1. Supervisors’ Introduction to the DoD Performance Management and Appraisal Program (DPMAP)
Instruction: Welcome to the introduction to the DoD Performance Management and Appraisal Program or DPMAP.
Instructor Notes: Display the course title slide as participants arrive for training each morning.
Welcome participants as they arrive for the class.
Give them their name tents and name tags.
Thank them for coming.
Check their names on the class roster, ensure that all of their data on the roster is correct, and that supervisors/managers versus employees are assigned to the appropriate training.
LER DPMAP MAR2017

2. Fair – Credible – Transparent
Instructor Notes: These words represent the key messages that embody what is most important about New Beginnings - Performance, Mission, Communication, Excellence, etc.
Display the New Beginnings slide at the beginning of each instructional day and during breaks.
Fair – Credible – Transparent

3. DoD Performance Management Process
Performance management is:
Planning work and setting expectations
Monitoring performance continually
Evaluating performance in a summary fashion
Recognizing and rewarding good performance
Transition Message: Let’s talk now about the performance management process.
Instruction:
DPMAP is designed to actively encourage two-way communication between the supervisor and the employee throughout the performance appraisal cycle.
What hasn’t changed: Shared responsibility for planning performance; continual communication is critical; and rating employee performance against elements and standards.
goal for both supervisors and employees should be “no surprises” at the end of the performance appraisal cycle.
trying to de-emphasize the traditional final performance appraisal discussion as a capstone event, NOT ABOUT THE 365th DAY, and instead emphasize a new culture of continuous communication.
Supervisors are encouraged to use non-monetary awards, especially when funds for monetary awards are limited and restricted.
Fair – Credible – Transparent

4. Fair – Credible – Transparent
DoD Core Values
Duty
Courage
Honor
Ethics
Integrity
Loyalty
TECHNICAL
KNOWLEDGE
PROFESSIONALISM
LEADERSHIP
Transition Message: Let’s look at DoD core values.
Instruction: The DoD Core Values, which form the foundation of the DoD performance culture are: leadership, professionalism, and technical knowledge through dedication to duty, integrity, ethics, honor, courage, and loyalty.
Fair – Credible – Transparent

5. Key Performance Management Features
Performance Appraisal Cycle
April 01
through
March 31
Minimum of
THREE
Performance Discussions are
Required
BUT MORE RECOMMENDED
Three-Level Rating Pattern
Transition Message: Let’s review key features of DPMAP.
Instruction:
NEW appraisal cycle runs from April 1 through March 31 of the following calendar year, and the rating of record is effective June 1.
minimum of three formal documented performance discussions is required during the performance appraisal cycle, but more are strongly encouraged.
strong emphasis in DPMAP on continual feedback throughout the cycle.
DPMAP is characterized by a NEW three-level rating pattern, (5) Outstanding, (3) Fully Successful, and (1) Unacceptable.
Instructor Notes: Please refer to your HROM LER Advisor for information on additional discussions that may be required by the CMLA.
Outstanding (5)
Fully Successful (3)
Unacceptable (1)
Fair – Credible – Transparent

6. Key Performance Management Features
Continuous Recognition and Rewards
Fosters Cultural and Attitudinal Change
Automated Performance Appraisal Tool
Transition Message: Other features of the program are:
Continuous recognition and rewards;
Fostering of cultural and attitudinal change; and
Automated performance appraisal tool (My Performance Tool).
Instruction:
key theme = recognizing and rewarding employees does not only happen at the end of the cycle; it should happen throughout the performance appraisal cycle. We’ll talk more about incentives later today.
DPMAP focuses on fostering cultural and attitudinal changes regarding performance management. Link organizational mission and the performance elements.
DPMAP implements DoD’s automated performance appraisal tool, MyPerformance (DCPDS/MyBIZ).
Interactivity: Ask: Are there any questions about these program features?
Fair – Credible – Transparent

7. What Is Employee Engagement?
U.S. Merit System Protection Board research identified six themes important to Federal employees. They are:
1. Pride in one’s work or workplace
4. Satisfaction with leadership
2. Opportunity to perform well at work
5. Satisfaction with the recognition received
3. Prospect for future personal and professional growth
6. A positive work environment with a focus on teamwork
A heightened connection among employees, their work, their organizations, and the people with whom they work, including supervisors
Transition Message: So let’s further define what is employee engagement is.
Instruction:In contrast, disengaged employees do not commit enough attention and effort to perform at their best. In addition to lower levels of performance, the results of low employee engagement can include high turnover, grievances, Equal Employment Opportunity (EEO) complaints, disciplinary actions, performance-based adverse actions, absenteeism, negative attitudes, and low morale.
Employee engagement is the foundation of DPMAP. The DoD culture of high performance is one that fosters employee engagement and personal accountability in maintaining high performance.
Interactivity: Ask participants to consider the question: Are you an engaged employee? What about your co-workers/supervisors/direct reports? They don’t have to answer out loud, but should consider this question throughout the lesson.
MSPB Source: The Power of Federal Employee Engagement by the U.S. Merit Systems Protection Board
Performance Management is a COLLABORATIVE EFFORT
Between Supervisors and Employees

