Defense Personnel Management Appraisal Program Executive Level... · •Result of a collaborative...

ARMY MEDICINE One Team…One Purpose! Conserving the Fighting Strength Since 1775

Defense Personnel Management

Appraisal Program

Executive Level Training

SECURITY CLASSIFICATION FOUO

24 April 2017

Mr. Oscar E. Bocanegra / [email protected] / DSN 471-8899 19-Jan-18 Slide 2 of 32


Purpose and Outline

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Purpose: Provide training on the new Defense Performance

Management and Appraisal Program (DPMAP)

Outline:

1. DPMAP Implementation

2. MEDCOM Timeline

3. DPMAP Highlights

4. TAPES vs. DPMAP

5. Senior Leader Role

6. Rating Official Role

7. Higher Level Reviewer Role

8. Performance Management Cycle

9. Performance Planning (Elements and SMART Standards)

10. Performance Monitoring and Counseling Sessions

11. Evaluating Performance (Assigning ratings based on benchmarks)

12. Recognizing and Rewarding Performance

13. Performance Management Link to Other Personnel Actions

14. Addressing Unacceptable Performance

15. Resources



• MEDCOM transitions from the Total Army Performance Evaluation

System (TAPES) to DPMAP on 1 Nov 2017

• DoD and Army Expectations:

– Commands will conduct a two-day DPMAP training course

– Mixed Employee/Supervisor/Senior Leader training audience

– Majority of employees rated a Level 3 Rating (Fully Successful)

• MEDCOM Plan:

– One-day abbreviated training course for employees/supervisors

– Activity HR personnel trained as DPMAP Trainers

• Responsible for conducting DPMAP training through implementation

• Expectation Management:

– Few changes of great significance in the new system

– CPAC support limited to assistance with training registration in CHRTAS

DPMAP Implementation

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Supervisors issue employee

an approved DPMAP

performance plan

Phase II: Complete 100% mandatory face to face training for all staff

NLT 1 Dec 16

NLT 1 Dec 16 Complete DPMAP training schedules (identify resources, facilities, funds for TDY, etc.)

NLT 21 Nov 16 Phase I: Identify trainers for DPMAP training, send list of trainers by location to CHRD

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NLT 1 Feb 17

MEDCOM Timeline

1 Apr 17

2 Jan - 1 Jul 17

Close out of legacy system

Phase III: Implement DPMAP for West Point employees

1 Nov 17

Supervisor/Manager coding in DCPDS is reviewed and corrected

NLT 1 Jul 17 Submit certification of mandatory training to CHRD

(Annex D)

1 Dec 17

NLT 21 Nov 16 Complete union notification IAW local CBA requirements

1 Oct 17

31 Mar 18 End of 1st DPMAP rating cycle

Begin DPMAP town hall meetings

Submit Labor Relations Status Report to CHRD (Annex C)

NLT 1 May 17 Supervisors issue (West Point) employee an approved

DPMAP performance plan

Phase IV: Implement DPMAP for

remaining MEDCOM employees

2 Jan-NLT 15th of each

month until complete

Major Milestones

LEGEND

Local Actions

Actions due to

MEDCOM CHRD

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1 June 18 Effective date of 1st

DPMAP rating

MEDCOM OPRORD 17-11

(DPMAP Implementation)

Issued 6NOV16



• Result of a collaborative DoD labor-management initiative to develop a

fair, credible, transparent performance management system required by

the repeal of the National Security Personnel System through NDAA

2010

• DPMAP Principle: Fair, Credible, and Transparent:

– Focus on employee engagement, development, performance, and

accountability

• Key Features:

– One rating cycle (1 Apr – 31 Mar)

– 90-day minimum performance period

– Three level rating pattern:

• Level 5 (Outstanding)

• Level 3 (Fully Satisfactory)

• Level 1 (Unacceptable)

– Minimum of three documented performance discussions

– Automated appraisal tool – MyPerformance

– Continuous recognition and awards

DPMAP Highlights

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• Provides a framework for supervisors and managers to communicate

expectations and job performance

• Links individual employee performance and organizational goals

• Facilitates a fair and meaningful assessment of employee performance

• Establishes a systematic process for planning, monitoring, evaluating,

and recognizing and rewarding employee performance that contributes to

mission success

• Nurtures a high-performance culture that promotes meaningful and

ongoing dialogue between employees and supervisors and holds both

accountable for performance

• Supports and is consistent with merit system principles in Title 5, U.S.C,

Section 2301

DPMAP Highlights Cont.

