Report on Employee Performance Appraisal - Excel

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Report on Employee Performance Appraisal - Excel Powered By Docstoc
					        2009 Executive Pay and Performance System Workbook
                                                                         This EvaluationTool was developed at the Naval Research Laboratory, Washington, D.C.
                           POC for Questions: Ms. LaToya Bedgood at (202) 685-6659 or Sheeler Kowalewski at (202) 685-6693


    ABOUT THIS EVALUATION TOOL
   This is an Excel workbook developed as an EvaluationTool to facilitate the appraisal process for DON executives in accordance with DoD
   and DON policy. There is a separate EvaluationTool for each executive. Rating Officials (first-level supervisors) retain primary control of
   each tool.

         Note: The EvaluationTool uses a number of macros; if you received a message that the macros were disabled because the Excel
         security level is set at high, the setting will need to be changed to Medium or Low for the macros to function. To do so, pull down Tools-
         Macro-Security and select the proper setting, close the EvaluationTool (it is not necessary to save), and then reopen it. The macros
         will now function.


   This EvaluationTool provides five sheets to carry out steps in the appraisal process, and two additional worksheets for storing the executive's
   Yearly Accomplishment Report (YAR) and the Rating Official's supervisory comments. (CAUTION: Always click just once on a sheet tab:
   double-clicking on a tab may inadvertently change its title and cause reference errors.) Worksheet descriptions are given below:


                       The CoverPage displays the executive’s overall performance rating, score, shares (hidden), pay increases, and
                       performance incentives. It also provides the fields for signatures at appropriate steps by the Rating Official, the
     CoverPage
                       executive, the second-level reviewer, and the Authorizing Official. Once the date for signatures is entered, a notation
                       "completed" will automatically display.


                       This information is from the DoD Executive and Senior Professional Pay and Performance System Guidance. Although
    Descriptions       the DON is using three mandatory Critical Elements, all seven of the elements are defined and described on this tab.
         &             The additional four elements that are described may be used in conjunction with the three mandatory elements in writing
    Benchmarks         the Individual's Performance Plan. The performance benchmarks are written to indicate a level 3 "Achieved
                       Expectations" performance rating.


                       This ReadOnly sheet provides a one-page listing of the three mandatory elements, with weights and scores.
      Elements
                       Requirements are populated from the Details sheet; element scores are populated from the Scoring sheet.


                       Individual requirements are added from this sheet. These added requirements automatically populate the Elements and
       Details
                       Scoring sheets once entered.



                       The Rating Official inputs scores from this sheet, which mirrors the Elements sheet except that sliding bars are provided
       Scoring         to facilitate rapid selection of a score value for each requirement, and to ensure that values are within the numerical range
                       0 -100. The scoring results automatically populate the Awarding sheet.



                       From this sheet, the Rating Official recommends shares and the payout percentage is calculated. Optional comments
      Awarding         from the Rating Official to the SPP/PRB may also be entered from this sheet. The overall score and rating populate the
                       appropriate fields on the CoverPage. The recommended number of shares is blacked out intentionally.


   To SAVE: The EvaluationTool may be saved at any time using the standard Excel save technique. The EvaluationTool shall be named as
   follows: Executive's LastName_First Name_2009_SES; e.g., Doe_John_2009_SES.xls


 APPRAISAL PROCEDURES
1. NLT 30 October 2008, the Executive and the Rating Official should already have set the Executive's standards on the DoD Executive Performance
   Appraisal Form. Prior to the mid-year review, the requirements previously agreed upon should be pasted into this electronic scoring tool.

2. At the Interim Review: Conduct, communicate, and annotate that the review was conducted on the CoverPage by entering the date of the
   review, as well as any comments, if desired. Once the date of review is entered, a notation "completed " will automatically display.



   7/14/2011                                    file: b07b6ea2-5e1a-454f-b03d-2994b7998292.xls                                      sheet: Welcome pg1
3. At the end of the cycle, the Rating Official scores and makes pay recommendations:
         a. From the Scoring sheet, a sliding bar is used to assign a numerical score to each requirement. This sheet then dynamically
         computes the element scores and populates the Elements and Awarding sheets.