8. Employee Engagement and High-Performance Environments
COLLABORATIVE
DIRECTIVE
Two-way
Supervisors provide instruction, but employees are encouraged to provide feedback
Upward feedback
Top-down thinking
Supervisors provide instruction, employees carry out the task
HIGH-
PERFORMANCE
ENVIRONMENT
Transition Message: Employee engagement is the foundation for a high-performing work environment. What do I mean when I say a “high-performing work environment”?
Instruction:
high-performing work environment is a place where success and achievement are a priority.
This kind of organization fosters personal accountability.
Generally speaking, there are two types of high-performance environments: directive and collaborative. Directive high performance is based upon supervisors giving instructions and employees carrying them out effectively. Collaborative high performance goes in both directions—the supervisors provide instructions and manage their employees while employees provide feedback (often known as “upward feedback”).
Both types have their use in the workplace.
Ask: By a show of hands, how many people work in a directive environment?
Ask: Now, by a show of hands, how many people work in a collaborative environment?
Instructor Notes: Emphasize how a collaborative approach is more sustainable over the long term.
Performance Management is a COLLABORATIVE EFFORT
Between Supervisors and Employees

9. Video – Greatness Performance Management is a COLLABORATIVE EFFORT
Transition Message: Let’s watch this video titled “Greatness.”
What does employee engagement look like? How do we get there?
Performance Management is a COLLABORATIVE EFFORT
Between Supervisors and Employees

10. Supervisor-Employee Engagement
DoD core values
Organizational goals
Work assignments and accountability
Time, resources, and changing mission requirements
Career goals and interests
Focus on performance planning
Skill development and learning opportunities
Supervisors and employees should
MEET FREQUENTLY
to discuss:
Transition Message: Employee engagement is the foundation of DPMAP. Supervisor-employee engagement is key to a high-performance work environment.
For employees to be engaged, they must be able to communicate openly with their supervisors.
provides opportunity to actively engage in frequent communication between employee and supervisor about accomplishments, current work, and future goals.
Both have a responsibility of continuous, meaningful two-way discussions related to current performance and progress in meeting performance goals.
Performance Management is a COLLABORATIVE EFFORT
Between Supervisors and Employees

11. Planning Phase Planning Performance
Effective performance planning is a result of employee and supervisor engagement that provides opportunity for employee input in establishing ongoing communication and establishment of a mutual understanding of performance expectations and organizational goals throughout the performance appraisal cycle
Transition Message: Planning performance is the critical first phase of DPMAP and is essential to achieving and sustaining the DoD culture of high performance. It sets the stage for the entire program.
Instruction:
supervisors should meet with their employees to set their performance expectations for the upcoming performance appraisal cycle and create a performance plan.
the highpoints of the planning phase :
shared responsibility. When done properly, the result is supervisor-employee engagement that provides input from both sides and establishes a mutual understanding of performance expectations and organizational goals throughout the performance appraisal cycle.
Per DODI , volume 431, performance plans must be established, approved, and communicated to each employee, normally within 30 calendar days of the beginning of the performance appraisal cycle (April 1, for most employees).
performance elements and standards:
establish expectations of employee performance
identify baselines for measuring performance results
Performance elements tell an employee what to do
Standards tell an employee how they will be measured and should be written using SMART criteria.
Performance Management is a COLLABORATIVE EFFORT
between Supervisors and Employees

12. Performance elements describe what work is to be performed
Performance plans must have a minimum of one critical performance element, maximum of 10, and each performance element must have associated standards that define expectations
The number of supervisory performance elements on performance plans for supervisors will equal or exceed the number of non-supervisory (technical) performance elements
An organization may have standardized performance elements
Transition Message: Here are the key changes to performance elements under DPMAP.
Instruction:
Performance plans must have a minimum of one critical performance element, maximum of 10, and each performance element must have associated standards that define expectations
The number of supervisory performance elements on performance plans for supervisors will equal or exceed the number of non-supervisory (technical) performance elements
An organization may have standardized performance elements
DoD Instruction , Vol. 431
Performance Management is a COLLABORATIVE EFFORT
between Supervisors and Employees

13. Standards
Standards describe how the requirements and expectations provided in the performance elements are to be evaluated
Should be written using SMART criteria
Must be written at “Fully Successful” level for each performance element
Avoid using absolute standards (e.g., 100 percent, always, or never) unless critical to life and safety
Transition Message: Standards describe how the requirements and expectations provided in the performance elements are to be evaluated.
Instruction:
Standards must be provided for each performance element and express how well an employee must perform to achieve the “fully successful” level.
three rating levels in DPMAP: “Outstanding (5) ,” “Fully successful (3) ,” and “Unacceptable (1).”
Supervisors may also describe standards of success for the “Outstanding” level.
Standards should be written using the SMART criteria, which we’ll discuss next.
Instructor Notes: Avoid using absolute standards (e.g., 100 percent, always, or never) unless critical to life and safety
DoD Instruction , Vol. 431
Performance Management is a COLLABORATIVE EFFORT
between Supervisors and Employees

