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Overview of SES Performance Plan

Updated

This overview presents a detailed breakdown of the SES Performance Plan, explaining the purpose and use of each field. 

Navigation Bar and Plan Menu

The light blue bar allows Rating Officials, Admins, and other users officials to navigate between executives to create plans. To navigate from one executive plan to the next, select the next executive plan to create from the drop down at the top of the navigation bar and click Create Selected Plan.  This bar will disappear after Part 1. Consultation is signed. 

  • Consultation: Begins the performance plan process; establishes expectations between supervisor and SES. Documents signatures of SES, rating official, and if applicable, reviewing official. 
  • Progress Review: Documents interim performance discussions and signature during the cycle. 
  • Rating: Used to record the final performance evaluation at the end of the cycle.
  • Formula: Displays or calculates how element ratings contribute to the overall rating.
  • Critical Elements: Lists the performance elements that define success for the position.
  • Narratives: Provides space for written explanations and supporting documentation for ratings.
  • Documents: Stores supporting files related to performance discussions or appraisals.
  • Notes: Allows informal notes throughout the performance period.
  • Signature History: Tracks all required electronic signatures and plan history for plan stages.
  • Save: Saves all updates and progress in the system.
  • Print: Generates a printable or PDF version of the performance plan.
  • Profile: Links to the user profile details within the system.

Import from Previous Plan 

  • This option will only appear if the executive had a performance plan in USA Performance the previous performance management cycle. Selecting Yes will copy the Critical Element 5 performance requirements from the executive’s most recent plan.

Part 1. Consultation

  • Eligible for eOPF: Checkbox indicating whether this finalized plan should be sent to the employee’s electronic Official Personnel Folder (eOPF) for recordkeeping.
  • Plan Status: Dropdown menu showing the current status of the plan. 
  • Appraisal Pd. (Appraisal Period): Specifies the official start and end dates of the performance cycle. In the example: 10/1/2025 – 9/30/2026 marks the one-year rating period for the annual performance plan.
  • Plan Purpose: Indicates the type of performance plan being created — typically Annual (for the standard appraisal year), though other options may include Initial or Temporary.
  • Executive's Name: Field for the name of the executive covered by the plan.
  • Executive's Signature and Date: Digital signature block for the employee to sign, confirming they have reviewed and discussed the plan with their rating official and date stamp. The blue Sign button will appear once the rating official, and if appliable the reviewing official, signs the plan. 
  • Title: Automatically displays the executive’s position title (e.g., “Executive,” “Deputy Director,” etc.).
  • Organization: Shows the organizational unit or office within which the executive's works — e.g., “Office of General Counsel.”
  • CA / NC / LT/LE / N/A: Checkbox options identifying the type of plan: 
    • CA: Career Appointee 
    • NC: Non-Career 
    • LT/LE: Limited Term / Limited Emergency 
    • N/A: Not Applicable (default for non-SES employees or when other designations don’t apply).
  • Rating Official's Name: Field for the supervisor or rating official’s name who is responsible for evaluating the executive’s performance.
  • Rating Official's Signature and Date: Digital signature field for the rating official to sign, confirming the plan has been discussed with the executive and approved for the rating period and date stamp. The blue Sign button will appear to initiate the signature process. 

Part 2. Quarterly Progress Review

Part 2. Quarterly Progress Reviews section will appear or unlock once the Part 1. Consultation is signed and completed by the SES and rating official. 

The following fields are displayed within Part 2: 