         b. From the Awarding sheet, the Rating Official recommends shares. The recommended payout as a percentage of base pay is
         computed, and the CoverPage is automatically populated. Recommended shares are blacked out intentionally as they will not be
         discussed during the initial summary rating.
         c. Details of the payout are provided in the Payout Estimate section of the Awarding sheet. Payout is based on the overall score,
         recommended shares, and tier. An optional feature provides for comparison of last year's payout to this year's recommendations.
          i. If the bonus does not equate to at least 5%, the system will reduce the base pay recommendation until the bonus equals 5%. Thus,
             for example, if 6% is earned, 5% will be applied toward a bonus and 1% will be applied toward base pay. In such a case, the
             executive might not receive the full General Increase.

         ii. If the shares earned equate to a percentage that is less than 5%, the Rating Official will have the option of recommending either 1) a
             5% bonus, or 2) a pay increase equal to the shares earned; in which case, the Rating Official may elect to turn Bonus Guarding "Off"
             to ensure a base pay increase equal to the share value, which will then be in lieu of a 5% bonus.

         iii. If any single element is scored less than 70, no shares are earned; if any single element is scored less than 51, the overall rating is
              "Unsatisfactory."

         iv. The Rating Official may provide comments to the SPP/PRB via the Comments text box, which is displayed at the bottom of the
             Awarding sheet.
4. After completing the Scoring and Awarding sheets, the Rating Official prints the CoverPage and the Elements page using the Print buttons
   provided, signs and dates the CoverPage hard copy in blocks 11.d., conducts final review with the executive, obtains the executive's
   signature/date on the CoverPage hardcopy in fields 12.a. & 12.b., and provides a copy of the rating package to the executive.


5. As the final step, the Rating Official forwards the original hard copy rating package along with the electronic EvaluationTool to the SPP/PRB
   using procedures established by the Activity.


                                                 The optimum screen size for viewing is 1280 x 1024 or larger
                                                                Detected your computer type as:               pcdos
                                                                Detected your software version as:            Excel ver-12.0




   7/14/2011                                    file: b07b6ea2-5e1a-454f-b03d-2994b7998292.xls                                  sheet: Welcome pg2
                                                         DEPARTMENT OF DEFENSE
                                                   Executive Pay and Performance Appraisal
Part A
1. Name of Executive (Last, First, MI):                        2. Position Title:         3. Organization:                               4. Pay Pool Manager:




       Basic Salary:                                                       Tier:                                                 7. Appointment:                      SES

 5. Current Rating Period Dates (yyyymmdd)                        6. Annual:                                                                 Type:
      a. Beginning:                      b. Ending:                  Interim:                                                             DISES:
        20081001                        20090930
Part B Section I – Performance Elements and Requirements (See Page 2, Part B, Section I.):
                        The signatures below acknowledge joint development and understanding of the performance elements and performance requirements.

8.a. Signature of Executive:                                                           8.b. Typed name of Executive:                                         8.c. Date
                                                                                                                                                             (yyyymmdd)

9.a. Signature of Rating Official:                                                   9.b. Typed name of Rating Official:                                     9.c. Date
                                                                                                                                                             (yyyymmdd)

Part B Section II - On-Going Feedback
10. Record of performance feedback within the rating period:
Optional Comments:                                                                           Exec Signature            Rating Official Signature                 Date Signed




(3) Part C – Initial Summary Rating – Document the Rating Officials’ Determination of the Initial Summary Rating (Block 11a and 11b) based on the accomplishments on
the “Elements Tab”

11.a. Initial Summary Rating:

11.b. Recommended Performance Score:                                                 11.c. Recommended Number of Shares:

11.d. Signature, Rating Official:                                                                                             Date (yyyymmdd):


11.e. Signature, Second Level Reviewer:                                                                                       Date (yyyymmdd):


Part D - Executive Acknowledgement of Appraisal.
Signature acknowledges that the executive is aware of and was provided a copy of this evaluation. It does not constitute agreement or disagreement with the evaluation.


12.a. Signature of Executive:
                                                                                                                        12.b. Date (yyyymmdd):

12.c. _______ Higher level review            Executive’s Initials: ___________ Date Request
Submitted:
               ("X" indicates the executive’s request for a higher-level review within 7 workdays after receipt of the preliminary rating.)

