Welcome to the

Performance
Appraisal
System Update
Purpose

 To present and explain changes to the

Smithsonian Institution’s Performance
Appraisal System by focusing on Four Key
Messages

 For copy of slides and related documentation:

http://ohrweb.si.edu/docs/pm.htm
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
Impact
 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
employees

 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
performance
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
performance

 Management exercises accountability and oversight for individual

and organizational performance
Key Message Four
Performance Rating System Changed to Four Rating
Levels

 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
Expectations

 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
Unacceptable

 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 Summary Conversion Table
 0 – Unacceptable 1.0– 1.5 = Successful
 1 – Successful 1.6– 2.5 = Highly Successful
 2 – Highly Successful 2.6– 3.0 = Outstanding
 3 – 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
growth
Employee Responsibilities

 Participate in the development of their

Performance Plan
 Perform assignments in a skillful and
efficient manner
 Seek opportunities to enhance skill and
knowledge
 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
Outstanding
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
above
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
system.
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
appraisal.
Next Steps

 Half day training workshops will be offered to

all supervisors throughout the Smithsonian
Institution beginning in October.

 For further information on performance

management:
http://ohrweb.si.edu/docs/pm.htm
Summary

 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?
Please Complete the
Evaluation Form -

Thank You