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TAPES vs. DPMAP

TAPES (Current System) • Performance objectives

• 3 performance counselings

• Initial counseling

• Midpoint counseling

• Appraisal counseling

• Senior Rater approves ratings

• Rating reconsideration via Admin or

Negotiated Grievance Procedure

• SMART objectives not required

• Many performance cycles

• Appraisal effective dates vary

• 5 Tier Rating scale 1 (top) to 5 (bottom)

• Rating level assigned to each objective

• 120 day minimum rating period

• Hard copy DA forms

DPMAP (New System) • Performance elements

• 3 performance discussions

• Initial performance discussion

• Progress review

• Performance appraisal discussion

• Higher Level Reviewer approves ratings

• Rating reconsideration via Admin or

Negotiated Grievance Procedure

• SMART performance elements required

• One cycle (1 Apr – 31 Mar)

• Appraisal effective date is 1 Jun

• 3 Tier Rating scale 5 (top) to 1 (bottom)

• Performance narrative rating

• 90 day minimum rating period

• Automated MyBiz PAA Tool

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What Changes and Doesn’t Change

Do

esn

’t C

han

ge

C

ha

ng

es



• DPMAP Champion

• Lead cultural change

• Build trust and transparency

• Address concerns in a timely manner

• Develop communication strategy:

– Town halls, newsletters, websites, email

– Public Affairs Office – Newsfeeds

• Ensure workforce and supervisors attend mandatory DPMAP training

• Complete bargaining obligations prior to transition

• Develop and publish a plan for close-out ratings

• Ensure organization is ready to transition to DPMAP

• Ensure mission goals/objectives are aligned with DoD/Army/TSG vision

• Successfully implement and sustain DPMAP

Senior Leader Role

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First-line Supervisor

• Attend mandatory face-to-face DPMAP training

• Ensure employees attend mandatory face-to-face DPMAP training

• Prepare employees for transition

• Share DPMAP information with employees

• Support organization communication strategy

• Support and explain cultural changes

• Complete TAPES rating prior to employee transition to DPMAP

• Address employee concerns in a timely manner


Rating Official Role

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• Develop timely performance plans and document in MyPerformance tool:

– Engage employees in the development of performance plan

– Ensure DoD and Army Core Values are annotated on performance plans

– Provide feedback to employees throughout the rating cycle

– Conduct a minimum of three formal documented performance review

discussions during the appraisal cycle

• Identify performance deficiencies and assist employee in performance

improvement efforts

• Recognize and reward performance throughout the appraisal cycle

• Complete mandatory supervisory training

Rating Official Role Cont

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Formerly “Senior Rater” role under TAPES

Use of Higher Level Reviewer required

• Attend mandatory face-to-face DPMAP training

• Ensure appropriate performance elements are developed

• Inform employees of DoD and Army Core Values

• Inform employees of the mission statement and goals

• Ensure all employees and supervisors complete mandatory DPMAP

training


• Support and explain cultural changes

Higher Level Reviewer Role

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Performance Management

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1

4

3 2



Performance Planning

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• Performance Plan:

– Written plan required within 30 calendar days of the new rating cycle or

employee’s assignment to new position of set of duties

– Must consist of a minimum of 1 and no more than 10 performance elements

• Performance Elements:

– Describe the work to be performed (objectives)

– Supervisory employees: number of supervisory elements

must equal or exceed non-supervisory objectives

– Must contain performance standards

• Performance Standards:

– Describe how the requirements and expectations provided in

the performance elements are to be evaluated

– Must be written using SMART criteria (critical component)

– Must be written at “Fully Successful” level for each performance element



Writing SMART Standards

Specific: Goals are sufficiently detailed in describing

what needs to be done S • Defined as specific behaviors, efficiencies,

or results

• Stated in active voice with one action verb

• Stated as simply, concisely, and explicitly

as possible

Example: Type written communications for the

division.

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Writing SMART Standards (Cont)

Measurable: The accomplishment of the performance

element is clear and can be quantified or substantiated

using objective criteria. M

Should be able to

• Evaluate objectively

• Identify criteria for success and failure

• Provide a number or percent that can be tracked

• Outcome-oriented, reflecting the most important

aspects of performance

Example: Type written communications for the division

with less than 3 errors per page.

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Achievable: Goals are realistic, yet challenging and

can be accomplished with the resources, personnel,

and time available.

A

Should be

• Realistic requirements

• An appropriate amount of work/responsibility

• Feasible according to the employee’s

competencies and the organization’s resources

Example: Type written communications for the

division according to the unit’s established

guidelines with no more than than 3 errors per page.

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Writing SMART Objectives (Cont)

Relevant: the standard is important to the employee

and the organization. R

Should be:

• Consistent with the employee’s role in the

workplace

• Aligned with the employee’s skills, knowledge, and

ability needed to reach fully successful

• Made clear to employee that task is important to

success of the organization

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Timely: Goals will be completed within a realistic

timeframe. T

Should be

• Stated when task should be completed

• Expressed as a clear and unambiguous

timeframe

• Plausible according to average workload

Example: Type written communications for the division

according to the unit’s established guidelines, with no

more than 3 errors per page and no less than 80%

completed on time.

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Sample Elements w/SMART Stds

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Performance Plan Checklist

Is the Fully Successful

performance level clearly understood by supervisor and

employee?

Are the standards achievable?

Are the standards fair?

Are the standards applicable?

Will employees understand what is

required?

Are the performance elements and

standards adjustable?

Can the “Fully Successful” level be

surpassed?