Part E - Performance Review Board Recommendations
13.a. Performance Rating:                                        13.b. Performance Score:                               13.c. Performance Shares:




Part F - Authorizing Official – Performance Score, Pay Increases, and Performance Bonuses

14.a. Performance                                                                        14.b. Basic Pay Increase:
(1) Score                               (2) Shares                                       $

14.c. Performance Bonus: $                                                               14.d. Adjustment in Total Payout:                        Basic
                                                                                         Pay Increase $___________ Performance Bonus $___________

14.e. Signature of Authorizing Official:                                                 14.f. Date (yyyymmdd):
                             Read Only         Descriptions Page
      DoD EXECUTIVE PAY AND PERFORMANCE APPRAISAL SYSTEM
             PERFORMANCE ELEMENTS AND BENCHMARKS


  Notes: Below is a general description of each of the seven Performance Elements. The basis for
  determining the rating level of each Performance Element will be the relationship of an executive's
  accomplishments to the Performance Requirements. The Table, "Performance Benchmarks," provides
  indications of performance at level 3, "Achieves Results." These performance indicators can be used
  to measure, evaluate, and score achievement of the Performance Requirements.

  Element
        LEADERSHIP/SUPERVISION: Demonstrates effective and ethical individual and organization leadership
  1     to assess situations realistically; identifies and recommends or implements needed changes. Actively
        furthers the mission of the organization and assures that organizational performance is aligned to the
        strategic plan. Works to improve the diversity of the organization ensures that all employee rights are
        respected and takes responsibility for the effective management of employee performance. Builds
        leaders for the future through active engagement in and support for developmental programs. Balances
        individual and organizational results with the perspectives of distinct groups, including customers and
        employees


        CONTRIBUTION TO MISSION ACCOMPLISHMENT: Executes the position’s assigned duties in a
  2
        manner that contributes to the successful outcome of strategic goals and objectives. Ensures that the
        accomplishments of the organization or program managed can be directly tied to mission need. Specifies
        the results or commitments to be achieved during the rating period


        RESOURCE MANAGEMENT: Demonstrates effective use/management of personal and organizational
  3
        resources such as time, personnel, equipment and/or funds. Meets schedules and deadlines, and
        accomplishes work in order of priority; generates and accepts new ideas and methods for increasing work
        efficiency; effectively utilizes and properly controls available resources; supports organization’s resource
        development and conservation goals. Manages organization or program within the parameters
        established for the Department’s Internal Control Program


        COMMUNICATION: Demonstrates effective listening, writing, and oral communication skills. Provides
  4
        or exchanges oral/written ideas and information that are timely, accurate, and easily understood.
        Represents the organization in a manner appropriate for the level of communication. Understands and
        operates under the communication release requirements of the organization


        COOPERATION/TEAMWORK: Demonstrates traits of flexibility, adaptability and decisiveness and the
  5
        ability to exhibit and foster cooperation in team efforts and organizational settings. Uses the appropriate
        cooperation and teamwork skills for the situation


        CUSTOMER CARE: Demonstrates effective interactions with internal and external customers.
  6
        Demonstrates care for customers through respectful, courteous, reliable and conscientious actions.
        Seeks out, develops, and/or maintains solid working relationship with customers to identify their needs,
        quantifies those needs, and develops practical solutions. Keeps customer informed. Within the scope of
        job responsibility, seeks out and develops new programs and/or reimbursable customer work


        TECHNICAL COMPETENCE/PROBLEM SOLVING: Demonstrates the knowledge and skills required to
  7
        execute the position’s assigned duties and responsibilities. Ensures the technical accuracy of the work
        produced or provided by organization managed. Independently identifies issues and recognizes all sides
        in the resolution process


DoD EXECUTIVE PAY AND PERFORMANCE SYSTEM
PERFORMANCE ELEMENT BENCHMARKS – EXECUTIVES AND SENIOR PROFESSIONALS

  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 table 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.

   Performance Element                Competencies/Performance Accomplishment:
Leadership/                           Vision - Takes a long-term view and acts as a catalyst for organizational change; builds a shared vision
Supervision (mandatory                with others. Influences others to translate vision into action. Engages in succession planning. Drives
element)                              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.
                                      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
                          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.
                          Balancing Perspectives – Approaches responsibilities that balance organizational results with the
                          perspectives of distinct groups, including customers and employees.
Contribution to Mission   Strategic Alignment - Achieves results that support and contribute to the accomplishment of the
Accomplishment            strategic goals of the organization, Component and the Department.
(mandatory element)       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.

Resource Management       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.
                          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.

Communication             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 "win-win" situations.
                          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.
Cooperation/ Teamwork     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.

Customer Care             Customer Service - Balancing interests of a variety of clients, readily readjusts priorities to respond to pressing and
(mandatory element)       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.

