Performance Appraisal System 2007 Slide Presentation

Welcome to the
System Update
To present and explain changes to the
Smithsonian Institution’s Performance
Appraisal System by focusing on Four Key
For copy of slides and related documentation:
Key Message One: We are Changing the Performance
Management System to Ensure that the Smithsonian
Institution Excels in Achieving its Mission:
Create a results oriented performance culture that
helps employees understand and carry out their role in
the achievement of the organization’s strategic goals
Create a process for managers and employees to
receive accurate and constructive feedback on their
performance in order to develop the skills and
knowledge needed to successfully excel in carrying
out their assignments and responsibilities
Key Message One
Allows individual units to establish milestones and
measures to track their progress on program performance
goals that contribute toward achievement of the
Institution’s mission and strategic goals
Holds supervisors accountable for administration of the
Performance Appraisal System by basing their rating on
how successful they are in completing the plans of their
Clearer understanding of how an employee’s effort
contributes to the achievement of unit and Institution’s
strategic goals
Key Message Two: All Elements of Performance
Plans Must Link to the Smithsonian Institution’s
Strategic Goals
Goal 1: Increased Public Engagement: Diffusion of Knowledge:
Enlarge the Smithsonian’s audience and improve the quality of its
impact on its audience
Goal 2: Strengthen Research: Increase of Knowledge: Pursue
scientific advances, discovery, and scholarship in the natural and
physical sciences, arts, humanities, and social sciences
Goal 3: Enhanced Management Excellence: Modernize management
systems by bringing each of them to a level of quality and
sophistication appropriate to an organization of the size and
complexity of the Institution
Goal 4: Greater Financial Strength: Provide financial support essential
to achieving the Institution’s goals
Key Message Two
More about Performance Plans
Elements of Performance Plans describe primary duties
Elements are appropriate to description and level of position
Non-critical elements are no longer in Performance Plans
Plans reviewed annually to note any changes in element expectations
Plans include measures or standards that are credible, achievable, and fair
Plans clearly describe the Successful level of performance
Managers are encouraged to also write a description of the Outstanding level
of performance
All manager and supervisor plans include an element addressing managerial
or supervisory responsibilities, including accountability for the performance
of their employees
Key Message Three: Accurate and Fair Appraisals
Help Ensure High Performance
Employee appraisals are used as a basis for
Recognizing top performers
Identifying developmental needs
Identifying and addressing deficiencies in
Key Message Three
Linking plans to goals and creating more measurable
standards will result in the following:
“Successful” level seen as a positive rating
Employees will receive feedback that will lead to
growth in job-related skills
Increased motivation to perform at higher level
Poor performance will be addressed
Increased morale based on realistic ratings and
connection to Smithsonian goals
Key Message Four: System provides for formal and
informal communication between employees and
supervisors throughout the year
Employees are involved in the development of their Plans
Employees must receive at least one progress review during the
performance appraisal period
If at any time during the rating cycle an employee’s performance
on any element is in danger of falling below the Successful level,
the rating official must take remedial action to assist the
employee in improving his/her performance
Unit performance expectations are communicated through
performance plans and employee ratings impact overall unit
Management exercises accountability and oversight for individual
and organizational performance
Key Message Four
Performance Rating System Changed to Four Rating
Successful: Meets Expectations
Highly Successful: Frequently Exceeds Expectations
Outstanding: Consistently Exceeds Expectations
 Unacceptable: Does not perform at acceptable level
on one or more elements
Key Message Four
Successful—Meets Expectations
Tasks and accomplishments are completed in a
successful manner and reflect considerable skill
and efficiency
Timeframes are met or occasionally exceeded.
Accomplishments directly contribute to meeting
organizational goals.
Key Message Four
Highly Successful—Frequently Exceeds
Tasks and accomplishments are often completed
in advance of timeframes.
Due to the individual’s initiative and foresight,
accomplishments regularly extend beyond the
described element or assignment and
significantly contribute to exceeding
organizational goals.
Key Message Four
Outstanding--Consistently Exceeds Expectations
Performance requirements are consistently surpassed and
completed in advance of timeframes.
