Driving Organizational Results

Communicating and Planning

Executive Performance
Department of Defense Executive Performance Workshops

Course EXE-PMT-02 Version 3 Summer 2008

Module Agenda
Todays Workshop will cover:
Mandatory Performance Elements Mandatory components of Performance Requirements Building results-driven SMART-Q Requirements Sample Performance Requirements

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Learning Objectives
Understand what Performance Elements must be addressed in your Performance Plan

Understand what must be included in Performance Requirements

Define the components of SMART-Q Performance Requirements Recognize results-driven Performance

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Executive Performance Management Cycle At a Glance

Plan Aug/Oct

Reward Dec/Jan

Communicate And Develop

Monitor Ongoing

Rate Oct/Nov

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DoD Performance Management System Features Performance Elements A Review

Performance Elements are the critical components of an executives or senior professionals work that contribute to organizational goals and results Unsatisfactory performance in any one of the Performance Elements would make the executives overall job performance unsatisfactory Performance Element Benchmarks included as a resource slide in this Module
Performance Element Leadership/Supervision Contribution to Mission Accomplishment Customer Care Communications Cooperation/Teamwork Resource Management Technical Competence/Problem Solving
Driving Organizational Results

Mandatory Application SES, SP as applicable SES, SP SES

Mandatory Weight

60%

SP
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Communicating and Planning

DoD Performance Management System Features Performance Requirements A Review

Must be results-driven Performance Requirements, written as:
SMART-Q (Specific, Measurable, Aligned, Realistic, Timely, Quality) statements of results expected to be achieved during the Performance Appraisal period
Describe what is required and how well it is to be done

60 percent of Performance Requirements must be SMART-Q. 40 percent may be written as a behavior statement within the measure (e.g. Consults with employees and/or stakeholders in developing policy)

Must describe a requirement/outcome that is of sufficient depth and complexity to reflect the high-level work of an Executive or Senior Professional

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DoD Performance Management System Features Performance Requirements A Review

Typically between one and four Performance Requirements per Performance Element

Performance Requirements must be written to a Level 3 , Achieved Expectations

Achieved Expectations is a high-bar standard for those who deliver expected, customary results of a high quality and creativity Stretch Performance Requirements are optional and describe high-bar standards for those who deliver breakthrough results, uncommon, or extraordinary or unexpected results

The Performance Element Contribution to Mission Accomplishment MUST contain ALL SMART-Q Requirements
No behavioral measures are permissible

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Performance Management System Features Performance Requirements

SMART-Q statements of results expected to be achieved during the Performance Appraisal period
Describe what is required and how well it is to be done

Must describe a requirement/outcome that is of sufficient depth and complexity to reflect the high-level work of an Executive or Senior Professional Typically between one and four Performance Requirements per Performance Element Performance Requirements must be written to a Level 3 , Achieved Expectations
Achieved Expectations is a high-bar standard for those who deliver expected, customary results of a high quality and creativity Stretch Performance Requirements are optional and describe high-bar standards for those who deliver breakthrough results, uncommon, or extraordinary or unexpected results

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Communicating and Planning

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Communicating and Planning Getting Started - Employee Perspective

Complete the Basic Performance Management Training (Executive Performance Management System Overview and Requirements) Obtain copies of the foundational documents that are the building blocks for developing Performance Plans: Strategic Plans, Organizational Plans, Organizational Priorities Annual DoD Organizational Priorities DoD Organizational Assessments (published annually) Component Organizational Assessments as applicable (published annually) Raters requirements or expectations that will be reflected in your performance plan Identify Performance Requirements Know how to write a SMART-Q Performance Requirement Know the OPM and DoD mandatory Performance Elements and Performance Requirements Discuss with your rater the major work that needs to be accomplished, the linkage to organizational goals, measures of performance, and expectations of performance Draft compliant Performance Requirements
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Communicating and Planning Getting Started - Rating Official Perspective

Complete the Basic Performance Management training (Executive
Performance Management System Overview and Requirements)

Make time for planning and communicating performance requirements and expectations Discuss and identify organizational goals and priorities and your own performance requirements that will have an impact on the executives performance

Identify the 3 mandatory Performance Elements and any optional Performance Elements applicable for the executive
Discuss with your executive the major work that needs to be accomplished, the linkage to organizational goals, measures of performance, and expectations of performance Develop compliant Performance Requirements

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Performance Requirements What must be included?

The CFR and OPM prescribe mandatory criteria for Performance Requirements, they are:
Provide evidence that DoD has an effective and legally compliant performance management system in place Are used by OPM as an element in the certification of DoDs performance management system. Failure to meet the criteria may result in the decertification of the DoD performance management system

DoD requires Performance Requirements to demonstrate results in achieving a diverse workforce OPM and DoD mandatory criteria may be part of a Performance Requirement or exist as a Performance Requirement by itself. Whatever approach is taken, the criteria must be clearly evident in the Performance Requirement.
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Performance Requirements What must be included? (contd)

Accountability Criteria (SES Only) - Accountability for subordinate performance management
Must specifically have a statement that holds executives accountable for the performance of a subordinate, which includes ensuring that subordinate performance plans are aligned to organizational goals, appraising subordinates against clear, measurable standards of performance Outcome must be SMART-Q written at the Level 3 Include in the Leadership/Supervision Element