  • Progress Review 1 / 2 / 3 / 4: Each labeled section represents one of the four quarterly progress reviews required or encouraged by the agency’s performance management system. These ensure continuous dialogue about performance expectations and results.
  • Executive’s Signature: Electronic signature of the Executive (employee) confirming that the quarterly review discussion took place and that the content of the review was acknowledged. The blue Sign button will appear to initiate the signature process once the rating official signs. 
  • Q1 / Q2 / Q3 / Q4 Date (next to Executive’s Signature): The date the Executive signs for that quarter’s progress review, documenting when the meeting occurred.
  • Rating Official’s Signature: Electronic signature of the Rating Official (supervisor) confirming that the quarterly progress discussion with the Executive was completed. The blue Sign button will appear to initiate the signature process. 
  • Q1 / Q2 / Q3 / Q4 Date (next to Rating Official’s Signature): The date the Rating Official signs to confirm completion of that quarter’s review. Serves as an official timestamp for compliance tracking.
  • Reviewing Official’s Signature (Optional): Optional signature field for the Reviewing Official (often the Rating Official’s supervisor or higher-level reviewer). Used when agency policy requires oversight or acknowledgment of progress review discussions.
  • Q1 / Q2 / Q3 / Q4 Date (next to Reviewing Official’s Signature): The date the Reviewing Official, if applicable, signs off on the quarterly review. Used to document senior-level acknowledgment of the progress review.
  • Progress Review Notes (Blue Button): Opens a text entry area where the Rating Official can record narrative notes summarizing the quarterly progress discussion and/or Executive review the notes provided by the Rating Official. These notes typically include performance highlights, challenges, adjustments to goals, and developmental feedback.
  • Advance Plan to Rating (Blue Button): Administrative action button that allows the HR administrator to move the performance plan forward to the next stage (the Rating phase) once all progress reviews and signatures are complete. This typically locks the quarterly review sections from further editing.

Part 3. Summary Rating

Here are the fields displayed within Part 3: 

  • Initial Summary Rating: Indicates that this section captures the rating official’s initial overall rating based on the results of all critical elements and the supporting narrative. This rating is subject to further review and approval.
  • Rating Level Checkboxes (Levels 1–5): The rating official's initial overall rating level. 
  • Rating Official’s Name: Identifies the supervisor or rating official responsible for evaluating the executive’s performance and assigning the initial summary rating. The blue Sign button will appear to initiate the signature process. 
  • Date (next to Rating Official’s Signature): Date the Rating Official signs and finalizes the initial summary rating. Serves as the formal start of the review process.
  • Executive’s Signature: Signature of the executive acknowledging receipt and discussion of the rating. This does not imply agreement with the rating — only confirmation of review. The blue Sign button will appear after the rating official and/or reviewing official's signs. 
  • Date (next to Executive’s Signature): The date the executive signs, confirming discussion of the summary rating.
  • Reviewing Official’s Signature (Optional): Signature of the reviewing official, if required by agency policy, providing concurrence or oversight of the initial rating before PRB review. The blue Sign button after the Rating Official signs. 
  • Date (next to Reviewing Official’s Signature): The date the reviewing official, if applicable, signs the initial summary rating form.
  • Request a Higher-Level Review (Checkbox): Checked when the executive formally requests a review of the initial rating by a higher-level official, as permitted under 5 CFR 430.308(b).
  • Executive’s Initials: The executive initials here to confirm the request for a higher-level review. Serves as official documentation of the appeal.
  • Date (next to Request): The date the request for a higher-level review is made.
  • Higher Level Review Completed (Checkbox): Checked once the higher-level review has been conducted and concluded. Indicates the process is complete.
  • Date (next to Completed): The date the higher-level review was finalized.
  • Higher Level Reviewer Signature: Signature of the higher-level reviewer, typically a senior executive or official outside the supervisory chain, who independently reviews the case and issues recommendations. The blue Sign button will appear if the executive requests an HLR. 
  • PRB Chair Signature: Signature of the Performance Review Board (PRB) Chair or authorized member. The PRB reviews the Rating Official’s recommended rating, validates consistency across executives, and recommends a final rating to the appointing authority. The blue Sign button will appear after the HLR signs, if requested, or after the executive. 
  • Date (next to PRB Chair Signature): Date the PRB Chair signs and transmits the recommendation.
  • Rating Level Checkboxes (Levels 1–5): The PRB’s recommended rating level, which may concur or differ from the Rating Official’s initial summary rating. PRB recommendations ensure fairness and consistency across the agency’s SES performance ratings.
  • Appointing Authority Signature: Signature of the Appointing Authority (often the agency head or delegated official). This signature finalizes the official summary rating of record for the executive and completes the performance appraisal cycle. The blue Sign button will appear after the PRB chair signs the plan. 
  • Date (next to Appointing Authority Signature): The date the Appointing Authority signs and approves the final summary rating. This becomes the official rating of record entered into the executive’s personnel file.
  • Rating Level Checkboxes (Levels 1–5): Reflect the Appointing Authority’s final decision on the rating level, which becomes the official annual summary rating and may affect performance bonuses or pay adjustments.

