XXXXXXXXXXXXXXXXXX PROGRESS REVIEWS XXXXXXXXXXXXXXXXXXXX
BLUF: Guidance for Rating Officials on Progress Reviews
All Rating Officials are required by law to evaluate performance by assessing performance against the elements and standards in the employee's approved performance plan and assigning a rating of record based on work performed during the appraisal cycle. For your convenience, attached are step-by-step instructions for completing the progress review. The progress review should be completed NLT October 31, 2021.
1) Defense Performance Management Appraisal Program (DPMAP)
The appraisal period is from April 1, 2021 to March 31, 2022 for Bargaining and Non-Bargaining Employees. All eligible employees must receive a performance plan, documented, and entered in the MyPerformance Appraisal Tool, in accordance with DoD Instruction 1400.25, Volume 431, DoD Civilian Personnel Management System: Performance Management and Appraisal Program.
2) Progress Reviews
Progress reviews may only be initiated by Supervisors. Employees must have at least one (1) documented progress review, however, providing additional progress reviews throughout the appraisal cycle is encouraged. Employees are not given a performance narrative or performance element rating on progress reviews. However, supervisors are required to document the date the progress review was conducted for each employee in the electronic MyPerformance appraisal tool. The supervisor and employee should engage in meaningful communications throughout the appraisal cycle to review and convey:
(1) Organizational goals and priorities.
(2) Performance elements and standards, including ensuring the performance plan accurately reflects the work being evaluated.
(3) Supervisor’s expectations.
(4) Employee’s accomplishments and contributions.
(5) Employee’s level of performance, including any areas that need improvement.
(6) Barriers to success.
(7) Employee’s developmental needs and career goals.
3) Performance Concerns
If you believe that an employee is not fully meeting performance expectations (i.e., at this time, you would assess the employee's performance below a Level 3 (Fully Successful) please contact the Labor & Employee Relations (LER) Branch at SMB_HQMC_LER_FIELD_TEAM_QUAN@usmc.mil or Labor & Employee Relations Manager, Ms. Jennifer Ledbetter at (703) 350-5989 or via email at Jennifer.Ledbetter@usmc.mil so that LER may assist you in addressing performance deficiencies.
4) Performance Plans
a. Performance plans are established within 30 calendar days of the beginning of the rating period or initially assigned to the job, the rating official must establish a performance plan. Use of the MyPerformance appraisal tool within DCPDS is mandatory. Performance plans should be consistent with assigned work and the duties covered in the rated employee's position description. To be eligible to receive an appraisal, an employee must have at least 90 calendar days under their current performance plan. The 90-day period begins when the employee is issued the signed performance plan.
b. Without a performance plan in place, a progress review cannot be done. If you are a Rating Official and still have employees who do not have approved performance plans in place, not only are you in violation of USMC, DON, and DOD policy and regulations, you are also in violation of the law and OPM regulation:
***5 U.S. Code §4302 states: "...thereafter at the beginning of each following appraisal period, communicating to each employee the performance standards and the critical elements of the employee’s position". If you have not obtained the employees acknowledgement on their current performance plan, the communication has not been properly documented and you are not in compliance.
***5 CFR § 430.206 9 (b)(2) states: "Performance plans shall be provided to the employees at the beginning of each appraisal period (normally within 30 days)."
***5 CFR § 430.208 states "Rating performance. (a) As soon as practicable after the end of the appraisal period, a written, or otherwise recorded, rating of record shall be given to each employee." Also, "(3) Except as provided in § 430.208(i), a rating of record is final when it is issued to an employee with all appropriate reviews and signatures." Our office noticed that some supervisors failed to issue a rating of record as soon as practicable after the end of the appraisal period for 2021, some plans were never even issued and therefore could not be issued a rating of record for 2021.
***There is a performance standard in Supervisory Performance Plans which indicates the following: effectively monitors employee performance by completing performance management tasks in a timely manner. Ask yourself, are you fully successful in this element?
c. Please log in to MyBiz+ if you are unsure if the plan or appraisal for your employee is currently delinquent. Performance plans should reflect a status of “plan approved” and performance appraisals should reflect a status of “completed”.
5) Employees Who Transfer or Supervisors Who Leave During the Appraisal Cycle
a. If a supervisor leaves the organization, a performance narrative statement is required when an employee has performed under an approved performance plan for 90 calendar days and there are more than 90 calendar days left in the appraisal cycle. This narrative statement will be considered by the incoming supervisor for the purpose of deriving the employee's rating of record.
b. A rating of record is required when an employee has performed under an approved performance plan for 90 calendar days and the employee or supervisor leaves the organization with fewer than 90 calendar days remaining in the appraisal cycle. If circumstances preclude the departing supervisor from carrying out this responsibility, the higher level management official may serve as the rating official, subject to Command policy.
6) Trusted Agent for Rating Officials and Higher Level Reviewers
The authorization of a Trusted Agent allows Rating Officials and Higher Level Reviewers to assign a Trusted Agent to act on their behalf within DPMAP for employees they identify for the purpose of documenting their decisions related to performance management matters. This function is very useful when a Rating Official or Higher Level Reviewer is not able to maintain access to the My Performance Tool. This authorization does not alleviate a Rating Official and Higher Level Reviewer’s performance management responsibilities to continue the hands-on work of monitoring, reviewing and appraising employees on their performance, and the rating official or higher level review retains ownership of the plan. The sole purpose of the trusted agent is to document their decisions in the employee's record.
**BCC: Command HR Liaisons for Reference and Dissemination** (Emailed 13 September 2021)