When developing a performance plan, ask:

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Revising the Performance Plan

A change to the Performance Plan may

be needed when: Minimum 90

calendar days

for:

• Monitoring of

approved

performance plans

• Employee

performance of

new performance

standards

There are new organizational goals

There is a change in assignment(s), position, or duties

There are new priorities

There are shifts or changes in mission

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Performance Monitoring

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• Monitoring Performance (Feedback):

– Performance discussions throughout the rating cycle

– Progress reviews (minimum of 1 required; typically at midpoint)

PERFORMANCE

FEEDBACK

Formal

and

Informal

Timely

Frequent

Meaningful

Two-Way



1. Clearly communicate

what acceptable performance

looks like

2. Conduct the counseling

session in an appropriate

setting

3. Plan for enough time

and document the session

4. Make sure the employee

understands performance expectations

5. Focus on the

performance issues

6. Leave emotions out

of the conversation

7. Seek cooperation,

NOT confrontation

8. The mutual goal is to

improve the employee's

performance

Tips for Effective Counseling

Sessions

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Evaluating Performance

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• Supervisor assesses employee performance against approved

performance plan elements and SMART standards, assigning a rating for

each element based on supervisor’s Performance Rating Benchmarks

• Documented in MyPerformance appraisal tool

• Employee input encouraged (significant contributions), but not mandatory

• Sample Performance Rating Benchmarks:



Evaluating Performance

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• Performance narrative:

– Required for each element rated “Outstanding” or “Unacceptable”

– Highly encouraged for elements rated “Fully Successful”

– Justifies determination of an employee’s rating level

• Supervisor assigns each performance element a rating of 5 - Outstanding;

3 – Fully Successful; or 1 – Unacceptable

• Individual performance element ratings averaged to calculate the overall

rating of record:

Example: Individual Performance

Element Rating Level

Element #1 3

Element #2 3

Element #3 3

Element #4 5

Total 14/4 elements = 3.5

Overall Rating of Record = Level 3 – Fully Successful

Rating

Definitions

on next slide



Overall Rating Definitions

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Overall Rating Definitions

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• DoD/Army expectation: Majority of Army employees will be assigned a

Level 3 – Fully Satisfactory overall rating

• Supervisors must consistently measure employee performance against

performance elements and standards

• Title 5 Code of Federal Regulations, 430.208(c) prohibits forced

distribution of rating levels for Federal employees



Recognizing and Rewarding

Performance

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• Providing incentives to and recognition of employees for individual and

team achievement and for their contributions to the organization’s mission

• Strengthens the performance culture and influences employee

engagement by using recognition throughout the appraisal rating cycle



Performance Management Link

to Other Personnel Actions

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• Employee performance may impact other personnel actions:

– Promotion to Position’s Full Performance Level (Developmental/Targeted Posn)

• Employee must be performing at the “Fully Successful” level to be eligible for

promotion to the position’s intervening or full performance grade

– Within Grade Increase (WGI):

• Employee must be performing at the “Fully Successful” level or higher (with a rating of

record of “3” or above) to receive a WGI

– Quality Step Increase (QSI):

• Recognizes excellence in performance

• Requires a Level 5 (Outstanding) rating

– Change to Lower Grade/Removal/Reassignment based on unacceptable

performance:

• Employees who fail to demonstrate performance at the “Fully Successful” level may

be reduced in grade or removed from federal service

• The employee may also be subject to reassignment

• Additional information provided in the next slide

– Performance-Based Awards

• Employees with less than “Fully Successful” are not eligible for award



• Less than “Fully Successful” performance at any time during rating cycle

requires the supervisor to take action:

– Consult with the servicing CPAC HR Specialist to determine appropriate action

• Requires employee notice of performance deficiencies

• Supervisor must provide assistance designed to help the employee

improve his or her performance during an opportunity period to

demonstrate acceptable performance

• Supervisor must identify in writing:

– Element(s) in which performance is unacceptable, including description of

unacceptable performance

– The standard the employee must attain to demonstrate “Fully Successful”

performance

– The time allowed for the opportunity to improve

– Statement of possible consequences of failure to raise performance to the “Fully

Successful” level during the opportunity period

• Employees who fail to demonstrate performance at the “Fully Successful”

level may be reduced in grade or removed from federal service

Addressing Unacceptable

Performance

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• DoDI 1400.25, Volume 431, DoD Civilian Personnel Management

System: Performance Management and Appraisal Program:

http://www.dtic.mil/whs/directives/corres/pdf/140025_vol431.pdf

• Department of Defense Civilian Personnel Advisory Service DPMAP

information: https://www.cpms.osd.mil/Subpage/NewBeginnings/DPMAP/

• MEDCOM Civilian Human Resources Directorate SharePoint DPMAP

information:

https://mitc.amedd.army.mil/sites/G1/MEDCOM_G1_CHRD/DPMAP/Site

Pages/Home.aspx

Resources

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https://www.cpms.osd.mil/Subpage/NewBeginnings/DPMAP/



https://mitc.amedd.army.mil/sites/G1/MEDCOM_G1_CHRD/DPMAP/SitePages/Home.aspx





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