DON INTERIM PERFORMANCE MANAGEMENT SYSTEM USMC REWARD RECOGNITION FRAMEWORK TRAINING FOR EMPLOYEES AND SUPERVISORS

1. DON INTERIM PERFORMANCE MANAGEMENT SYSTEM & USMC REWARD RECOGNITION FRAMEWORK TRAINING FOR EMPLOYEES AND SUPERVISORS Hello, and welcome to the training for the Department of the Navy Interim Performance Management System (IPMS) and U.S. Marine Corps Reward Recognition Framework. Upon completion of this training, you will: be familiar with DON and Marine Corps guidance on performance management during the transition out of NSPS understand the phases of performance management under the interim system and how they flow together   Without further ado, let’s begin. Hello, and welcome to the training for the Department of the Navy Interim Performance Management System (IPMS) and U.S. Marine Corps Reward Recognition Framework. Upon completion of this training, you will: be familiar with DON and Marine Corps guidance on performance management during the transition out of NSPS understand the phases of performance management under the interim system and how they flow together   Without further ado, let’s begin.

2. 2 The Department of Navy recently released a new policy on the IPMS. DON’s policy, distributed 13 September 2010, covers non-bargaining unit appropriated fund civilian positions previously covered by NSPS. Note that the IPMS does not cover those employees previously under Lab or AcqDemo. The DON policy emphasizes the de-linking of the rating and rewards processes, which we will cover later. Also, this policy provides commands the option to establish their own framework for recognition and rewards. This leads to the next item, the USMC Letter of Instruction released on 16 September 2010. The letter implements DON IPMS and outlines the rewards framework that will be used for the entire Marine Corps. It also sets the performance appraisal period as 1 October through 30 September. If you would like to read either of these documents, you can find them on the MPC-20 Transition Website. The Department of Navy recently released a new policy on the IPMS. DON’s policy, distributed 13 September 2010, covers non-bargaining unit appropriated fund civilian positions previously covered by NSPS. Note that the IPMS does not cover those employees previously under Lab or AcqDemo. The DON policy emphasizes the de-linking of the rating and rewards processes, which we will cover later. Also, this policy provides commands the option to establish their own framework for recognition and rewards. This leads to the next item, the USMC Letter of Instruction released on 16 September 2010. The letter implements DON IPMS and outlines the rewards framework that will be used for the entire Marine Corps. It also sets the performance appraisal period as 1 October through 30 September. If you would like to read either of these documents, you can find them on the MPC-20 Transition Website.

3. 3 Two Processes There are two separate processes involved Rating Process performed by Employee, Rating Official (RO) and Senior Rating Official (SRO) Assesses employees performance Ratings can only be “Acceptable” or “Unacceptable” Rewarding (Recognition Framework) Process performed by the Performance Award Review Board (PARB) Determines the contribution level of the employees overall performance on the goals/mission of the office/unit/command Recognizes performance through the use of cash awards and Quality Step Increases Discussed in more detail later As I mentioned before, IPMS depicts rating and rewarding as two distinct processes within performance management. Rating involves the employee, the employee’s Rating Official (RO) and the Senior Rating Official (SRO). During the rating process, the employee’s performance is assessed and is deemed either “Acceptable” or “Unacceptable”. Unlike previous systems, there is no number rating in IPMS. The rewarding process involves only the Performance Award Review Board (PARB). The PARB determines the contribution level of each employee based on his or her overall performance on the goals and mission of the office, unit, or command. The process recognizes performance through the use of cash awards and Quality Step Increases (QSIs). We will discuss rating and rewarding more in the context of the appraisal process as a whole in the next few slides. As I mentioned before, IPMS depicts rating and rewarding as two distinct processes within performance management. Rating involves the employee, the employee’s Rating Official (RO) and the Senior Rating Official (SRO). During the rating process, the employee’s performance is assessed and is deemed either “Acceptable” or “Unacceptable”. Unlike previous systems, there is no number rating in IPMS. The rewarding process involves only the Performance Award Review Board (PARB). The PARB determines the contribution level of each employee based on his or her overall performance on the goals and mission of the office, unit, or command. The process recognizes performance through the use of cash awards and Quality Step Increases (QSIs). We will discuss rating and rewarding more in the context of the appraisal process as a whole in the next few slides.

