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Human Resources and Organizational Management

 

Human Resources and Organizational Management

Headquarters Marine Corps

Performance Management
Performance management is the systemic process of engaging employees in establishing performance plans that support organizational and mission goals and objectives; for monitoring and developing employees; for assessing performance, and for rewarding employees for their contributions. 

In the Department of the Navy, there is one appraisal system that applies to General Schedule (GS) and Federal Wage System (FWS) civilians.

The DoD Personnel Management and Appraisal Program (DPMAP) applies to all employees who converted from Interim Performance Management System (IPMS).

DPMAP is a three part unified system that is the single performance management program for all DoD GS and FWG civilians.

Note: The performance management system information contained on this website does not apply to members of the SES, who are covered by the SES Appraisal System.

Guidance for Rating Officials on Performance Reviews – (Suspense: NLT 31 October 2021)

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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)

GUIDANCE FOR RATING OFFICIALS & HIGHER LEVEL REVIEWERS - 2022 DPMAP PERFORMANCE RATING CYCLE

2022 Performance Rating Cycle

The 2022 performance rating cycle for employees up to the GS-15 grade level is from April 1, 2021 to March 31, 2022.  All eligible employees must receive a performance plan, documented, and entered in the Defense Performance Management Appraisal Program (DPMAP), a function of MyBiz+, by Friday, April 30, 2021.  Plans must be established and approved normally within 30 calendar days of the beginning of the appraisal cycle or the employee’s assignment to a new position or set of duties. The supervisor will communicate the performance plan to the employee after it has been approved in accordance with DoD Component procedures. (Ref: DOD INS 1400.25, Vol 431, CH1 dtd 20200701)

 

Step 1. ESTABLISH AND CLEARLY COMMUNICATE STANDARDS OF PERFORMANCE

Normally within 30 days of the beginning of each appraisal cycle, supervisors and employees should discuss performance goals for the upcoming cycle. Supervisors must allow employees the opportunity to provide input into their performance elements and standards. While employees have the opportunity to provide input into their performance plans, supervisors must develop and approve the performance elements and standards. Use of the MyPerformance appraisal tool, a function of MyBiz, is the only automated appraisal tool that has been authorized for use in administering and documenting activities under the DoD Performance Management and Appraisal Program, and MyPerformance generates a completed DD Form 2906, “Department of Defense Performance Plan, Progress Review, and Appraisal.

 

Performance plans are established/reestablished within 30 calendar days after:

1. The beginning of the appraisal cycle; or

2. Employee’s assignment to a new position or set of duties.

 

Performance Elements:

Performance elements describe the expectations related to the work being performed. All performance elements must be critical elements and clearly align with organizational goals. For ratings of record, each ratable element will be assigned a performance element rating. For assistance with alignment of performance elements to organizational goals, supervisors should review organizational plans and may consult with their performance improvement officer, or equivalent, as necessary. The USD (P&R) must approve DoD-wide performance elements for groups of employees, as needed. The two types of performance elements are:

  • Critical Element: Performance plans must have a minimum of one critical performance element, and each element must have associated performance standards that define expectations. A critical element is a work assignment or responsibility of such importance that unacceptable performance on the element would result in a determination that an employee’s overall performance is rated as “Unacceptable.” Critical elements are only used to measure individual performance; supervisors must not establish critical elements for team performance.
  • Supervisory Element: All performance elements related to supervisory duties are critical elements. The number of supervisory performance elements on performance plans for supervisors will equal or exceed the number of non-supervisory (technical) performance elements. The requirement for the number of supervisory performance elements to exceed the number of non-supervisory elements does not apply to employees coded as Supervisor Civil Service Reform Act (CSRA) code “4” in the Defense Civilian Personnel Data System.

 

MANDATORY Elements:

  • Mandatory Supervisory Performance Element: The attached memorandum incorporates the mandatory performance standard for supervisors and managers dealing with whistleblower protections. As you will note in the memorandum, the performance standard has been mandated to cover whistleblower protections.  The other standards in the memorandum should already be included in performance plans as they have been required for the past several years;  however, if they are not in current performance plans, they need to be added.
  • Mandatory Critical Element For Duties Involving Classified Information: In accordance with SECNAV M5510.36, Information Security Program, Dated June 2006, "... the performance rating systems of all DON military and civilian personnel, whose duties significantly involve the creation, handling, or management of classified information, include a critical security element on which to be evaluated."  This has been a requirement since 2006 therefore, this should already be included in performance plans of employees that have duties that significantly involve handling classified information.  Attached are sample standards for your use.