Problem Solving/          Problem Solving - Identifies and analyzes problems; distinguishes between relevant and irrelevant
Technical Competence      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/       Problem Solving - Identifies and analyzes problems; distinguishes between relevant and irrelevant
Technical Competence   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.
                       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.
                                   DEPARTMENT OF DEFENSE
                                Executive Pay and Performance Appraisal
                                                      0
           Part B Section I - Performance Elements, Performance Requirements, and Preliminary Score
Element                                                                                            Wt   Score

 1    LEADERSHIP/SUPERVISION: Demonstrates effective and ethical individual and
      organization leadership to assess situations realistically; identifies and recommends or
      implements needed changes. Actively furthers the mission of the organization and
      assures that organizational performance is aligned to the strategic plan. Works to
      improve the diversity of the organization ensures that all employee rights are respected
                                                                                                   30    0
      and takes responsibility for the effective management of employee performance. Builds
      leaders for the future through active engagement in and support for developmental
      programs. Balances individual and organizational results with the perspectives of distinct
      groups, including customers and employees:

           1a.   Performance Plan
           1b.   EEO
           1c.   Employee Perspective
           1d.   ADD 1 SMART-Q requirement here
           1e.   ADD additional SMART-Q requirement here (Optional)
Element                                                                                            Wt   Score

 2    CONTRIBUTION TO MISSION ACCOMPLISHMENT: Executes the position’s assigned duties
      in a manner that contributes to the successful outcome of strategic goals and objectives.
      Ensures that the accomplishments of the organization or program managed can be               60    0
      directly tied to mission need. Specifies the results or commitments to be achieved
      during the rating period:
           2a.   ADD   first SMART-Q requirement here
           2b.   ADD   second SMART-Q requirement here
           2c.   ADD   third SMART-Q requirement here
           2d.   ADD   fourth (Optional) SMART-Q requirement here
           2e.   ADD   fifth (Optional) SMART-Q requirement here
Element                                                                                            Wt   Score

 6    CUSTOMER CARE: Demonstrates effective interactions with internal and external
      customers. Demonstrates care for customers through respectful, courteous, reliable and
      conscientious actions. Seeks out, develops, and/or maintains solid working relationship
      with customers to identify their needs, quantifies those needs, and develops practical       10    0
      solutions. Keeps customer informed. Within the scope of job responsibility, seeks out
      and develops new programs and/or reimbursable customer work:

           6a.   Customer Perspective
           6b.   ADD 1 SMART-Q requirement here
           6c.   Enter additional (OPTIONAL) SMART-Q requirement here
                                                                 Preliminary Performance Score:          0
Details: Critical Elements, Requirements, and Key Actions
 DETAILS: Mandatory Elements and Requirements


 GUIDANCE: This worksheet is used to establish Requirements for Critical Elements 1, 2, and 6. To make changes, set the Editing Mode to
 "ON" and type or cut-and-paste within the yellow cells that will display when Editing Mode is set to "ON."           Important: If
 cutting-and-pasting, use the PasteSpecial-valuesOnly or the PasteSpecial-textOnly method. Click the Editing mode to "OFF" when
 changes are complete. The Elements and Scoring sheets will be automatically populated with the new requirements. When printing, set Editing
 Mode to "OFF."

 View Element:                                                                                     Editing Mode:




1.                   LEADERSHIP/SUPERVISION

       1a.              Performance Plan
                          Meet all NAVY performance planning and review requirements for
                          self and employees in the organization to include SMARTQ and
                          alignment with organizational goals and mission requirements
                          within required deadlines. Appraise subordinates realistically
                          against clear, measurable standards of performance and
                          organizational assessment.

       1b.              EEO
                          Annually complete required EEO/Affirmative Action Employment
                          Program training to ensure staff receives appropriate education
                          and heightened awareness. Attract, retain, and develop talent by
                          promoting equal employment opportunity, affirmative action, and
                          diversity in the performance of responsibilities, especially in
                          the areas of critical mission occupations to become more
                          representative of the national workforce.