4. 4 4 Phases of Performance Management 1) Planning Establishing Performance Plans Career Stages Performance standards Critical Elements 2) Monitoring and Developing Progress Reviews Written assessments & discussions Establishment of Performance Award Review Boards Number and level Determine funding Publish business rules Here you can see there are 4 phases of performance management under IPMS. The first phase, planning, is where performance plans are established. Each employee must have an approved written performance plan based on his or her description, work assignments and responsibilities. During this phase, a supervisor will determine one career stage for each employee as entry, journey, or expert—which is normally based on pay grade and type of work. The supervisor and employee are aware of the applicable performance standard that must be met to be appraised at a particular level of performance. It is during this phase that critical elements are established. I will discuss the career stages and critical elements in more detail shortly. Employees must be on approved performance plans no later than 30 days after the beginning of the rating period, permanent assignment to a new position and for each detail, temporary assignment or promotion expected to last more than 120 days. The next phase is monitoring and developing. Supervisors must routinely update their employees on how they are performing via progress reviews, both written and in-person. Supervisors should also make sure during this period that their employees have access to and are aware of the various training and development tools available to them. It is also important for employees to request feedback from their supervisors, follow their performance plans, and to take advantage of development opportunities. During this time, commands should also be establishing their PARBs. Each command must establish the following: their number of PARBs and the level at which they will operate funding percentages for awards and published business rules for their PARBs to follow.   Next is the rating phase, which we previously discussed. During the rating period, the employee is required to write a self-assessment for each critical element established in the performance plan. The RO must produce a written assessment of the employee’s performance, evaluating each critical element against performance standards and rating each critical element as “acceptable” or “unacceptable”. All ratings must be justified by the written assessment. The RO then recommends an overall rating to the SRO and states whether or not the employee should be recommended for an award.   The SRO either approves and concurs with the RO’s rating, or provides a reason for disagreeing with the RO’s rating. Then, the SRO provides a rating of record and recommends (or does not recommend) the employee for an award. Here you can see there are 4 phases of performance management under IPMS. The first phase, planning, is where performance plans are established. Each employee must have an approved written performance plan based on his or her description, work assignments and responsibilities. During this phase, a supervisor will determine one career stage for each employee as entry, journey, or expert—which is normally based on pay grade and type of work. The supervisor and employee are aware of the applicable performance standard that must be met to be appraised at a particular level of performance. It is during this phase that critical elements are established. I will discuss the career stages and critical elements in more detail shortly. Employees must be on approved performance plans no later than 30 days after the beginning of the rating period, permanent assignment to a new position and for each detail, temporary assignment or promotion expected to last more than 120 days. The next phase is monitoring and developing. Supervisors must routinely update their employees on how they are performing via progress reviews, both written and in-person. Supervisors should also make sure during this period that their employees have access to and are aware of the various training and development tools available to them. It is also important for employees to request feedback from their supervisors, follow their performance plans, and to take advantage of development opportunities. During this time, commands should also be establishing their PARBs. Each command must establish the following: their number of PARBs and the level at which they will operate funding percentages for awards and published business rules for their PARBs to follow.   Next is the rating phase, which we previously discussed. During the rating period, the employee is required to write a self-assessment for each critical element established in the performance plan. The RO must produce a written assessment of the employee’s performance, evaluating each critical element against performance standards and rating each critical element as “acceptable” or “unacceptable”. All ratings must be justified by the written assessment. The RO then recommends an overall rating to the SRO and states whether or not the employee should be recommended for an award.   The SRO either approves and concurs with the RO’s rating, or provides a reason for disagreeing with the RO’s rating. Then, the SRO provides a rating of record and recommends (or does not recommend) the employee for an award.

5. 5 4 Phases of Performance Management 4) Rewarding Performance Award Review Board Composition Board Chair Members (knowledge of performance/contribution) Board Administrator Determine & assign Contribution Levels (CL) Set starting percentages for contribution levels Review and award Quality Step Increases (QSI) The final phase of the cycle is rewarding. The PARB is required to meet within 45 days of the end of the appraisal period (nlt Nov 15), and is given up to 30 days to deliberate (nlt 15 Dec). PARBs must be composed of a board chair, members that have knowledge of the concerned employees’ performance and contribution to the command or unit, and a board administrator. Members of the PARB can be ROs and SROs, and in some cases may even be employees, based on what structure works best for each individual command. It is only required that an individual leave the PARB while he or she is being discussed. The PARB assigns a contribution level to each employee—they run the scale of CL-1, CL-2, and CL-3, which refer respectively to Met Expectations, Exceeded Expectations, and Greatly Exceeded Expectations. The PARB sets starting percentages for contribution levels, as well as awards QSIs. The final phase of the cycle is rewarding. The PARB is required to meet within 45 days of the end of the appraisal period (nlt Nov 15), and is given up to 30 days to deliberate (nlt 15 Dec). PARBs must be composed of a board chair, members that have knowledge of the concerned employees’ performance and contribution to the command or unit, and a board administrator. Members of the PARB can be ROs and SROs, and in some cases may even be employees, based on what structure works best for each individual command. It is only required that an individual leave the PARB while he or she is being discussed. The PARB assigns a contribution level to each employee—they run the scale of CL-1, CL-2, and CL-3, which refer respectively to Met Expectations, Exceeded Expectations, and Greatly Exceeded Expectations. The PARB sets starting percentages for contribution levels, as well as awards QSIs.

6. 6 What we have here is a process chart for you to take a look at the entire process. We’ll go into greater detail as to the specific steps within each phase in a moment, but please take a few seconds now to see how the phases flow together. What we have here is a process chart for you to take a look at the entire process. We’ll go into greater detail as to the specific steps within each phase in a moment, but please take a few seconds now to see how the phases flow together.

7. 7 Here, we’ve added a timeline to the top of the process chart to give you an idea of where each phase falls during the cycle and how long it lasts. Hopefully this chart will help you in your planning for the year. As you can see, the Planning phase begins 1 Oct and lasts for that whole month. Next, monitoring and development is from November through August. At the beginning of October, the rating phase begins with the employee’s written self-assessment due by mid-month. Then, the RO is given an additional 15 days (nlt 30 Oct) to produce an assessment and rating. The SRO’s approval and rating of record period runs through the first half of November. The rewards phase begins in mid-November upon receipt of the official ratings of record. PARBs may deliberate through mid-December. Once awards have been finalized, the employees must be notified of PARB results no later than 15 December. Here, we’ve added a timeline to the top of the process chart to give you an idea of where each phase falls during the cycle and how long it lasts. Hopefully this chart will help you in your planning for the year. As you can see, the Planning phase begins 1 Oct and lasts for that whole month. Next, monitoring and development is from November through August. At the beginning of October, the rating phase begins with the employee’s written self-assessment due by mid-month. Then, the RO is given an additional 15 days (nlt 30 Oct) to produce an assessment and rating. The SRO’s approval and rating of record period runs through the first half of November. The rewards phase begins in mid-November upon receipt of the official ratings of record. PARBs may deliberate through mid-December. Once awards have been finalized, the employees must be notified of PARB results no later than 15 December.