14. Are the standards applicable?
Can the supervisor use the standards to appraise performance?
Can the supervisor effectively use the data collected?
Are the standards achievable?
Are expectations reasonable?
Are the standards fair?
Are they comparable to expectations for other employees in similar positions?
Do the standards allow for some margin of error?
Can the Fully-Successful be surpassed?
Is it possible for an employee's performance to exceed the standard?
In addition, if monitoring performance on the performance element is too costly or time-consuming, the standard might need to be altered to include more manageable standards.
Are the standards achievable? MSPB and the courts have ruled that, in most instances, retention standards must not require absolute perfection. In addition, from a sound management perspective, research has shown that setting expectations that are impossible or nearly impossible to achieve can actually cause performance levels to drop because employees tend to give up if they perceive the goal as impossible.
Are the standards fair? Applying different standards to employees doing the same work does not appear on its face to be fair or valid. Requiring higher-level management review of standards for similar work across an organization may be one way of ensuring equity.
Requiring perfection is not fair in most instances. There are some cases where 100% accuracy is necessary – for instance, the standard could be “100% safe landings of aircraft.” In this case, it is fair to have no margin of error.
Can the Fully-Successful be surpassed? By including “Fully Successful” standards that cannot be surpassed, the performance plan effectively eliminates the opportunity for a higher assessment.
Standards should specify:
Quality, Quantity, Timeliness, Cost-effectiveness at the Fully- Successful expectation
Performance Management is a COLLABORATIVE EFFORT
between Supervisors and Employees

15. Performance Plans PERFORMANCE PLAN Individual Development Plan (IDP)
Organizational performance plan
(e.g., Performance Assistance Plan)
Organizational document that focuses on providing the workforce the options for employee development
Records the learning and experience needed for short- and long-range career goals
Transition Message: There are two other types of plans that can support an employee’s performance plan and they are Individual Development Plans (IDP) and Organizational performance plans
Instruction:
IDP is used to record the learning and experience needed for employee’s short- and long-range career goals.
IDP documents the specific competencies, knowledge, skills, and abilities an employee might need to improve their performance.
IDP lists the training, education, and other professional development strategies needed to develop the desired competencies.
Organizational performance plans document the organization’s learning and development opportunities in a systematic and planned way.
One example of an organizational performance plan is the Performance Assistance Plan (PAP). PAPs are not to be confused with a Performance Improvement Plan (PIP)!
The combination of an IDP linked to an organizational performance plan assists in making employee performance more effective. The organizational performance plan addresses gaps, and an IDP documents the individuals who are developing those skills or competencies.
Performance Management is a COLLABORATIVE EFFORT
between Supervisors and Employees

16. Writing SMART Standards
Specific S
Measurable M
Achievable A
Relevant R
Transition Message: Writing strong standards will set everyone up for success.
Instruction: Standards should be written using the SMART criteria, which provide the framework for developing effective results and expectations.
Interactivity: Ask: How many people have heard of or written SMART standards?
utilize the acronym SMART = where the letters S-M-A-R-T have a particular meaning.
Not every standard has to have a quantitative standard assigned to it, but whenever possible supervisors should include specific deadlines, time limitations, budget restrictions, or other standards for quality, quantity, timeliness, or cost-effectiveness.
While not every standard lends itself to utilizing all five aspects of the SMART criteria, supervisors should strive to include as many of the SMART criteria as possible.
Let’s take a look at what each of the letters means:
Specific: stated as simply, concisely, and explicitly as possible.
Measurable: Outcome-oriented, reflecting the most important aspects of performance.
Achievable: Can be accomplished with available resources
Relevant: the standard is important to the employee and the organization.
Timely: outline a specific time frame.
Timely T
Performance Management is a COLLABORATIVE EFFORT
between Supervisors and Employees

17. Example: SMART Standards
Timely
1. Provide accurate, timely customer service
Upon receipt of requests, provide accurate responses in the agreed-upon timeframes, as defined by ICD 24.8, using the appropriate format identified in SOP25 during the performance appraisal cycle ending March 31, This supports the organization’s commitment to be responsive to customers and clients. Meet suspenses 90% of the time. Provide accurate responses with no more than 2 errors per request.
Specific
Relevant
Transition Message: Here are the elements that make this example a SMART standard.
Click as you go, the slide will progress completing the different colored parts.
Ask the audience, which part shows specific, timely, etc as you click through.
Measurable/ Achievable
Performance Management is a COLLABORATIVE EFFORT
between Supervisors and Employees

18. Planning the Meeting With the Employee
performance elements
Standards
Organizational Goals
Communicate how performance elements and standards relate back to organizational goals
Ask for feedback on the performance elements and standards
Transition Message: So, now we are ready to actually conduct the planning meeting.
Instruction: supervisor needs to meet with the employee. Because one of the key benefits of performance management is increased employee ownership, it is necessary to involve the employee in the planning phase.
work with the employee to judge how feasible the performance elements and standards are.
consider the employee’s input since he or she may recognize some issues that have been missed in the draft.
communicate the performance elements and standards selected for the employee.
explain how performance elements and standards relate back to the larger organizational goals.
may need to explain the purpose of the performance elements and standards
help employees understand why those particular performance elements and standards were picked.
take employee feedback and make any modifications that are reasonable.
Interactivity:
Ask: What are some potential benefits of the planning meeting?
Answers:
Reduce uncertainty and confusion.
Dispel rumors
Provide increased confidence
Performance Management is a COLLABORATIVE EFFORT
between Supervisors and Employees