       1c.              Employee Perspective
                          Proactively seeks and listens to customers and employees and
                          objectively considers other’s ideas and opinions, even when they
                          conflict with one’s own.
       1d.              ADD 1 SMART-Q requirement here
                          Enter definition here …
       1e.              ADD additional SMART-Q requirement here (Optional)
                          Enter definition here …



2.                   CONTRIBUTION TO MISSION ACCOMPLISHMENT

       2a.              ADD first SMART-Q requirement here
                          Enter definition here …
       2b.              ADD second SMART-Q requirement here
                          Enter definition here …
       2c.              ADD third SMART-Q requirement here
                          Enter definition here …
       2d.              ADD fourth (Optional) SMART-Q requirement here
                          Enter definition here …
       2e.              ADD fifth (Optional) SMART-Q requirement here
                          Enter definition here …
Details: Critical Elements, Requirements, and Key Actions
 DETAILS: Mandatory Elements and Requirements




6.           CUSTOMER CARE
     6a.       Customer Perspective
                 Ensures a free flow of information and communication with
                 customers (up, down, across, and within the organization)
                 encouraging the open expression of ideas and opinions, and
                 responding appropriately. Seeks input from audience; checks
                 understanding; presents message in different ways to enhance
                 understanding.

     6b.       ADD 1 SMART-Q requirement here
                 Enter definition here …
     6c.       Enter additional (OPTIONAL) SMART-Q requirement here
                 Enter definition here …
   Scoring                                     0                                                  Overall Score:        0
 GUIDANCE: Assign a score to each Requirement, using the sliders.

                     wt 30 %                                                                                                                          Element
                                                    1                                 51                70              86          95                 Score

 1      LEADERSHIP/SUPERVISION:                                                                                                                          0




                                                                                                                                     Exceptional
                                                                                                                         Exceeded
                                                                                                             Achieved
                                                                                              Minimal
                                                                    UnSat.
                                                                     1                         2              3           4          5
 1a.    Performance Plan                                                                                                                             0

 1b.    EEO                                                                                                                                          0

 1c.    Employee Perspective                                                                                                                         0

 1d.    ADD 1 SMART-Q requirement here                                                                                                               0

        ADD additional SMART-Q requirement
 1e.
        here (Optional)
                                                                                                                                                     0



                     wt 60 %                                                                                                                          Element
                                                    1                                 51                70              86          95                 Score

 2      CONTRIBUTION TO MISSION                                                                                                                          0




                                                                                                                                     Exceptional
                                                                                                                         Exceeded
        ACCOMPLISHMENT:




                                                                                                             Achieved
                                                                                              Minimal
                                                                    UnSat.




                                                                     1                         2              3           4          5
 2a.    ADD first SMART-Q requirement here                                                                                                           0

        ADD second SMART-Q requirement
 2b.
        here
                                                                                                                                                     0


 2c.    ADD third SMART-Q requirement here                                                                                                           0

        ADD fourth (Optional) SMART-Q
 2d.
        requirement here
                                                                                                                                                     0

        ADD fifth (Optional) SMART-Q
 2e.
        requirement here
                                                                                                                                                     0



                     wt 10 %                                                                                                                          Element
                                                    1                                 51                70              86          95                 Score

 6      CUSTOMER CARE:                                                                                                                                   0
                                                                                                                                     Exceptional
                                                                                                                         Exceeded
                                                                                                             Achieved
                                                                                              Minimal
                                                                    UnSat.




                                                                     1                         2              3           4          5
 6a.    Customer Perspective                                                                                                                         0

 6b.    ADD 1 SMART-Q requirement here                                                                                                               0

        Enter additional (OPTIONAL) SMART-
 6c.
        Q requirement here
                                                                                                                                                     0




7/14/2011                                    file: b07b6ea2-5e1a-454f-b03d-2994b7998292.xls                                                  sheet: Scoring pg10
    Awarding
GUIDANCE: Provide inputs to the yellow areas (optional if area is light yellow). If Red text, double click on the text to read the alert.


                                                   SCORES                                                                                                                                          0
                                                                                                                                RATING                            SHARES
                                                                                                       Overall                                                 Recommendation
    Critical Elements                                                       Weight        Scores                                                                                                   0
                                                                                                       Score
     LEADERSHIP/SUPERVISION                                                    30            0
     CONTRIBUTION TO MISSION ACCOMPLISHMENT                                    60            0
     CUSTOMER CARE                                                             10            0
                                                                                                                                                          Select from within this   Input Shares
                                                                                                                                                                  range.                Here

SES/DISES' employed less than 1 year must receive a Level 3 rating and no more than 5 shares. This                                                               {0-0}
does not apply to transfers and reassignments, only those new to the Executive Service with less
than 1 year of employment.


     RECOMMEND SHARES: Share range for Overall Score 1-69 {0-0} ; Score 70-85 {1-6} : Score 86-94 {7-10} ; Score 95-100 {11-16}. Note:
     Scoring less than 70 on any one element results in no shares. Scoring less than 51 on any one element results in an "Unsatisfactory" rating.