8. 8 Establishing the Performance Plan Rating Official (RO) determines the career stage Entry, Journey, Expert Normally based on grade and job progression pattern Decision matrix in LOI Definitions in DON Policy Appendix C So now that you have an understanding of the four phases throughout the performance appraisal cycle, let’s explore how the phases relate to the performance appraisal form and how to appropriately complete the documentation. We’ll first begin with “Establishing the Performance Plan” As I mentioned previously, the RO will determine one career stage for each employee that addresses all critical elements within the employees performance plan. The career stages are entry, journey and expert. USMC provides a crosswalk for determining career stage in Enclosure 1 of the Letter of Instruction. Normally, the grade and progression pattern of the occupation will determine the career stage. Enclosure 1 of the USMC LOI provides a decision matrix to assist ROs in determining the appropriate career stage based on the employees position to include type of work (Professional, Administrative, Technical, Clerical), occupational series and grade. Conveniently, Instructions on how to use the matrix is provided at the top of the enclosure. Utilizing the decision matrix, the GS-0801-13 career stage is expert. As appropriate, Rating Officials may determine that an employees particular position is at a different career stage than that shown in the matrix. Appendix C of the policy provides the definitions for each career stage to be used as a guide for ROs. So now that you have an understanding of the four phases throughout the performance appraisal cycle, let’s explore how the phases relate to the performance appraisal form and how to appropriately complete the documentation. We’ll first begin with “Establishing the Performance Plan” As I mentioned previously, the RO will determine one career stage for each employee that addresses all critical elements within the employees performance plan. The career stages are entry, journey and expert. USMC provides a crosswalk for determining career stage in Enclosure 1 of the Letter of Instruction. Normally, the grade and progression pattern of the occupation will determine the career stage. Enclosure 1 of the USMC LOI provides a decision matrix to assist ROs in determining the appropriate career stage based on the employees position to include type of work (Professional, Administrative, Technical, Clerical), occupational series and grade. Conveniently, Instructions on how to use the matrix is provided at the top of the enclosure. Utilizing the decision matrix, the GS-0801-13 career stage is expert. As appropriate, Rating Officials may determine that an employees particular position is at a different career stage than that shown in the matrix. Appendix C of the policy provides the definitions for each career stage to be used as a guide for ROs.

9. 9 Establishing the Performance Plan There are crucial fields that must be complete on the performance plan appraisal form. Administrative data includes the appraisal period start and end date, name, position title, last 4 of SSN, GS grade, step and organization. The career stage and applicable performance standard will be indicated below in Part B. A performance standard is an expression of the performance threshold, requirement or expectation that must be met to be appraised at a particular level of performance. The performance standards are used to determine if the employee has performed at the Acceptable or Unacceptable level on each critical element in the employees performance plan. Performance standards may be found in Appendix C of the DON IPMS Policy. If the employee is a supervisor, you would also include in this section the Supervisory performance standard. The supervisory performance standard will only be measured against the supervisory critical element.   Due to the release of the new DON IPMS policy and the USMC LOI, Rating officials should staple Appendix C “Performance Standards” of the DON IPMS policy to the employees performance appraisal form. After transition, performance plans were established under the IPMS and therefore performance standards were pasted into Part B based on the guidance at the time. There were no changes to the new Acceptable standards in Appendix C compared to the Acceptable 1 performance standards provided in the original policy for each career stage. The only difference is the Acceptable 2 and Acceptable 3 standards were eliminated from Appendix C. There are crucial fields that must be complete on the performance plan appraisal form. Administrative data includes the appraisal period start and end date, name, position title, last 4 of SSN, GS grade, step and organization. The career stage and applicable performance standard will be indicated below in Part B. A performance standard is an expression of the performance threshold, requirement or expectation that must be met to be appraised at a particular level of performance. The performance standards are used to determine if the employee has performed at the Acceptable or Unacceptable level on each critical element in the employees performance plan. Performance standards may be found in Appendix C of the DON IPMS Policy. If the employee is a supervisor, you would also include in this section the Supervisory performance standard. The supervisory performance standard will only be measured against the supervisory critical element.   Due to the release of the new DON IPMS policy and the USMC LOI, Rating officials should staple Appendix C “Performance Standards” of the DON IPMS policy to the employees performance appraisal form. After transition, performance plans were established under the IPMS and therefore performance standards were pasted into Part B based on the guidance at the time. There were no changes to the new Acceptable standards in Appendix C compared to the Acceptable 1 performance standards provided in the original policy for each career stage. The only difference is the Acceptable 2 and Acceptable 3 standards were eliminated from Appendix C.