Alignment Criteria Performance Plan linkage to organizational goals established in Strategic Plans, annual performance plans, or other organizational planning or budget documents
Each Requirement must cite the actual plan and/or goal The citation may be abbreviated , e.g., (Goal 1.1 of CPP Strategic Plan) The referenced plan must be available, upon request, to submit to DoD as part of the evidence required for OPM certification

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Performance Requirements What must be included? (contd)

Balanced Measures Criteria Measures or indicators of the collection and uses of employee and customer/stakeholder feedback
A Performance Requirement must state that employee and customer/stakeholder feedback was solicited and used in achieving a performance result Outcome must be SMART-Q written at Level 3 Include in any one of the Performance Elements, e.g., Contribution to Mission Accomplishment or Customer Care

Consultation Criteria: Requirement to involve the executive and rater in developing Performance Requirements Executives and Raters must co develop the Performance Requirements Signature of the Executive and Rater is required in Part B-1 of the Executive Performance Appraisal Form

Diversity Criteria DoD Requirement: Performance plans must have a Performance Requirement that holds executives accountable for achieving results in promoting diversity in the workforce and furthering equal employment opportunity in the workplace
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Performance Requirements What must be included? (contd)

Measurable Results Criteria Output or outcome that is observable and or verifiable results in terms of quality, quantity, timeliness, and or cost effectiveness
All Performance Requirements under Contribution to Mission Accomplishment must be results-driven (SMART-Q) Measures can include efficiency or accuracy rates, improvement from survey results, acceptance of articles by jury journals, Presidential Management Agenda metrics or other program metrics, attributes of value, thoroughness, excellence of an effort, or result. Tip: Measures allow for meaningful distinctions in performance Yes or No responses to a Performance Requirement may be an indication that the Performance Requirement cannot make a meaningful distinction in performance For example, a Performance Requirement that states: Write a DoD Instruction by January 2008 uses time as the measure. However, meeting or beating the clock may be insufficient to determine a level 3, 4 or 5 rating on the Performance Element. Other indicators e.g., a quality measure, can be used to help make meaningful distinctions in performance.
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SMART-Q Framework
Elements of the SMART-Q Framework Specific Measured Aligned

Realistic
Timeframe Quality

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SMART-Q Framework S
Specific
Clear, concise statement of what is being measured. Observable outcome or achievement.

Ask yourself
What am I responsible for accomplishing? What will be achieved? What is the expected result and outcome? How will this drive organizational success?

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SMART-Q Framework M
Measurable
Result is observable or verifiable. Does a method, procedure or standard exist to assess and record the result of the requirement?

Ask yourself
How will I know I achieved the result at the Achieved Expectations level, at a minimum? Is the requirement a big rock that describes your work as an executive? Is the requirement simply a statement of activity versus outcomes/results to evoke a meaningful distinction in performance?

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SMART-Q Framework A
Aligned
A clear, direct connection exists between my requirements and the QDR.

Ask yourself
Does this requirement support the QDR and/or my organizational goals? If this requirement is not met, what is the impact to the organization? What specific goal/priority does the performance requirement meet?

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SMART-Q Framework R
Realistic
The outcome must be achievable with the resources and personnel available. Is it within your control and responsibility?

Ask yourself
Do I need to plan on additional resources to meet this requirement? Is this a realistic goal given the organizations mission? Is the achievement of this goal under my control?

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SMART-Q Framework T
Timed
Timeframe needed to complete the requirement

Ask yourself
Have I included a realistic timeframe for all variables identified at this time? Have I included time to resolve potential obstacles? Did I specify when the outcomes will be achieved? Do I need to break the project into milestones to identify an appropriate timeframe?

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SMART Q Framework Q
Quality
Assesses how well you completed the requirement

Ask yourself
How do I know how well I completed the work? Is there a governing body that can identify the quality of my work? Are there functional experts that can attest to the quality of my results?

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Sample Requirement 1
Improve the delivery of HR policy advice and guidance to customers worldwide, including in deployed locations, by developing a variety of useful resources that are robust S Rand easily accessible by Q2 as measured by supervisor, Q stakeholder, and customer feedback. (Strategic Goal 4.2)

Strategic Alignment Consultation Balanced Measures

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SR T

Sample Requirement 2

Improve the effectiveness of the Service Logistics Command by the end of Q4 by increasing the competencies of the staff and ensuring clarity in staff responsibility by cascading performance goals throughout subordinate performance plans. R (Workforce Goal 5.7) A

Strategic Alignment Accountability Balanced Measures

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Tip Sheet Creating Your Performance Requirements

Checklist SMART-Q? Accountability? Strategic Alignment?

Balanced Measures?
Consultation? Diversity Result?

Measurable Results?

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Requirements Writing Discussion

What was easy? What helped? What are the lessons learned? What additional support is needed?

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Resources
SES Website (Includes SC 920)
www.cpms.osd.mil/sespm

Executive Performance in the 21st Century: A Guide to Driving Organizational Results

Executive Management Development Office

5 USC 43
OPM Certification
http://www.opm.gov/ses/certification.asp

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Questions

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