          TIER                                         SHARES VALUE (%)                                                    DISCRETIONARY PAY                $ Request here->
                                                                                                                                    INCREASE:
             0                                                 #NAME?                                                                                           $ forwarded->

     SHARES PERCENTAGE VALUE: Represents the value of shares as a percentage of current base pay.

0                                                                                                                                                                                        FALSE
                 #NAME?    PAYOUT DISTRIBUTION                                                      #NAME?            #NAME?              #NAME?
                                                                                         #NAME?                                                            Do you want BONUS Guarding
Use this slider to input                                                                                               RAISE %          BONUS %                    turned off?
   a RAISE/BONUS                                                                                                                                                     YES
  recommendation.                                                                                                     #NAME?            #NAME?

     RAISE & BONUS: Important -- Basic Salary and Tier must be entered on the CoverPage first. Raise here means an increase in base pay. Bonuses below 5% are not
     permitted. If the share value is less than 5%, a default 5% bonus is granted (with no raise); and, in keeping with this, BONUS Guarding generates a split that will ensure a 5% bonus,
     e.g., if the share value is 6%, the payout will be 5% bonus and 1% base increase. If the BONUS Guarding is turned off the default 5% bonus will be overriden and a base pay
     increase equal to the share value will be calculated. Note: The tier level caps are not imposed ... the application will allow base increases above the executive's tier level
     cap -- so the Rating Official must be cognizant of and keep within the tier level cap when making recommendations.


         total comp cap = 227,300
                                                                         PAYOUT ESTIMATE                                                     <--checkmark if certified by OPM            FALSE

          old Base Cap = 177,000                                                                                                            2.00        <-- enter PAEP estimate

         new Base Cap = 180,535

                                                            Discret                        other         total                                                                       Yr-to-Yr
                              old Base         RAISE        Pay Inc        BONUS         Awards      PAYOUT                     new Base                       Total Pay             Change


    OPTIONAL :                                                                                                             $0
                                                                                                                                         jan2008 TO
                                                                                                                                                                    $0
                                                                                                                                           jan2009
    Previous Cycle
                                                                                                                                                                                     #NAME?
                                                                                                                                                                                    #NAME?
                                              #NAME?                       #NAME?                     #NAME?
                                                                                                                                         jan2009 TO
    CURRENT cycle                 $0                                                                                   #NAME?              jan2010
                                                                                                                                                               #NAME?
                                              #NAME? #NAME?               #NAME?         ######       #NAME?


     PAYOUT PRELIMINARY ESTIMATE: These figures are to be treated as preliminary estimates only, since actual final figures cannot be determined until after the PRB-to-CHR
     rollups have occurred and after the PAEP rate has been officially announced. As an option : To get a better picture of the year-to-year difference in total pay, you may input last
     year's values (percentage of raise and bonus) at the light yellow cells for Previous Cycle . This is an optional feature only -- no figures need be entered if you do not wish to evaluate
     this information.


                                                                                       COMMENTS
     #NAME?
.




COMMENTS, if any, will be made available to the SPP/PRB. Type within the yellow lower box, staying as brief as possible. If the Executive received a pay increase within the last
90 days, specify the amount, date and reason in the comments box above. If the actual PAEP exceeds the estimate, specify above if you want the additional PAEP % to be
applied to bonus only! If not, the additional PAEP % will be applied toward the pay increase.




    7/14/2011                                                         file: b07b6ea2-5e1a-454f-b03d-2994b7998292.xls                                                            sheet: Awarding
                                   DEPARTMENT OF DEFENSE
                                Executive Pay and Performance Appraisal


YEARLY ACCOMPLISHMENT REPORT (YAR) Instructions: To enter the executive's accomplishments, double click
on the Word icon below. This will launch a Word document for you to enter text. As you work, click on the Save icon on
the toolbar at the top to save. The YAR is limited to no more than 2 pages and the font size should not be less than 10.


                             Employee Accomplishment Report
             (Components may add Component-specific instructions or requirements.)

0
                                 DEPARTMENT OF DEFENSE
                               Executive Pay and Performance Appraisal

SUPERVISOR COMMENTS Instructions: To enter the executive's accomplishments, double click on the Word icon
below. This will launch a Word document for you to enter text. As you work, click on the Save icon on the toolbar at
the top to save.


                                      Part C - Accomplishments
                  (Components may add Component-specific instructions or requirements.)

0

				
DOCUMENT INFO
Description: Report on Employee Performance Appraisal document sample