10. 10 Establishing the Performance Plan Now that we’ve determined the exact location of where to document the career stage and applicable performance standards on the appraisal form, we need to include the critical elements. Critical elements are derived from the individuals work assignment and reflect specific, comprehensive aspects of the position that align with command goals and objectives. Critical elements must be sufficiently specific in nature so as to be understandable by the employee and assessable by the rating official, be comprehensive enough to span the entire rating period or a substantial portion, and be commensurate with the employee’s position requirements. Each employee generally has 3 to 5 critical elements associated with the position, and there must be a minimum of 2 and a maximum of 5 CE. Supervisors must have a supervisory critical element. There are specific types of positions that may have additional evaluation requirements particular to certain professions which can be found in Appendix E of the DON IPMS Policy. Now that we’ve determined the exact location of where to document the career stage and applicable performance standards on the appraisal form, we need to include the critical elements. Critical elements are derived from the individuals work assignment and reflect specific, comprehensive aspects of the position that align with command goals and objectives. Critical elements must be sufficiently specific in nature so as to be understandable by the employee and assessable by the rating official, be comprehensive enough to span the entire rating period or a substantial portion, and be commensurate with the employee’s position requirements. Each employee generally has 3 to 5 critical elements associated with the position, and there must be a minimum of 2 and a maximum of 5 CE. Supervisors must have a supervisory critical element. There are specific types of positions that may have additional evaluation requirements particular to certain professions which can be found in Appendix E of the DON IPMS Policy.

11. 11 Establishing the Performance Plan At the time the performance plan is established, the Rating Official must certify that the employee’s position description (PD) is current and accurate. If not, supervisors must take immediate action to ensure its accuracy. After the plan has been established, the RO will sign and forward the performance plan to the Senior Rating Official (SRO) for review & approval. After SRO approval, the SRO will return the plan back to the RO to be communicated to the employee. The RO will document the approved plan has been communicated to the employee by indicating the date and the means of delivery of the conversation. The employee must sign and date the performance plan. Employees signature certifies acknowledgement and does not indicate agreement or disagreement of the performance plan.   Keep in mind, employees must be on approved performance plans no later than 30 days after the beginning of the rating period, permanent assignment to a new position and for each detail, temporary assignment or promotion expected to last more than 120 days. At the time the performance plan is established, the Rating Official must certify that the employee’s position description (PD) is current and accurate. If not, supervisors must take immediate action to ensure its accuracy. After the plan has been established, the RO will sign and forward the performance plan to the Senior Rating Official (SRO) for review & approval. After SRO approval, the SRO will return the plan back to the RO to be communicated to the employee. The RO will document the approved plan has been communicated to the employee by indicating the date and the means of delivery of the conversation. The employee must sign and date the performance plan. Employees signature certifies acknowledgement and does not indicate agreement or disagreement of the performance plan.   Keep in mind, employees must be on approved performance plans no later than 30 days after the beginning of the rating period, permanent assignment to a new position and for each detail, temporary assignment or promotion expected to last more than 120 days.

12. 12 Progress Review Required at mid-year point Written employee self assessments strongly encouraged Written RO assessment mandatory How to write a self-assessment training iSuccess Web Based Training Uses STAR format (there are others, ORCA, SCRAM, etc.) http://www.cpms.osd.mil/nsps/iSuccess/index.htm?dlaunch=05_00_010 One Progress Review is mandatory during the performance appraisal cycle. Progress reviews normally occur mid way through the appraisal cycle. During progress reviews, employees should be informed of how they are progressing with regard to their critical elements. Progress reviews should be informative and developmental in nature and should focus on future performance expectations.   Although employee self assessments are not required during Progress Reviews, it is strongly encouraged. Rating Officials are required to write an assessment on the employees’ performance for the Progress Review. Progress reviews do not require the assignment of a rating of record.   Training on writing self assessments, is provided through isuccess web based training. The training uses the STAR format and may be accessed on the CPMS website. One Progress Review is mandatory during the performance appraisal cycle. Progress reviews normally occur mid way through the appraisal cycle. During progress reviews, employees should be informed of how they are progressing with regard to their critical elements. Progress reviews should be informative and developmental in nature and should focus on future performance expectations.   Although employee self assessments are not required during Progress Reviews, it is strongly encouraged. Rating Officials are required to write an assessment on the employees’ performance for the Progress Review. Progress reviews do not require the assignment of a rating of record.   Training on writing self assessments, is provided through isuccess web based training. The training uses the STAR format and may be accessed on the CPMS website.

13. 13 Progress Review RO will document review with the employee on the appraisal form SRO signature optional Employee should sign acknowledging the review The rating official and employee must sign and date the performance plan form to indicate that the progress review was conducted. Failure by an employee to sign shall not void the content of the plan or progress. SRO signature is optional.   It is important to note that at any time during the appraisal period that performance is determined to be unacceptable in one or more critical elements, it should be communicated to the employee immediately. The performance appraisal form provides one additional space to document a second progress review as necessary. The rating official and employee must sign and date the performance plan form to indicate that the progress review was conducted. Failure by an employee to sign shall not void the content of the plan or progress. SRO signature is optional.   It is important to note that at any time during the appraisal period that performance is determined to be unacceptable in one or more critical elements, it should be communicated to the employee immediately. The performance appraisal form provides one additional space to document a second progress review as necessary.