19. Why Is Feedback Important?
Beneficial for both supervisors and employees
Promotes an understanding of the issue/topic/concern
Makes the other person aware of one’s perspective
Performance Context
Developmental Context
Personal Context
Feedback provides employees and supervisors with the other's perspective of what’s working (or not)
Feedback provides opportunities to improve competence, to learn, and to progress in careers
Feedback can improve the quality of relationships
Transition Message: As we now realize by now, feedback is an important part of DPMAP. But why is feedback so important?
Instruction: Meeting regularly to review progress and provide feedback is a key factor in employee engagement.
Feedback is important for both the supervisor and the employee.
For the employee, it gives him or her a voice.
positive influence this has on an employee’s engagement level.
When employees feel like their opinions are valued, they are much more likely to increase their performance levels.
For supervisors, they can ask employees for their feedback and discuss how the feedback will be used.
increases supervisory effectiveness and has the added benefit of building employee engagement because employees feel a sense of ownership in the organization when they see that their input is valued.
most effective if there is a trusting supervisor-employee relationship in place.
Feedback benefits go far in helping supervisors and employee, depending on the context or environment.
The three contexts for understanding the importance of feedback to employees:
performance context relates to our individual performance in the workplace and impact on the overall organization.
developmental context informs us about how well the work is getting done
personal context tells us how others perceive us.
It’s NOT about the 365th day

20. Fair – Credible – Transparent
Instructor Notes: These words represent the key messages that embody what is most important about New Beginnings - Performance, Mission, Communication, Excellence, etc.
Display the New Beginnings slide at the beginning of each instructional day and during breaks.
Fair – Credible – Transparent

21. Monitoring Performance
The ongoing assessment of performance compared to the stated expectations and ongoing feedback to employees on their progress toward reaching their goals
Transition Message: As we have stated previously, monitoring performance is an ongoing process requiring communication and input from both supervisor and employee.
Instruction: Monitoring entails:
supervisors checking in with their employees on a continuous basis
gauge how they are progressing with their performance plans.
continually monitor assignments and projects consistently to measure performance
provide ongoing feedback to employees on progress toward reaching their goals.
DODI Instruction , Vol. 431
IT’S NOT ABOUT THE 365 TH DAY

22. Monitoring Performance
Monitoring Phase
Two-Way Communication
Emphasize Organizational Goals
Frequent Performance Discussions
Focus on Performance
Timely Recognition and Rewards
Early Detection of Performance Issues
Transition Message: Let’s jump into the monitoring performance of DPMAP.
Instruction:  During the Monitoring Phase, supervisors and employees have a continuous, two-way, open dialog about performance.
Key aspects are listed here.
During the monitoring process, communication between supervisor and employee is the most important determinant of success.
IT’S NOT ABOUT THE 365 TH DAY

23. Monitoring Phase Roles and Responsibilities
Supervisors
Continuously communicate; provide encouragement, meaningful feedback, and recognize accomplishments
Provide employees an opportunity to highlight their successes relative to the performance elements and standards
Identify needed changes to performance elements as appropriate
Review IDPs to identify development opportunities
Identify employee’s skills and abilities, and look for opportunities to further develop them
Document performance discussions
Recognize and reward performance throughout the performance appraisal cycle
Transition Message: Let’s looks at roles and responsibilities of supervisors.
Instruction: Supervisors:
Effective and timely feedback (such as observation, measurement programs, peers, and input from customers.) during the performance appraisal cycle provides employees with an understanding of how well they are performing, what they are doing well, and if there are areas which need improvement.
Accomplishments may come during informal feedback sessions, or through employee input. Supervisors should be open and positive when their employees highlight their accomplishments—they are likely proud of what they did, and supervisors should honor their success.
Identify development opportunities such as training, on-the-job training, counseling, and coaching.
consider the IDP a start to the performance management dialog with the employee. IDP should be considered a partnership between the employee and the supervisor.
MARADMIN on employee IDPs
Supervisors should consider stretch goals, informal learning, coaching engagements, and developmental assignments in addition to traditional skills training.
Document performance discussions. Keeping track of performance discussions and feedback simplifies the evaluation phase, reducing the amount of time and energy a supervisors has to spend on this critical activity.
Recognize and reward throughout the cycle rather than waiting until the final performance appraisal discussion.
Interactivity: Ask: Are there any questions about these responsibilities?
IT’S NOT ABOUT THE 365 TH DAY

24. Exercise: Informal Feedback Session Gone Wrong Video
Transition Message: Monitoring involves checking in with employees, and this includes at least one mandatory documented progress review, according to DoDI , vol Let’s look at how one of these meetings can go wrong.
Exercise Objective: Observe a progress review that did not go well. Compare and contrast with a successful progress review.
Instructions: Show the video.
Instructor Notes:
Required Materials: Mid-Year Review Gone Wrong video (2:22); Lesson 5 Mid-Year Review Gone Wrong Video Script.docx
Tell the participants they will see two examples of performance discussions.
Instruct the participants to pay attention for aspects of the meeting that worked well and to pay attention to the questions asked by the narrator.
When the video is over, ask the participants what aspects of the video struck them.
Emphasize the points in the video where the supervisor works with the employee to align the employee goals with team goals and verify employee understanding, and where the employee commits to the critical elements identified by the supervisor.
IT’S NOT ABOUT THE 365 TH DAY

