focused method, and by describing the results of the secretary's activities rather than the activities themselves, supervisors and secretaries might develop a performance plan that includes the following elements and standards:

Element: Administrative Support Results. Products or services include a file system, time and attendance records, a calendar, travel arrangements, and draft correspondence.
Fully Successful Standard: The supervisor typically finds that:

• Files are easily retrievable, logically organized, clearly labeled, and neat, with documents usually filed within 3-5 days of receipt;
• Time cards correctly reflect information provided by employees, comply with established procedures, are successfully entered into the automated system, and submitted to the Administrative Officer by established deadline, with no more than three noted errors per quarter;
• Calendar is consistently accurate with proper additions and deletions, reflecting realistic scheduling, with changes made quickly, and a hard copy provided to supervisor in accordance with personal preference, with no more than three noted errors per quarter;
• Travel arrangements are realistic, meet the traveler's expectations in terms of timeliness and accommodation to extent possible, and confirmation is received prior to travel. Travel orders and vouchers are completed in accordance with regulations, policy, and automated procedures. Vouchers are completed usually within 3 days of receipt of traveler's documentation; and
• Draft correspondence is clear, logical, follows Plain Language guidelines, and is presented to supervisor generally 1-3 working days before due date or 3-5 days after receipt of initiating event.

Element: Office Information
Fully Successful Standard: The supervisor typically finds that:

• Messages are given to appropriate persons usually within 3 working hours of receipt or when the person returns to the office, and contain the caller's name, organization, phone number, date, time, and subject of the call; and
• Information provided is generally accurate, meets the customer's requirements, and is given from 6 hours to 3 working days after the request is made.