14. 14 Establishing Performance Award Review Boards (PARB) Between April and August Commands will determine the level and numbers of PARBs Identify membership Publish PARB business rules 30 days prior to the end of the performance cycle Due to the late release of the DON policy, published business rules will take place at the earliest opportunity but not later than 30 days from issuance of the DON policy PARBs will identify the funding percentages DoD has capped the funding level at 1% for transition year for cash awards For all other years, DON has set the funding at 1.25% of basic salaries in the PARB for cash awards Commands may set an additional percentage for the awarding of QSIs. A Performance Awards Review Board is a group of senior leaders of an organization whose responsibility is to review and approve all performance awards at a strategic level for fairness, appropriateness and adherence to merit system principles. The Performance Awards Review Board (PARB) will make and award cash bonuses and QSIs based on: Contribution Level Assigned Employee and Supervisory Assessment Employees performance and contribution Similarly situated employees The PARB Budget And written business rules   Between April and August commands will determine the level and number of PARBS and identify PARB members. PARB business rules must be established 30 days prior to the end of the appraisal cycle. Due to the late release of the DON IPMS policy, which was disseminated on 13 Sept 2010, published business rules must be established no later than 30 days from the issuance of the DON policy (nlt 13 Oct 2010)   PARBS must meet no later than 45 days after the end of the performance appraisal cycle. (15 Nov)   DOD has issued guidance establishing a 1 percent ceiling on all performance-based awards given to those employees who are transitioning from NSPS to GS for FY2010. After the transition year, PARBS will fund and execute 1.25% of the total adjusted salaries as cash awards. PARBS may budget and execute a separate funding percentage for awarding QSIs.A Performance Awards Review Board is a group of senior leaders of an organization whose responsibility is to review and approve all performance awards at a strategic level for fairness, appropriateness and adherence to merit system principles. The Performance Awards Review Board (PARB) will make and award cash bonuses and QSIs based on: Contribution Level Assigned Employee and Supervisory Assessment Employees performance and contribution Similarly situated employees The PARB Budget And written business rules   Between April and August commands will determine the level and number of PARBS and identify PARB members. PARB business rules must be established 30 days prior to the end of the appraisal cycle. Due to the late release of the DON IPMS policy, which was disseminated on 13 Sept 2010, published business rules must be established no later than 30 days from the issuance of the DON policy (nlt 13 Oct 2010)   PARBS must meet no later than 45 days after the end of the performance appraisal cycle. (15 Nov)   DOD has issued guidance establishing a 1 percent ceiling on all performance-based awards given to those employees who are transitioning from NSPS to GS for FY2010. After the transition year, PARBS will fund and execute 1.25% of the total adjusted salaries as cash awards. PARBS may budget and execute a separate funding percentage for awarding QSIs.

15. 15 Rate Performance Process performed by the employee, RO and SRO Only two ratings Acceptable and Unacceptable Employee required to provide a written self-assessment for each critical element. Due 15 days after end of cycle Commands may require a specific format (STAR, ORCA, SCRAM, etc) RO required to consider employee self-assessment when preparing written assessment and individual critical element rating Due 30 days after end of cycle Any individual rating of “unacceptable” the entire rating of record will be “unacceptable” Performance standards used to evaluate acceptable and unacceptable performance found in appendix C of DON guidance Distinguished by career stage Supervisory critical element must be evaluated against the supervisory performance standard New performance appraisal form Old versions can continue to be used if established prior to date of USMC LOI Performance appraisal form will not record numerical scores associated with rewarding RO narrative assessment must be able to justify recommended rating of record to SRO A rating of Record is produced from the Rating Phase. Rating performance entails responsibilities from the employee, RO and SRO. Unlike the 5 level NSPS System, there are only two Ratings of Records under the DON Interim Policy – Acceptable or Unacceptable. Employees are required to submit a written self assessment to their RO by 15 Oct. Commands may require a specific format for the self assessments such as STAR, ORCA, and SCRAM. Rating Officials are required to consider the employees self assessment when preparing their written supervisory assessment of the employee. The supervisory assessment must be completed by 30 Oct. For an employee to receive an overall “acceptable” rating, all of his or her critical elements must have been rated “acceptable”. Therefore one unacceptable critical element results in an overall unacceptable rating.   As previously mentioned, performance standards are used to evaluate acceptable and unacceptable performance. Performance standards are distinguished by career stage. All supervisors MUST have a supervisory critical element measured against a supervisory performance standard.   With the new DON Policy, version 3 of the appraisal form was developed. You may continue to use older versions of the appraisal form as long as you used the form prior to the date of the USMC LOI, which was dated 16 Sept 2010. Regardless of the version used, USMC will not record numerical scores associated with evaluating critical elements nor the award recommendation.   Keep in mind, the Rating Officials narrative assessment may play a huge role; therefore, it must be able to justify recommended ratings of record.   There are times when a closeout rating is necessary and must be conducted. Closeouts must occur when an employee completes a detail or temporary promotion of more than 120 days under established critical elements. This also includes employees on loan from another activity or agency for more than 120 days. Closeouts are necessary when an employee changes positions, is promoted or moves to a new agency after being on established critical elements for at least 90 days. Also a closeout is required if the employee has been on critical elements for a minimum of 90 days and the Rating Official leaves. In instances where the RO leaves, the employee may continue under the same performance plan unless changed by the new rating official. Closeout ratings are very important and may become the rating of record if there is insufficient time (fewer than 90 days) to establish a new performance plan and rate the employee before the end of the appraisal period. A rating of Record is produced from the Rating Phase. Rating performance entails responsibilities from the employee, RO and SRO. Unlike the 5 level NSPS System, there are only two Ratings of Records under the DON Interim Policy – Acceptable or Unacceptable. Employees are required to submit a written self assessment to their RO by 15 Oct. Commands may require a specific format for the self assessments such as STAR, ORCA, and SCRAM. Rating Officials are required to consider the employees self assessment when preparing their written supervisory assessment of the employee. The supervisory assessment must be completed by 30 Oct. For an employee to receive an overall “acceptable” rating, all of his or her critical elements must have been rated “acceptable”. Therefore one unacceptable critical element results in an overall unacceptable rating.   As previously mentioned, performance standards are used to evaluate acceptable and unacceptable performance. Performance standards are distinguished by career stage. All supervisors MUST have a supervisory critical element measured against a supervisory performance standard.   With the new DON Policy, version 3 of the appraisal form was developed. You may continue to use older versions of the appraisal form as long as you used the form prior to the date of the USMC LOI, which was dated 16 Sept 2010. Regardless of the version used, USMC will not record numerical scores associated with evaluating critical elements nor the award recommendation.   Keep in mind, the Rating Officials narrative assessment may play a huge role; therefore, it must be able to justify recommended ratings of record.   There are times when a closeout rating is necessary and must be conducted. Closeouts must occur when an employee completes a detail or temporary promotion of more than 120 days under established critical elements. This also includes employees on loan from another activity or agency for more than 120 days. Closeouts are necessary when an employee changes positions, is promoted or moves to a new agency after being on established critical elements for at least 90 days. Also a closeout is required if the employee has been on critical elements for a minimum of 90 days and the Rating Official leaves. In instances where the RO leaves, the employee may continue under the same performance plan unless changed by the new rating official. Closeout ratings are very important and may become the rating of record if there is insufficient time (fewer than 90 days) to establish a new performance plan and rate the employee before the end of the appraisal period.

