Performance management policies. Current Transmittal No: 237
NOTE: This Electronically-District Personnel Manual (E-DPM) instruction supersedes DPM Instruction No. 14-18, Request for Review of Performance Rating to the D.C. Performance Rating Impartial Review C...
|1403||Performance Management Period|
|1408||Individual Development Plan|
|1409||Mid-Year Progress Discussions|
|1410||Performance Improvement Plan|
|1411||Eligibility to Receive an Annual Performance Evaluation|
|1412||Annual Performance Evaluation|
|1415||Employee Request for Review|
|1417||Capital City Fellows|
1400.1 The provisions of this chapter apply to all of the following:
1400.2 Performance provisions contained in Chapter 36 apply to employees in the Legal Service appointed under the authority of Sections 851 through 862 of the CMPA (D.C. Official Code §§ 1-608.51 through 1-608.62). Performance Plans for supervisors and non-supervisory attorneys, as described in Sections 3606 and 3607 of Chapter 36 of these regulations, shall be prepared in accordance with Sections 1406, 1407, 1408, and 1409 of this chapter.
1401.1 The provisions of this chapter shall not apply to the following employees:
1402.1 The purpose of this chapter is to set forth the rules for the District government’s performance management program.
1402.2 Performance management integrates the processes District government agencies use to do all of the following:
1402.3 The performance management program implemented by this chapter shall accomplish all of the following:
1403.1 Except as provided in section 1417 of this chapter, the performance management period for all covered employees shall be from the beginning of each fiscal year (October 1st) to the end of the fiscal year (September 30th).
1404.1 An overall performance rating shall be a culmination of the ratings assigned to each performance expectation. The overall performance rating indicates the level of an employee’s actual performance of assigned competencies and S.M.A.R.T Goals during the performance management period.
1404.2 The overall performance rating shall be derived from the score on competencies for fifty percent (50%); and S.M.A.R.T Goals for fifty percent (50%).
1404.3 The rating levels for the performance management program shall be as follows:
1405.1 A Performance Plan shall set forth the performance expectations and development objectives that each covered employee is expected to accomplish during the performance management period.
1405.2 Only the Director, D.C. Department of Human Resources (or designee), or independent personnel authority, as applicable, may approve an agency’s request for an extension of the annual Performance Plan submittal period.
1405.3 Except as otherwise provided in this chapter, each supervisor shall complete a Performance Plan outlining what is expected of each covered employee, as follows:
1405.4 A Performance Plan shall include all of the following:
1405.5 Modifications to the Performance Plan can only be made up to June 30th (ninety (90) calendar days before the end of the performance management period).
1406.1 Competencies are a type of performance expectation that consists of the critical knowledge, abilities, skills, and personal characteristics necessary for satisfactory performance in a particular position. Competencies are linked to the specific duties performed in a particular work unit, but focus strongly on each employee individually.
1406.2 At the beginning of each performance management period, a supervisor or a reviewer, in the absence of the supervisor, shall discuss with the employee how each competency relates to the employee’s job. At the end of the performance management period, the supervisor or a reviewer, in the absence of the supervisor, shall evaluate each competency based on the employee’s performance during the period.
1406.3 There are five (5) core competencies for all employees covered by this chapter:
1406.4 There are three (3) additional core competencies applicable to supervisors:
1406.5 The supervisor may choose up to three (3) additional competencies, or develop an additional three (3) competencies in collaboration with the employee. The recommended additional competencies include but are not limited to the following:
1407.1 S.M.A.R.T Goals are a type of performance expectation that consists of goals that are “Specific, Measurable, Attainable, Realistic, and Time-Related.” A Performance Plan shall include at least three (3) and not more than five (5) S.M.A.R.T Goals.
1407.2 The use of S.M.A.R.T Goals may augment the use of performance standards for agencies to document performance objectives for employees. Wherever possible, and as applicable, agencies should incorporate the text normally found in performance standards in the employee’s S.M.A.R.T Goals.
1407.3 S.M.A.R.T Goals set in the Performance Plan shall be weighted, with the sum of all goal weightings equal to one hundred percent (100%).
1407.4 S.M.A.R.T Goals set in the performance plan shall include a timeframe for the accomplishment of each goal.
1407.5 At the beginning of each performance management period, a supervisor or the reviewer, in the absence of the supervisor, shall discuss with the employee how each S.M.A.R.T Goal relates to the employee’s job. At the end of a performance management period, the supervisor or the reviewer, in the absence of the supervisor, shall evaluate each S.M.A.R.T Goal based on the employee’s performance during the period.
1408.1 At the beginning of the performance management period, a supervisor, or the reviewer in the absence of the supervisor, shall prepare an Individual Development Plan for an employee, identifying areas for growth and development. The Individual Development Plan shall be prepared in collaboration with the employee. The Individual Performance Plan shall include at least one (1) and no more than three (3) objectives.