25. Exercise: Informal Feedback Session Gone Right Video
Transition Message: Let’s watch another example of a performance discussion.
Exercise Objective: Observe a successful progress review. Compare and contrast with an unsuccessful progress review.
Instructions: Show the Mid-Year Review Gone Right video.
Instructor Notes:
Required Materials: Mid-Year Review Gone Right video (2:22); Lesson 5 Mid-Year Review Gone Right Video Script.docx
IT’S NOT ABOUT THE 365 TH DAY

26. Avoiding Year-End Surprises
Continuous performance discussions help ensure clear understanding of outcomes at the final performance appraisal discussion.
The overall goal is mutual understanding between employee and supervisor helps eliminate surprises at the final performance appraisal discussion
Transition Message: Continuous performance discussions help to ensure that both the supervisor and employee have a clear understanding of the outcomes at the final performance appraisal discussion.
Instruction: In monitoring performance, the overall goal is mutual understanding between employee and supervisor, which helps eliminate surprises at the final performance appraisal discussion.
final performance appraisal discussion should be a culmination of performance discussions which occurred throughout the cycle.
there should be a shared understanding of performance outcomes in the final performance appraisal discussion.
During this meeting, supervisors should discuss with employees their ratings, narratives, and rationale for the evaluation given.
IT’S NOT ABOUT THE 365 TH DAY

27. IT’S NOT ABOUT THE 365 TH DAY
Preventative Actions
Communicate clear performance standards and expectations to employees
Provide continuous, meaningful feedback on performance
Reward and recognize good performance, informally and formally
Make full use of the probationary period for new employees
Transition Message: The best way for supervisors to handle performance issues is to take action to avoid performance issues before they occur.
Instruction: Such preventive actions include the following:
Supervisors should consider sharing performance expectations with their staff. If employees don’t understand what is expected, it will be very hard, if not impossible, for them to meet those expectations.
Ask yourself, “Would a reasonable person understand what was expected?”
Frequent feedback, both positive and negative, whether given in continuously scheduled meetings or in unscheduled performance discussions, is crucial to ensuring that expectations are understood.
lessens the likelihood that an employee will be surprised if it becomes necessary to take formal steps to resolve performance issues.
Supervisors should always look for opportunities to confirm that their employees understand what is expected.
Recognizing and rewarding good performance is simply another way of clarifying expectations.
Performance issues often first show up during the initial period of employment. This period is designed to provide an opportunity for supervisors to address such issues. Furthermore, an employee who is terminated during this period is not entitled to most of the procedures and appeal rights granted to employees who have completed probationary/trial periods.
A recurring theme in successful resolution of performance issues is that taking action early is always better than waiting. Early communication, early feedback (positive and negative) and, if appropriate, early termination during a probationary or trial period are all good ways to prevent future performance issues.
Investing time early is always time well spent.
Interactivity: Ask: Think of a time you had to communicate expectations to employees. What did that conversation look like? Looking back on the situation, was there anything else you could have done or done differently?
Ask supervisors: What is the best way to provide frequent feedback?
IT’S NOT ABOUT THE 365 TH DAY

28. Revising the Performance Plan
A change to the Performance Plan may be needed if there:
Minimum 90 calendar days for:
monitoring of approved performance plans
employee performance of new performance elements
Are new organizational goals
Is a change in assignment(s), position, or duties
Are outside influences beyond an employee’s control that make the original performance elements unachievable
Is a change in assumptions about what can be reasonably achieved during the performance appraisal cycle
Are new priorities
Are shifts or changes in mission
Transition Message: One benefit of continuous monitoring is the ability to quickly revise a plan when it is clear that the standards can’t be met.
Instruction: Similar to before, performance plans are flexible, living documents and can be updated to meet the organizational needs.
Any number of events can take place during an performance appraisal cycle that would warrant changing a plan.
When necessary, modified to reflect the new element and priorities
All approved modifications to performance elements or standards must be discussed with and communicated to the employee, and the employee should acknowledge the revisions in the MyPerformance appraisal tool or on the DD Form 2906.
Changes to work requirements or assignment of new duties may require a supervisor to change an performance element or standard. If this occurs within 90 calendar days of the end of the performance appraisal cycle, the supervisor may:
Revise the performance element or standard at the beginning of the next performance appraisal cycle,
Update the plan and, if the employee does not have an opportunity to perform the new performance element(s) for the minimum 90-calendar-day period, do not rate the revised performance element(s), OR
Extend the performance appraisal cycle by the amount of time necessary to allow 90 calendar days of observed performance under the revised performance element or standard.
Note: Extending the performance appraisal cycle will affect the start date of the employee’s subsequent performance appraisal cycle; however, the subsequent performance appraisal cycle ends March 31 of the following calendar year.
Best Practice: Make no changes after mid year.
DoD Instruction , Vol. 431
Performance Management is a COLLABORATIVE EFFORT
between Supervisors and Employees