16. 16 Rate Performance Employee self-assessment required for every Critical Element RO assessment required for every Critical Element RO assessment must support rating assigned As I mentioned earlier, self assessments are required. Self assessments help employees annotate what they have accomplished throughout the year. Employees will write a self assessment for each critical element, and supervisors will write a supervisory assessment of the employees’ accomplishments. Here we have an illustration of the appropriate location on the performance appraisal form to annotate the employees and supervisor assessments for each critical element. The rating official will also rate the employees’ performance for each critical element. As you can see here, for element 1 this employee is rated as Acceptable. Numerical scores will not be assigned, regardless of what appraisal form is being used. As I mentioned earlier, self assessments are required. Self assessments help employees annotate what they have accomplished throughout the year. Employees will write a self assessment for each critical element, and supervisors will write a supervisory assessment of the employees’ accomplishments. Here we have an illustration of the appropriate location on the performance appraisal form to annotate the employees and supervisor assessments for each critical element. The rating official will also rate the employees’ performance for each critical element. As you can see here, for element 1 this employee is rated as Acceptable. Numerical scores will not be assigned, regardless of what appraisal form is being used.

17. 17 Rate Performance Each Critical element (CE) rating will populate in the rating of record section RO will recommend overall rating of record RO will recommend employee for an award and sign SRO will indicate approval rating of record by signing SRO will indicate concurrence with rating of record and award recommendation If not approved or non-concurred, SRO must document Rating final when signed by SRO and can be communicated to employee Critical elements will auto populate in the Rating of Record section of the form. This example indicates the Rating Official has rated each employees’ critical element as Acceptable, for an overall Acceptable Rating of Record. Next, the Rating Official will document an award recommendation in the “Command Use” block located below the “Rating of Record” section (if using version 2 or 3 of the IPMS Appraisal form) or the “Annual Performance Rating Section” (if using version 1 of the IPMS Appraisal form). The Rating Official will document the award recommendation by stating “Employees name is recommended or not recommended for an award. Followed by the Rating Officials name.   The SRO must state in the same block; I concur or do not concur with the recommendation for an award. Followed by the Senior Rating Officials name.   If the SRO disapproves and changes the rating of record or does not concur with the award recommendation, the SRO must document the rational for not doing so in the same block. The Rating of Record is final after approval of the SRO and can be communicated to the employee at that time.   Rating of Record will be recorded in the Defense Civilian Personnel Data System (DCPDS).Critical elements will auto populate in the Rating of Record section of the form. This example indicates the Rating Official has rated each employees’ critical element as Acceptable, for an overall Acceptable Rating of Record. Next, the Rating Official will document an award recommendation in the “Command Use” block located below the “Rating of Record” section (if using version 2 or 3 of the IPMS Appraisal form) or the “Annual Performance Rating Section” (if using version 1 of the IPMS Appraisal form). The Rating Official will document the award recommendation by stating “Employees name is recommended or not recommended for an award. Followed by the Rating Officials name.   The SRO must state in the same block; I concur or do not concur with the recommendation for an award. Followed by the Senior Rating Officials name.   If the SRO disapproves and changes the rating of record or does not concur with the award recommendation, the SRO must document the rational for not doing so in the same block. The Rating of Record is final after approval of the SRO and can be communicated to the employee at that time.   Rating of Record will be recorded in the Defense Civilian Personnel Data System (DCPDS).