Due to individual’s leadership, initiative, and/or creativity,
accomplishments consistently extend beyond the
expected outcomes and results.
Accomplishments have a direct and significant impact on
exceeding organizational goals and establishing new
directions, priorities, or work processes
Key Message Four
Does not perform at acceptable level on
one or more elements
Appraisal Process
Appraisal period begins October 1 and ends September 30 of the
following year
The supervisor rates each performance element based on the
level of accomplishment
Ratings reflect consistent performance of standards
Each of the four performance levels is assigned a weight of 0-3
The average weight of all elements is the summary rating, unless
any element is rated “Unacceptable”
If any element is rated “Unacceptable”, then the summary rating
must be “Unacceptable” regardless of numeric average
Summary Rating Example
Numeric value of ratings
0 – Unacceptable
1 – Successful
2 – Highly Successful
3 – Outstanding
Summary Conversion Table
1.0– 1.5 = Successful
1.6– 2.5 = Highly Successful
2.6– 3.0 = Outstanding
Employee receives the following appraisal:
Performance Element #1 – Successful (1 point)
Performance Element #2 – Highly Successful (2 points)
Performance Element #3 – Highly Successful (2 points)
Performance Element #4 – Successful (1 point)
Numeric score is 6. This score is divided by the number of performance
elements (4) which gives the summary rating of 1.5. This converts to a
summary rating of Successful.
Development Requirement
As part of performance summary
Rating officials must note at least two
constructive suggestions or strategies to assist
the employee in enhancing current performance
or reaching new goals.
This can include identifying goals for individual
development or milestones for potential career
Employee Responsibilities
Participate in the development of their
Performance Plan
Perform assignments in a skillful and
efficient manner
Seek opportunities to enhance skill and
Stretch to perform at higher levels
Supervisor Responsibilities
Include employee in the development of
their Performance Plan
Provide specific and fair feedback based
on the performance standards
Provide employees with opportunities to
enhance skill and knowledge
Encourage employees to stretch to
perform at higher levels
Frequently Asked Questions
Q: How will the changes affect Cost-of-Living,
Within-Grade, or Quality Step increases?
A: All employees will receive a Cost-of-Living
increase. Within-Grade increases will be
approved if an employee’s performance is
Successful or above. Quality Step increases
require that the most recent rating of record is an
Frequently Asked Questions
Q: How will the changes affect Cost-of-Living adjustments
and Merit Salary Increases for Trust employees?
A: Trust employees will receive the Cost-of-Living
adjustment as approved by the Smithsonian. Employees
will be eligible to receive Merit Salary Increases based on a
rating of Successful or above and the availability of
funding. Two step Merit Salary Increases require that the
most recent appraisal rating is an Outstanding
Frequently Asked Questions
Q: How will Performance Awards be
affected by these changes?
A: A Performance Award is a one-time
lump sum cash award based on an
employee’s performance and may be
given to an employee whose summary
rating is at the Highly Successful level or
Frequently Asked Questions
Q: What happens if an employee’s performance
falls below acceptable?
A: If at any time during the performance cycle,
the supervisor determines that the employee’s
performance is unacceptable for any element, a
Performance Improvement Plan (PIP) must be
prepared and communicated to the employee.
The PIP must allow 30 days for the employee to
demonstrate acceptable performance.
Frequently Asked Questions
Q: How will I be evaluated for 2006
A: Employees will be evaluated using the
performance plan that was established in
the outgoing performance appraisal
Frequently Asked Questions
Q: When will the Performance Plans for
2007 be due?
A: Supervisors are responsible for having
the 2007 Performance Plans in place
within 60 days of doing the 2006
Next Steps
Half day training workshops will be offered to
all supervisors throughout the Smithsonian
Institution beginning in October.
For further information on performance
Changes to the Performance Appraisal System will
help ensure the Institution achieves its mission
Performance elements link to Strategic Goals
Clear measurable standards and accurate and fair
appraisals help ensure high performance
Employee-Supervisor communication is critical to a
successful implementation of these changes
Any Questions?
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