U.S. Office of Personnel Management - Ensuring the Federal Government has an effective civilian workforce

October 1998

Department of Transportation Evaluates Its Performance Management System

The best way to improve a system is to begin by evaluating it. The Department of Transportation (DOT) is evaluating its performance management system in two phases: first, it has completed evaluating the development and implementation of the system, and second, it will be evaluating whether the objectives of the system have been met. This will be completed in January 1999. DOT representatives shared with TRANSFORMATIONS '98 conference attendees the methods, processes, and techniques they are using to evaluate their system.

• How did they get started?
• What methods do they use?
• What questions do they ask?
• What are the results and lessons learned?
• How can I get more information?

How did they get started? The Department began its evaluation process by creating an evaluation plan. The plan outlined the objectives of the evaluation, the methods to be used, and the expected outcomes of the evaluation process. By outlining a plan with specific expected outcomes, evaluators can focus their efforts to effectively gather the information they need.

Some objectives of the evaluation are:

• to assess implementation of the system to determine if it provides organizations with a results-focused employee performance evaluation system using relevant and measurable criteria linked to the goals of the Department;
• to assess how well organizations are integrating the performance management system into other management initiatives; and
• to determine if supervisors and employees see the performance management system as a means to ensure communication about job performance and to recognize and reward, as well as evaluate, employee accomplishments.

What methods do they use? The Department is using several methods to evaluate its performance management system:

• Surveys. Surveys are distributed by electronic email to representative samples of human resources specialists, managers, supervisors, and employees. Respondents are able to return the survey anonymously. The survey is also available on the DOT web site.
• On-site visits. A three-member team conducted 1-day on-site visits to all organizations that had been under the performance management system for at least a year. The on-site visit included:
  • a review of employee performance plans to determine if the plans are results-focused and link to organizational outcomes;
  • focus groups and/or individual interviews with human resources directors and staff, managers, and supervisors to determine how well the performance management system is operating and whether it is achieving the desired outcomes.

What questions do they ask? Survey questions for supervisors and employees include:

• Did you and your supervisor discuss your performance expectations and outcomes (results) to be achieved?
• Do you understand how your performance expectations and outcomes support the organization's goals?
• To what extent did the system affect the amount and quality of communication between you and your supervisor?
• Do you believe the performance management system allows employees to be recognized and rewarded for their performance?

What are the results and lessons learned? DOT has completed part one of its evaluation, which focused on the system's development and implementation. Findings were:

• employee involvement in system design teams, focus groups, and surveys resulted in a better product and eased the way for acceptance and implementation;
• partnering with unions produced excellent results;
• the system has improved feedback and communication among managers, supervisors, employees, and human resources offices; and
• the performance management system provides the necessary flexibility to allow organizations to design appraisal and awards programs that reflect their organizational culture.

How can I get more information? You may contact Robert Stokes at 202-366-9443 for information about DOT's evaluation plan.