18. 18 PARB Process Board Administrator sets up the PARB tool prior to convening DCPDS data (Name, grade, step, salary information) Funding levels as established by DoD/DON/ USMC/Command Career stage information for employees assigned Eligibility and recommendation Board members prepare for PARB by reviewing performance of their employees Make preliminary contribution level determinations Potential candidate(s) for QSI Review business rules The PARB has a very important job and with that, the PARB has members with duties to help make the process run smoothly. We’ll first discuss the Board Administrator. The Board Administrators role will be to compile all of the data elements and material required for the board review process to include the PARB Tool. The PARB Tool is a USMC tool designed to assign a starting calculated award percentage relative to similarly situated employees, identify those eligible for a QSI, identify those only eligible for a GPI (those with an unacceptable rating), track and balance the PARB Budget, and provide a PARB Analysis. The administrator will ensure DCPDS data is loaded into the tool, ensure funding levels are set properly, career stages for each employee are uploaded, ensure eligibility and recommendations are readily available for the PARBs review.   PARB members will prepare for the PARB by reviewing the performance of their employees and making preliminary contribution level determinations. I’ll discuss contribution levels in a little more detail shortly. PARB members will also review those employees eligible for a QSI and award QSIs as appropriate. All decisions made by the PARB shall adhere to published business rules. The PARB has a very important job and with that, the PARB has members with duties to help make the process run smoothly. We’ll first discuss the Board Administrator. The Board Administrators role will be to compile all of the data elements and material required for the board review process to include the PARB Tool. The PARB Tool is a USMC tool designed to assign a starting calculated award percentage relative to similarly situated employees, identify those eligible for a QSI, identify those only eligible for a GPI (those with an unacceptable rating), track and balance the PARB Budget, and provide a PARB Analysis. The administrator will ensure DCPDS data is loaded into the tool, ensure funding levels are set properly, career stages for each employee are uploaded, ensure eligibility and recommendations are readily available for the PARBs review.   PARB members will prepare for the PARB by reviewing the performance of their employees and making preliminary contribution level determinations. I’ll discuss contribution levels in a little more detail shortly. PARB members will also review those employees eligible for a QSI and award QSIs as appropriate. All decisions made by the PARB shall adhere to published business rules.

19. 19 PARB Process Board Chair Convene PARB 45 days after end of cycle Ensure a shared understanding by all PARB members regarding contribution level (CL) descriptions The PARB must convene by 15 November, which must occur within 45 days after the end of the cycle. Each PARB will have a Board Chair who will be the senior representative, responsible for management of the board and approval of all board decisions. The Board Chair will ensure a shared understanding by all of the PARB members regarding contribution level descriptions. The Board Chair will also facilitate review of performance and assignment of contribution levels per the business rules. Contribution levels are assigned to each employee for their overall performance and contribution; not by individual critical elements. There are three contribution levels: CL 1 - Met expectations CL 2 - Exceeded expectations CL 3 – Greatly exceeded expectations   Descriptions of each contribution level are visible here and are also included in the USMC LOI. The PARB must convene by 15 November, which must occur within 45 days after the end of the cycle. Each PARB will have a Board Chair who will be the senior representative, responsible for management of the board and approval of all board decisions. The Board Chair will ensure a shared understanding by all of the PARB members regarding contribution level descriptions. The Board Chair will also facilitate review of performance and assignment of contribution levels per the business rules. Contribution levels are assigned to each employee for their overall performance and contribution; not by individual critical elements. There are three contribution levels: CL 1 - Met expectations CL 2 - Exceeded expectations CL 3 – Greatly exceeded expectations   Descriptions of each contribution level are visible here and are also included in the USMC LOI.

20. 20 PARB Process Award percentages The PARB tool will assign a starting percentage for each CL based on the funding and number of employees PARB can further distinguish employee performance and contribution by manually overriding tool CL 3 percentages will be higher than CL2, and CL2 percentages will be higher than CL1 QSIs Once CLs and percentages have been assigned Review eligible candidates for QSI Award QSI as appropriate Ensure RO assessment fully justifies any decision to award a QSI Cannot exceed funding Commands may establish guidance that permits the transfer of unspent QSI funding to Bonus funding The PARB essentially has three duties. 1) Assign CL levels for each employee 2) Award Bonus Percentages and 3) Award QSIs The PARB tool will assign a starting percentage for each CL based on the funding and number of employees in the PARB. The PARB Tool allows the PARB Members to further make distinctions in employees performance by manually overriding the tool and assign a specific percentages or dollar amount to an employee. CL 3 percentages will be higher than CL 2 percentages and CL 2 percentages will be higher than CL 1 percentages.   Once the CL and percentages have been assigned, the PARB will review those employees eligible to receive a QSI. Only employees with a CL 3 will be eligible for a QSI. Employees on retained pay or at the step 10 of their grade are not eligible for QSI’s. Rating Officials should ensure their assessments fully justify all decisions to grant the employee an award including a QSI. The PARB may not exceed the funding limitations. Due to the funding being capped at 1% for transition year, commands will not transfer unspent QSI funds to bonus. The PARB essentially has three duties. 1) Assign CL levels for each employee 2) Award Bonus Percentages and 3) Award QSIs The PARB tool will assign a starting percentage for each CL based on the funding and number of employees in the PARB. The PARB Tool allows the PARB Members to further make distinctions in employees performance by manually overriding the tool and assign a specific percentages or dollar amount to an employee. CL 3 percentages will be higher than CL 2 percentages and CL 2 percentages will be higher than CL 1 percentages.   Once the CL and percentages have been assigned, the PARB will review those employees eligible to receive a QSI. Only employees with a CL 3 will be eligible for a QSI. Employees on retained pay or at the step 10 of their grade are not eligible for QSI’s. Rating Officials should ensure their assessments fully justify all decisions to grant the employee an award including a QSI. The PARB may not exceed the funding limitations. Due to the funding being capped at 1% for transition year, commands will not transfer unspent QSI funds to bonus.