29. Evaluating Performance
Evaluating performance entails assessing performance against the performance elements and standards in the employee’s approved performance plan and assigning a rating of record based on work performed during the appraisal cycle
Transition Message: Performance management is a process of evaluating performance in a summary fashion.
Instruction: Evaluating performance entails assessing performance against the performance elements and standards in the employee’s approved performance plan and assigning a rating of record based on work performed during the appraisal cycle.
DoD Instruction , Vol. 431
No surprises for either party at the end of the appraisal cycle

30. Evaluating Phase Roles and Responsibilities
Employees
Provide input
Include each performance element
Restate understanding of these performance elements
Highlight all of the most significant achievements
Make the connection accomplishment > result > impact on the organization
Note challenges, how they were resolved, and lessons learned
Supervisors
Request and consider employee input
Consider obstacles encountered and overcome
Prepare a written narrative and rating on each performance element, as applicable
Make meaningful distinctions based on performance; foster and reward excellent performance; address performance issues
Clearly communicate approved and finalized ratings
Transition Message: Both Employee and Supervisor have roles in the evaluating phase
As we mentioned previously, the goal of the Evaluating Phase is to have a final rating that comes as no surprise to either the employee or the supervisor.
The supervisor should schedule a meeting and inform the employee of the meeting’s purpose, time, and location. There should be sufficient, uninterrupted time for each employee.
Ask: Are there any questions about these responsibilities?
No surprises for either party at the end of the appraisal cycle

31. Evaluating Performance
Prepared and documented in the MyPerformance Tool on DD 2906
Performance Appraisal Cycle 01 April to 31 March
Performance Ratings
5 - Outstanding
3 - Fully Successful
1 - Unacceptable
PERFORMANCE
APPRAISAL
Employee
Input
Performance
Narrative
Performance Rating
Transition Message: We will cover much of this in the next few slides so discuss lightly
Instructor Note: Let’s look at some sample definitions of the 3 performance ratings.
No surprises for either party at the end of the appraisal cycle

32. Performance Ratings Defined
Level 5 - Outstanding
Produces exceptional results or exceeds expectations well beyond specified outcomes
Sets targeted metrics high and far exceeds them (e.g., quality, budget, quantity)
Handles roadblocks or issues exceptionally well and makes a long-term difference in doing so
Is widely seen as an expert, valued role model, or mentor for this work
Exhibits the highest standards of professionalism
Level 3 – Fully Successful
Effectively produces the specified outcomes, and sometimes exceeds them
Consistently achieves targeted metrics
Proactively informs supervisor of potential issues or roadblocks and offers suggestions to address or prevent them
Achieves goals with appropriate level of supervision
Level 1 - Unacceptable
Does not meet expectations for quality of work; fails to meet many of the required results for the goal
Is unreliable; makes poor decisions; misses targeted metrics (e.g., commitments, deadlines, quality)
Lacks or fails to use skills required for the job
Requires much more supervision than expected for an employee at this level
Transition Message: DODI , Volume 431 provides some sample narratives based on rating being considered.
Instructor Notes: Keep these sample definitions in mind when gathering material on employee performance.
No surprises for either party at the end of the appraisal cycle

33. Gather the Material
Have all the necessary tools close at hand before starting to write the performance discussion narrative. This includes:
A copy of the employee's performance plan
Notes of previous meetings
Employee input documents
Written or recorded feedback on employee performance from other sources
Transition Message: The first step is to gather the material.
Instruction: Supervisors should have all of the necessary tools close at hand before starting to write the performance discussion narrative, including:
A copy of the employee's performance plan;
Notes of previous meetings with the employee and discussions, including progress reviews
Employee input documents, which could include a list of completed projects and accomplishments prepared by the employee
Written or recorded feedback on employee performance from other sources (letters of appreciation, customer feedback, etc.)
Policy and instructions that describe the DPMAP process and procedures
After these things, you’ll assign the appropriate rating for each element.
Gather the material
Review and write
Schedule the meeting
No surprises for either party at the end of the appraisal cycle

34. Write the Performance Narrative
Supervisors write a performance narrative that describes the employee’s performance measured against the performance standards for the appraisal cycle
A written rating of record must be provided at the end of the appraisal cycle for each employee who has been under an approved performance plan for 90 calendar days during the cycle.
Performance narratives :
Justify how an employee’s ratings are determined
Are required for each element rated “Outstanding” and “Unacceptable”
Are highly encouraged for each element rated “Fully Successful” as a means of recognizing all levels of accomplishments and contributions to mission success
Transition Message: Once the supervisor has gathered the materials and thought about the performance and accomplishments the employee, it’s time to write the performance narrative.
Instruction
important to write the performance narrative first, then assign a rating to each element.
Supervisors should not pick the rating and then write to that rating!
become familiar with the performance appraisal form (DD 2906).
employee’s ratings are based on the performance narrative.
review how to derive the summary rating (e.g., numerical formula, percentages).
narrative justifies an employee’s ratings and provides support for recognition and rewards (or any administrative or adverse action, if necessary).
Supervisors are responsible for writing a performance narrative that talks to each element on which the employee is rated as “Outstanding” or “Unacceptable.”
Also strongly encouraged to write a narrative for performance elements rated “Fully Successful” as well.
The performance appraisal itself, along with these written narratives, must be documented in the MyPerformance appraisal tool.
Ask participants if a break is needed.
Gather the material
Review and write
Schedule the meeting
No surprises for either party at the end of the appraisal cycle