Part 4: Derivation Formula and Calculation of Annual Summary Rating

This section automatically calculates the Annual Summary Rating using OPM’s five mandatory SES Critical Elements and their weights. It converts each rating to a numeric score, sums them, and determines the overall performance level (1–5) per OPM standards.

Part 5. Performance Standards and Critical Elements 

Critical Elements 1 - 4

For each critical element 1- 4, the following will display: 

  • Weight: Displays or allows entry of the percentage value assigned to this element in the overall performance plan.
  • Performance Standards: The descriptive texts providing the government-wide standards established by the Office of Personnel Management (OPM) for the SES appraisal plan. 
  • Agency-Specific Performance Requirements: Agencies may add mission-specific or technical performance requirements to reflect unique strategic priorities.
  • Rating Official Narrative (Official): Provides the written justification supporting the rating assigned for each element and for the overall summary rating.

Critical Element 5

Critical Element 5 requires a minimum of three mandatory Performance Requirements. Each Performance Requirement under Critical Element 5 must be aligned with at least one strategic alignment. 

  • Weight: Displays or allows entry of the percentage value assigned to this element in the overall performance plan.
  • Performance Standard: The descriptive text explaining the government-wide standard established by the Office of Personnel Management (OPM) for the SES appraisal plan. 
  • Performance Requirement [Number] (Mandatory): A text field where the rating official or executive lists a specific, measurable, and outcome-oriented requirement derived from agency strategic or operational goals. It defines what the executive must achieve.
  • Select a Strategic Goal (Dropdown): Lets users select the exact strategic goal (e.g., Strategic Goal 1: Transform hiring, pay, and benefits). This identifies which goal the performance requirement supports. Agencies typically populate this dropdown based on their approved Strategic Plan or Annual Performance Plan.
  • Add the Page Number: Optional field to enter the page number from the agency’s strategic or performance plan document that corresponds to the selected strategic goal. Helps validate that the performance requirement directly references a documented, measurable outcome.
  • + Add Another Goal (Button): Allows the user to link additional strategic goals to a single performance requirement if it supports multiple objectives.
  • + Add Performance Requirement (Button): Adds an additional performance requirement beyond the mandatory three (optional).
  • Delete (Red Button): Removes the selected performance requirement section. Once signed, performance requirements cannot be deleted without revision authorization.

Critical Element Rating 

The Critical Element Rating feature shows up in the Rating phase after completing Part 2: Quarterly Progress Reviews. It appears below each critical element, where the Rating Official selects a performance level from 1 to 5, indicating how well the executive met the standards—Level 5 (Outstanding) to Level 1 (Unacceptable).

Part 6. Summary Rating Narrative (Mandatory) 

The Summary Rating Narrative is the mandatory official written justification prepared by the Rating Official that explains and supports the executive’s overall summary rating for the appraisal period.

Part 7. Executive's Accomplishment Narrative (Optional) 

The Executive’s Accomplishment Narrative in USA Performance is an optional text field for summarizing key achievements, results, and leadership impact during the appraisal period. Executives can highlight how they met or exceeded performance requirements, advanced agency strategic goals, and demonstrated SES core competencies.

Selecting the “Send to Rating Official” checkbox forwards the completed narrative to the Rating Official for review during the evaluation process. 

Part 8: Agency Use 

The Agency Use field provides a space for agencies to record internal notes, tracking information, or compliance details that support administrative processes but are not part of the official performance rating narrative.

Employee Document

The Employee Document allows employees to attach supporting files or evidence—such as work samples, reports, or accomplishments—to their performance plan or appraisal for review by their supervisor and rating officials. Please see: Add Documents to the Plan  

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