21. 21 PARB Results PARB actions complete PARB tool will generate an employee notification form Identifies name of Board Chair and date PARB final Provides: Assigned contribution level Award Amount (if applicable) QSI (if applicable) Payout Commands and HROs will process awards and QSIs in a timely manner (usually prior to January) Grievances Determination concerning awards or QSIs are not grievable Records Management Final performance appraisal forms and PARB results will be maintained in accordance with command rules It’s a best practice to maintain a copy for your records. After the PARB has made all of their award decisions, and all have been approved by the Board Chair, the PARB tool will generate an employee notification form. The formal notice will identify the Board Chair and the date the PARB finalized the results. The employee will also be notified of their assigned contribution level, award amount (if applicable) and QSI (if applicable). Awards are neither mandatory nor guaranteed.   Commands and HROs will process awards and QSIs accurately and in a timely manner. Unlike NSPS, awards may be processed prior to the first pay period in January.   Determinations concerning awards or QSIs are not grievable. The DON IPMS policy provides guidance on issues related to the performance appraisal/rating process in Section 8.   Final appraisal forms and PARB results will be maintained in accordance with the commands established records management plan. It’s a best practice to maintain a copy for your records. After the PARB has made all of their award decisions, and all have been approved by the Board Chair, the PARB tool will generate an employee notification form. The formal notice will identify the Board Chair and the date the PARB finalized the results. The employee will also be notified of their assigned contribution level, award amount (if applicable) and QSI (if applicable). Awards are neither mandatory nor guaranteed.   Commands and HROs will process awards and QSIs accurately and in a timely manner. Unlike NSPS, awards may be processed prior to the first pay period in January.   Determinations concerning awards or QSIs are not grievable. The DON IPMS policy provides guidance on issues related to the performance appraisal/rating process in Section 8.   Final appraisal forms and PARB results will be maintained in accordance with the commands established records management plan. It’s a best practice to maintain a copy for your records.

22. Course Summary Identify and explain the performance management phases in the Interim Performance Management System Identify the criteria and methods for developing and evaluating critical elements Describe the purpose of the progress review, factors considered at review, and how to conduct one Explain importance of closeout assessments and when they are to be conducted Understand the two separate and distinct processes: Rating and Rewarding Accurately complete the performance plan appraisal form Describe the USMC recognition framework Understand the importance of the Performance Awards Review Board, their duties, roles and responsiblities A lot of information has been provided to you so let’s recap what you’ve learned. You should be able to   Identify and explain the four phases throughout the Interim Performance Management System Identify the performance standards and career stages that are taken into account when developing and evaluating critical elements Describe the purpose of the mandatory progress review that occurs midway through the cycle, the assessments considered at review, and the importance of continuous feedback, monitoring and developing employees, and how to conduct a progress review. Explain the importance of closeout assessments, when they must be conducted and how the circumstances at which the closeout rating could become the Rating of Record Understand the IPMS policy has two separate and distinct processes: One for Rating and the other for Rewarding Regardless of which version of the IPMS Appraisal form you use, you know how to accurately complete the performance plan appraisal form from the establishment of the plan. Progress reviews, self assessments and ultimatley to the final product, the Rating of Record. Describe the recognition framework used by the Marine Corp with contribution levels assigned to each employee by the Performance Awards Review Board And finally you understand the importance of the Performance Awards Review Board, their duties, roles and responsiblities to include final results such as payout, grievances and records management. A lot of information has been provided to you so let’s recap what you’ve learned. You should be able to   Identify and explain the four phases throughout the Interim Performance Management System Identify the performance standards and career stages that are taken into account when developing and evaluating critical elements Describe the purpose of the mandatory progress review that occurs midway through the cycle, the assessments considered at review, and the importance of continuous feedback, monitoring and developing employees, and how to conduct a progress review. Explain the importance of closeout assessments, when they must be conducted and how the circumstances at which the closeout rating could become the Rating of Record Understand the IPMS policy has two separate and distinct processes: One for Rating and the other for Rewarding Regardless of which version of the IPMS Appraisal form you use, you know how to accurately complete the performance plan appraisal form from the establishment of the plan. Progress reviews, self assessments and ultimatley to the final product, the Rating of Record. Describe the recognition framework used by the Marine Corp with contribution levels assigned to each employee by the Performance Awards Review Board And finally you understand the importance of the Performance Awards Review Board, their duties, roles and responsiblities to include final results such as payout, grievances and records management.

23. Guides, Websites & Resources DON Interim Performance Management System Policy, Sept 2010 USMC Letter of Instruction (LOI), Sept 2010 TRAINING Writing a Self Assessment iSuccess Web Performance Management: A tool to achieve results GS 101 Official USMC MPC 20 Website USMC NSPS Transition Help Desk As I bring this training to an end, I’d like to make you aware of additional resources available to you in case you need to refer to them in the future. You may access all of them by clicking on the title to be directed to the link. You can quickly access the DON IPMS Policy and the USMC Letter of Instruction, self assessment, performance management and GS101 training available to you. The USMC MPC 20 website has all of the up to date information from USMC, Department of Navy, and DoD. From here, you may also send an email to the NSPS Transition Program Management Office Help Desk if you have any questions or concerns.   It has been a pleasure! Thank you for tuning in to the training on the DON Interim Performance Management System and USMC Reward and Recognition Framework. Until next time, Semper Fi As I bring this training to an end, I’d like to make you aware of additional resources available to you in case you need to refer to them in the future. You may access all of them by clicking on the title to be directed to the link. You can quickly access the DON IPMS Policy and the USMC Letter of Instruction, self assessment, performance management and GS101 training available to you. The USMC MPC 20 website has all of the up to date information from USMC, Department of Navy, and DoD. From here, you may also send an email to the NSPS Transition Program Management Office Help Desk if you have any questions or concerns.   It has been a pleasure! Thank you for tuning in to the training on the DON Interim Performance Management System and USMC Reward and Recognition Framework. Until next time, Semper Fi