35. Employee Performance Ratings
(5) OUTSTANDING
The average score of all performance element ratings is 4.3 or greater, with no element being rated a “1”, resulting in an overall rating of record that is a “5”.
(3) FULLY SUCCESSFUL
The average score of all performance element ratings is less than 4.3, with no element being rated a “1”, resulting in an overall rating of record that is a “3”.
(1) UNACCEPTABLE
Any performance element rated as a “1”.
At the end of the appraisal cycle, an employee’s performance is rated by his or her supervisor against the employee’s performance plan
Employee must be provided a written rating of record and been under an approved performance plan for 90 calendar days during the rating cycle.
Transition Message: At the end of the appraisal cycle, an employee’s performance is rated by their supervisor. These ratings and the averages are key changes under DPMAP.
Instruction:
Employees play an important role in the rating process as they document what they’ve accomplished
discuss those accomplishments during performance discussions.
Employee performance is rated on what they’ve accomplished.
evaluate each element in an employee’s performance plan.
The employee then receives a rating of Outstanding, Fully Successful, or Unacceptable for each element.
No surprises for either party at the end of the appraisal cycle

36. Sample Ratings Key Takeaways
Majority of elements are rated outstanding then overall rating will be outstanding.
If any element is rated 1, unacceptable, then the overall will be unacceptable regardless of an outstanding rating on another element.

37. Fair – Credible – Transparent
Instructor Notes: These words represent the key messages that embody what is most important about New Beginnings - Performance, Mission, Communication, Excellence, etc.
Display the New Beginnings slide at the beginning of each instructional day and during breaks.
Fair – Credible – Transparent

38. Schedule the Meeting
When scheduling performance discussions, supervisors set the date, time, and location of the meeting with the employee
Note: Per DODI , volume 431, a rating record of “Unacceptable” must be reviewed and approved by a higher level reviewer. Supervisors should be sure to familiarize themselves with and follow local policy before they communicate the rating to an employee. Supervisors should contact their Labor and Employee Relations Specialist in Human Resources prior to rating an employee as “Unacceptable.”
Transition Message: Lastly, supervisors schedule a time to meet.
Instruction: The final preparation step is to set aside a time and a place to meet with the employee. When scheduling the performance discussion meeting:
supervisors set the date, time, and location of the meeting with the employee.
The meeting should be held in an appropriate location that affords privacy and uninterrupted time to concentrate on the review.
When the supervisor takes time to prepare, conducting the performance discussion may be less complicated, less stressful, and more successful in providing the employee valuable feedback on performance.
Note that per DODI , volume 431, a rating record of “Unacceptable” must be reviewed and approved by a higher level reviewer.
Be familiar with and follow local policy before communicating the rating to employee.
Supervisors should contact their HROM LER POC prior to rating as “Unacceptable.”
Instructor Note: Supervisors should make sure they know the specifics of their Component-specific guidance.
Gather the material
Review and write
Schedule the meeting
No surprises for either party at the end of the appraisal cycle

39. Performance Discussions
DPMAP requires three performance discussions between supervisor and employee during the performance appraisal cycle.
THEY ARE:
Initial Performance Planning Meeting
Progress Review
Final Performance Appraisal Discussion
In addition to those required, more frequent and meaningful periodic discussions between supervisors and employees are HIGHLY encouraged. They help to:
Understand expectations toward goals
Facilitate supervisor-employee engagement
Increase the amount of feedback
Contribute to a more complete and accurately documented appraisal
Encourage supervisors to recognize and reward deserving employees in a more timely manner
All performance discussions should be given sufficient, uninterrupted time, in a suitable private location, and results documented
Instruction: To recap, DPMAP requires three performance discussions and as you recall from previous lessons, they are:
Initial Performance Planning Meeting
Progress Review
Final Performance Appraisal Discussion.
In addition to those three, more frequent and meaningful periodic discussions between supervisors and employees is HIGHLY encouraged.
Frequent performance discussions help to:
• Understand expectations toward goals
• Facilitate supervisor-employee engagement
• Increase the amount of feedback
• Contribute to a more complete and accurately documented assessment
• Encourage supervisors to recognize and reward deserving employees in a more timely manner
Additionally, it is critical that and that each performance discussion be given sufficient, uninterrupted time.
No surprises for either party at the end of the appraisal cycle

40. Resolving Differences
A rating of record is official even if the employee does not sign it
If possible, differences should be resolved informally
If they cannot be resolved:
Reconsideration process for individual performance element ratings and ratings of record through the administrative grievance system or, where applicable, the negotiated grievance procedure
Employee may appeal performance-based actions.
Transition Message: So, what happens if an employee doesn’t agree with his or her rating of record?
Instruction:
An employee may not necessarily agree with the rating of record.
an employee’s acknowledgment or signature on the performance appraisal does not indicate agreement with the rating of record.
the rating of record is official even if the employee does not acknowledge it or sign it.
(The MyPerformance tool has the capability to document the employee’s refusal to sign the form. )
When possible, the employee and supervisor should attempt to informally resolve any disagreements about the rating of record. If they cannot, employees may raise issues related to the performance appraisal process through either the administrative grievance system or, where applicable, the negotiated grievance procedure. Employees may also have the right to appeal performance-based actions under Title 5, Code of Federal Regulations (CFR) §432 and §752 to the Merit Systems Protection Board (MSPB).
No surprises for either party at the end of the appraisal cycle