 

Performance STANDARDS:

Performance standards describe how the requirements and expectations provided in the performance elements are to be evaluated. Performance standards must be provided for each performance element in the performance plan and must be written at the “Fully Successful” level. The standards should include specific, measurable, achievable, relevant, and timely (SMART) criteria, which provide the framework for developing effective results and expectations. SMART standards objectively express how well an employee must perform his or her job to achieve performance at the “Fully Successful” level by providing standards that are:

  1. Specific. Goals are sufficiently detailed in describing what needs to be accomplished.
  2. Measurable. The accomplishment of the performance element is clear and can be quantified or substantiated using objective criteria.
  3. Achievable. Goals are realistic, yet challenging and can be accomplished with the resources, personnel, and time available.
  4. Relevant. The critical element aligns with or links to organizational mission and success.
  5. Timely. Goals will be completed within a realistic timeframe.

 

Step 2. DEVELOPING AND COMMUNICATING PERFORMANCE EXPECTATIONS

Written performance plans must be developed and approved by supervisors, clearly communicated to employees, and acknowledged by employees.

  • Normally within 30 days of the beginning of each appraisal cycle, supervisors and employees should discuss performance goals for the upcoming cycle. Supervisors must allow employees the opportunity to provide input into their performance elements and standards. While employees have the opportunity to provide input into their performance plans, supervisors must develop and approve the performance elements and standards.
  • Supervisors must communicate each approved performance plan and how the performance expectations link to any organizational goals with their employees. This also provides an opportunity for the supervisor and employee to achieve a common understanding of the performance required for mission success.
  • The date of the meeting or communication will be documented in the MyPerformance appraisal tool or on the DD Form 2906 and acknowledged by the employee.

 

Step 3. MONITORING PERFORMANCE

Monitoring performance consists of ongoing assessment of performance compared to the stated expectations and ongoing feedback to employees on their progress toward reaching their goals.

  • Continuous Monitoring of Performance. By monitoring performance throughout the appraisal cycle, supervisors can provide timely feedback on meeting expectations and identify unacceptable performance during the appraisal cycle in order to provide assistance to improve performance, rather than waiting until the end of the cycle when a rating of record is assigned. Additionally, while monitoring performance, supervisors may identify an employee’s need for training or developmental opportunities in order to enhance the knowledge, skills, or abilities related to the employee’s job performance in his or her current position.
  • Performance Discussions. The supervisor and employee will discuss the employee’s work performance and its link to organizational effectiveness. The discussions may consist of verbal feedback sessions, regular one-on-one meetings, or impromptu recognition or acknowledgement of performance. Supervisors or employees may initiate performance discussions at any time during the appraisal cycle to foster ongoing engagement and understanding. Performance discussions help ensure that the performance plans accurately reflect the work being evaluated. Effective communications include ongoing, constructive feedback to contribute to overall employee and organizational success.

**BCC: Command HR Liaisons for Reference and Dissemination** (Emailed 27 April 2021)

LER On-Demand Virtual Trainings via milBook
LER On-Demand Virtual Trainings via milBook

The Office of Labor and Employee Relations (LER) presents trainings in support of our ongoing effort to bring relevant and reliable developmental opportunities to our customers.  Our live training sessions are recorded and made available on milBook.  This platform is a part of milSuite, which provides a collection of social business tools for Department of Defense (DoD) personnel.  Users access the milBook site with a Common Access Card (CAC) to watch recorded training videos on their government laptop anytime and anywhere, meaning users can take control of their own learning at a time and place that suits them.  Please, visit our milBook page to take advantage of these training opportunities:

Important Documents and Forms
 DEFENSE PERFORMANCE MANAGEMENT & APPRAISAL PROGRAM (DPMAP) FOR NON-BARGAINING (10/01/17) AND BARGAINING UNIT (4/1/18) EMPLOYEES
DON DPMAP POLICY MEMO DTD 28MAR2017
DOD I 1400.25 Vol 431 DPMAP as of 20 Oct 2020
DEFENSE PERFORMANCE MANAGEMENT AND APPRAISAL PROGRAM
DPMAP TOP 10 THINGS YOU NEED TO KNOW
DON Guidance Assigning Unacceptable Ratings 3 Jul 2019
 DPMAP TOOLS & GUIDES
MY PERFORMANCE TOOL GUIDE FOR MANAGERS AND SUPERVISORS
MY PERFORMANCE TOOL GUIDE FOR EMPLOYEES
DPMAP GUIDE FOR SUPERVISORS
DCHR MEMO 7-26-19 MANDATORY STANDARDS
New Beginnings DPMAP Supervisory Elements - May 2016
DON Recommended Supervisory Critical Element
Classified Critical Elements
RATINE OFFICIAL GUIDANCE 2-24-21
DPMAP GUIDE FOR EMPLOYEES
Employee Self-Assessment Narrative Quick Guide
Fact Sheet – Writing Appraisals
Fact Sheet – Progress Reviews

Performance Management

Appraisals

Did you know that:

  • Appraisals are the basis for granting or denying within grade pay increases.
  • Appraisals are used to determine annual performance based awards.
  • Appraisals are intended to develop competencies and encourage employess to perform at their full potential.