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Human Capital Management Performance Culture

 

Overview

By aligning employee performance appraisal plans with executive performance agreements and directly communicating agreement goals to employees, supervisors can drive home to employees just how their performance impacts organizational goals."
Office of Personnel Management

The Results-Oriented Performance Culture system focuses on having a diverse, results-oriented, high-performing workforce, as well as a performance management system that effectively plans, monitors, develops, rates, and rewards employee performance.

Definition

A system that promotes a diverse, high-performing workforce by implementing and maintaining effective performance management systems and awards programs.

Standard

The agency has a diverse, results-oriented, high-performing workforce and a performance management system that differentiates between high and low levels of performance and links individual/team/unit performance to organizational goals and desired results effectively.

Critical Success Factors

The Results-Oriented Performance Culture system is comprised of the following critical success factors that work together to create a diverse, results-oriented, high performance workforce:

  • Communication
  • Performance Appraisal
  • Awards
  • Pay-for-Performance
  • Diversity Management
  • Labor/Management Relations.

Each critical success factor has several key elements that indicate effectiveness and are linked to suggested indicators that identify how well the agency is doing relative to key elements.

Applicable Merit System Principles

The following merit system principles are especially relevant to the Results-Oriented Performance Culture system (5 U.S.C. 2301):

  • All employees and applicants for employment should receive fair and equitable treatment in all aspects of personnel management without regard to political affiliation, race, color, religion, national origin, sex, marital status, age, or handicapping condition, and with proper regard for their privacy and constitutional rights. (5 U.S.C. 2301(b)(2))
  • Equal pay should be provided for work of equal value, with appropriate consideration of both national and local rates paid by employers in the private sector, and appropriate incentives and recognition should be provided for excellence in performance. (5 U.S.C. 2301(b)(3))
  • Employees should be retained on the basis of adequacy of their performance, inadequate performance should be corrected, and employees should be separated who cannot or will not improve their performance to meet required standards. (5 U.S.C. 2301(b)(6))

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Metrics

Metrics have been established to help agencies accomplish the standard for the three systems that implement human capital plans and programs—i.e., Leadership and Knowledge Management, Results-Oriented Performance Culture, and Talent Management.

Communication

Definition

The agency has a process for sharing information and ideas about the organization with all employees. This vital process includes eliciting employee feedback and involvement so all employees play an appropriate role in planning and executing the mission.

When the key elements of the critical success factor Communication are effectively implemented, agencies will realize:

Effectiveness Results

  • The agency’s strategic plan has been shared with and/or is accessible to all agency employees. Employees are knowledgeable about the agency’s strategic plan and their role in supporting the agency’s mission.
  • Employees have a direct line of sight between performance expectations and recognition systems and the agency mission. These links have been communicated to and are understood by employees, enabling them to focus their work effort on those activities most important to mission accomplishment. All employees are held accountable for achieving results that support the agency’s strategic plan goals and objectives.

Appraisal

Definition

The agency has a process under which performance is reviewed and evaluated.

When the key elements of the critical success factor Performance Appraisal are effectively implemented, agencies will realize:

Effectiveness Results

  • Employees have a direct line of sight between performance expectations and award systems and the agency mission. These links have been communicated to and are understood by employees, enabling them to focus their work effort on those activities most important to mission accomplishment. All employees are held accountable for achieving results that support the agency’s strategic plan goals and objectives.
  • The agency’s performance management system differentiates between high and low levels of performance. Agencies with a high percentage of outstanding ratings also demonstrate a high level of achievement of their strategic goals and objectives and/or program accomplishments as reflected in the agency annual performance plan.
  • Supervisors and managers use performance results to offer feedback, identify developmental needs to help improve employee performance, and address instances of poor performance.

Compliance Results

  • The agency has an OPM-approved performance appraisal system(s) in place and administers the system(s) in accordance with 5 U.S.C. chapter 43; or other congressionally-mandated enabling legislation.
  • The agency CHCO carries out workforce development provisions of the CHCO Act of 2002 (5 U.S.C. 1402).

Awards

Definition

The organization takes actions to recognize and reward individual or team achievement that contributes to meeting organizational goals or improving the efficiency, effectiveness, and economy of the Government. Such awards include, but are not limited to: employee incentives which are based on predetermined criteria, rating-based awards, or awards based on a special act or service.

When the key elements of the critical success factor Awards are effectively implemented, agencies will realize:

Effectiveness Results

  • Employees have a direct line of sight between performance expectations and award systems and the agency mission. These links have been communicated to and are understood by employees, enabling them to focus their work effort on those activities most important to mission accomplishment. All employees are held accountable for achieving results that support the agency’s strategic plan goals and objectives.
  • The agency has created a “reward environment,” beyond compensation and benefits, that contributes to attracting, retaining, and motivating employees.

Compliance Result

The agency has developed one or more awards programs for its employees that obligates funds, and documents awards justifications in accordance with 5 CFR 451.

Pay for Performance

Definition

The agency uses pay for performance systems, where authorized by law and regulation, to link salary levels and adjustments to an individual’s overall performance and contribution to the agency’s mission. Employees receive base salary adjustments within their assigned bands.

When the key elements of the critical success factor Pay for Performance are effectively implemented, agencies will realize:

Effectiveness Results

  • The pay-for-performance system, where authorized by law and regulation, is results-driven, producing a distribution of pay adjustments and bonuses based on individual contribution, organizational performance, and/or team performance.
  • The pay-for-performance system, where authorized by law and regulation, ensures employee and supervisory accountability with respect to individual performance and organizational results.
  • Employees' pay is linked to their performance ratings.
  • Supervisors and managers make meaningful distinctions in performance ratings.

Compliance Result

Pay adjustments, cash awards, and levels of pay based on the results of the appraisal process accurately reflect and recognize individual performance and/or contribution to the agency’s performance in accordance with the Executive Performance and Accountability Interim Rule (5 CFR 430 and 1330).

Diversity Management

Definition

The agency maintains an environment characterized by inclusiveness of individual differences and responsiveness to the needs of diverse groups of employees.

When the key elements of the critical success factor Diversity Management are effectively implemented, agencies will realize:

Effectiveness Results

  • The agency has implemented a diversity management program and has shown positive results in creating a diverse workforce.
  • The agency is responsive to the needs of diverse groups, resulting in a positive work environment conducive to all employees achieving their potential without fear or abuse.

Compliance Result

The agency ensures equal opportunities for employees without discrimination as prescribed in 5 U.S.C. 7201.

Labor/Management Relations

Definition

The organization promotes cooperation among employees, unions, and managers. This cooperation enhances effectiveness and efficiency, cuts down the number of employee-related disputes, and improves working conditions, all of which contribute to improved performance and results.

When the key elements of the critical success factor Labor/Management Relations are effectively implemented, agencies will realize:

Effectiveness Result

Managers effectively administer contractual and statutory provisions to accomplish agency goals; workplace conflicts are resolved fairly, promptly, and effectively; and managers, union officials, and employees work together to accomplish the agency’s mission through effective communication and problem solving.

Compliance Result

The agency recognizes the right of employees to organize, bargain collectively, and participate through labor organizations in accordance with 5 U.S.C. chapter 71.

Resources

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