41. Recognizing and Rewarding Performance
Employee successes and accomplishments should be recognized and rewarded
Supervisors should:
Actively solicit and act on input from employees
Communicate positive results based on employee input back to employees to show value of their ideas and suggestions.
Verbally thank deserving employees for good performance
Give positive feedback on performance, when warranted, as often as possible
Employees should:
Proactively communicate successes and accomplishments to their supervisor
Transition Message: Successes and accomplishments shared by employees should be celebrated.
Instruction: Supervisors should:
Actively solicit and act on input from employees
Communicate positive results based on employee input back to employees to show value of their ideas and suggestions.
Verbally thank deserving employees for good performance
Give positive feedback on performance as often as possible, when warranted
Employees should:
Proactively communicate successes and accomplishments to their supervisor
Fair – Credible - Transparent

42. Recognizing and Rewarding Performance
DoD is committed to
“a fair, credible and transparent”
performance management and appraisal program
How can we make recognition and rewards fair, credible, and transparent?
Fair
Credible
Transparent
Transition Message: As we discussed on the previous slide, both supervisors and employees should know the various types and methods of employee recognition and rewards specific to their Component or agency.
Instruction: Clearly defined procedures and criteria employee recognition and reward should be communicated and made available to all employees. This goes far in re-enforcing transparency into the performance recognition and reward process.
Interactivity: Ask: Why is this important?
Potential answers include:
Everyone should know how to get a reward for high performance.
Being transparent about why someone is getting an award can reduce the perception of favoritism.
Transparency helps everyone believe they are capable of receiving some type of recognition or reward.
Instruction: If all employees are aware of the types and criteria of performance recognition or reward for their organization AND the process is fair, credible, and transparent, the result will be motivated performance by employees.
Interactivity: Foster a group discussion asking the following:
Can you think of an example you may have heard about or even experienced in your workplace where employee rewards or recognition did not seem fair, credible, and transparent?
What are some things you have seen in your workplace that effectively supports fairness, credibility and transparency regarding employee rewards or recognition?
Fair – Credible - Transparent

43. Recognizing and Rewarding Performance
Monetary
One-Time cash award
Salary Increase
Time-Off Award
Non-Monetary
Award plaque
Challenge Coin
Public acknowledgement at meeting
Simple “Thank you” or other way to show employee performance was observed and recognized
Transition Message: DPMAP allows the flexibility to create Component-unique recognition and reward programs to suit the organization.
Instruction: Examples of monetary awards (there may be others):
a one-time cash award
a salary increase,
time-off award
Examples of non-monetary awards (there may be others):
award plaque or challenge coin
acknowledgement at a staff meeting
a simple “thank you” or any other acknowledgement of employee’s act to show it was observed and recognized
Regardless of method, we must stay under the ethical spending limit guidelines under 5 CFR 2635 and DoDI , V451.
Instructor Notes: Note that in the spirit of transparency, Components may share rating/award distribution data with the workforce. It is not a privacy issue since you would only be giving the numbers or amount of awards.
Generate discussion on differences between recognition and rewards methods used daily versus and weekly.
NOTE: Must adhere to ethical spending limit guidelines in 5 CFR 2635 and DoDI V451
Fair – Credible - Transparent

44. Performance Management
Ongoing
Supervisors and employees share responsibility
Consist of:
Proactively planning work and setting expectations
Continually monitoring performance
Evaluating performance in a summary fashion
Recognizing and rewarding good performance
PERFORMANCE
MANAGEMENT
PLANNING
MONITORING
RECOGNIZING
AND
REWARDING
EVALUATING
Transition Message: RECAP SLIDE – Performance management is an ongoing process…
No surprises for either party at the end of the appraisal cycle

45. Fair – Credible - Transparent
Questions?
Are there any questions?
Transition Message: That wraps up the DPMAP course. Are there any questions about this lesson or anything in the course?
Instructor Notes:
THE END OF THE COURSE
Training will be reflected in TWMS. If anyone needs a certificate, please let us know.
Fair – Credible - Transparent

46. Fair – Credible - Transparent
Additional Resources
HROM Performance Management website
Relations/Performance-Management/DODI , Volume 410, DoD Civilian Personnel Management System: Training, Education, and Professional Development.
DODI , Volume 431, DoD Civilian Personnel Management System: Performance Management and Appraisal Program.
DODI , Volume 451, DoD Civilian Personnel Management System: Awards.
DCPAS Resources and References web site:
DCPAS HR Toolkit:
Relations/Performance-Management/Pages/PM-Guides-TipSheets-Checklists.aspx
DCPAS LERD web site
Transition Message: Here are some additional resources and learning tools.
Instructor Notes: Consider adding information about any formal training or guidance for your Component-specific reward and recognition programs.
Fair – Credible - Transparent