1408.2 Each Individual Development Plan is for developmental purposes only, and shall not be part of the evaluation at the end of the performance management period.
1408.3 Each Individual Development Plan may include but is not limited to the following objectives:
1408.4 Each Individual Development Plan shall include a timeframe for the accomplishment of each objective.
1409.1 Each employee entitled to an annual performance evaluation under section 1411 of this chapter may participate in a mid-year progress discussion no less than three (3) months prior to the end of the performance management period. When used, the mid-year progress discussion is initiated by the employee’s immediate supervisor or the reviewer, in the absence of the immediate supervisor; and serves as a mechanism for providing feedback to an employee and identifying areas that need improvement.
1409.2 The mid-year progress discussion shall be mandatory in the case of probationary employees. The mid-year progress discussion shall not impinge on a recommendation to terminate the probationary employee during his or her probationary period.
1409.3 An annual performance evaluation shall not be based solely on a mid-year progress discussion. An employee’s performance during the entire review period must be used to determine how well the employee performed each performance expectation and the overall performance rating.
1410.1 This section shall not apply to probationary employees in the Career Service.
1410.2 A Performance Improvement Plan (PIP) is designed to facilitate constructive discussion between an employee and his or her immediate supervisor to clarify areas of work performance that must be improved. Once the areas for improvement have been identified, the PIP provides the employee the opportunity to demonstrate improvement in those areas and his or her ability to meet the specified performance expectations.
1410.3 A PIP issued to an employee shall last for a period of thirty (30) to ninety (90) days and must:
1410.4 An employee’s immediate supervisor or, in the absence of the employee’s immediate supervisor, the reviewer, as the term is defined in Section 1499, shall complete a PIP when the employee’s performance has been observed by the immediate supervisor as requiring improvement.
1410.5 Within ten (10) business days after the end of the PIP period, the employee’s immediate supervisor or, in the absence of the employee’s immediate supervisor, the reviewer, shall issue a written decision to the employee as to whether the employee has met or failed to meet the requirements of the PIP.
1410.6 If the employee fails to meet the requirements of the PIP, the written decision shall state the reason(s) the employee was unsuccessful in meeting those requirements and:
1410.7 The written decision may serve as a notice of proposed reassignment, reduction in grade, or removal and be provided to the employee when the decision complies with the provisions of Chapter 16. Alternatively, the agency may issue a written decision and subsequently issue a separate notice of proposed reassignment, reduction in grade or removal.
1410.8 If a PIP is extended pursuant to Subsection 1410.6(a), the additional period shall begin on the date provided in the written decision. However, no employee shall be subject to a PIP for more than ninety (90) days inclusive of any extension(s). For the purposes of this subsection, the ninety (90)-day time limit excludes:
1410.9 Within ten (10) business days after the end of any additional period of time provided to further observe the employee’s performance, the employee’s immediate supervisor or, in the absence of that individual, the reviewer, shall issue a written decision to the employee as to whether the employee has met the requirements of the PIP.
1410.10 If the employee fails to meet the requirements of the PIP after the additional period of time provided, the written decision shall reassign, reduce in grade, or remove the employee.
1410.11 Whenever an immediate supervisor or, in the absence of the immediate supervisor, a reviewer, fails to issue a written decision within the specified time period as provided in Subsections 1410.5 or 1410.9, the employee shall be deemed to have met the requirements of the PIP.
1410.12 Whenever an employee fails to meet the requirements of a PIP and it results in a reassignment, reduction in grade, or termination action as specified in Subsections 1410.6(b) or 1410.10, the action taken against a Career Service employeeor an Educational Service employee in the Office of the State Superintendent of Education shall comply with Chapter 16.
1410.13 Any reduction in grade or termination action as specified in Subsection 1410.6(b) taken against a Legal Service employee who is not “at-will” shall be taken pursuant to Chapter 36.
1410.14 The Chief of Police may elect not to use a Performance Improvement Plan for officials above the rank of Captain.
1411.1 In order to be eligible to receive an annual performance evaluation, a Performance Plan shall be in place for at least ninety (90) calendar days prior to conducting an annual performance evaluation based on that performance plan at the end of the performance management period.
1411.2 An employee who has been reassigned, promoted or demoted during the ninety (90) days prior to the end of the performance management period shall receive a performance evaluation for that period.
1411.3 The performance evaluation pursuant to sections 1411.2 of this section shall be issued by the employee’s previous supervisor as specified in those sections.
1411.4 An employee who was reinstated or restored to duty during the ninety (90) days prior to the end of the performance management period shall be rated at the end of the next performance management period.
1411.5 An employee who transfers to an agency under the Mayor’s personnel authority from an independent personnel authority, or who is newly appointed during the ninety (90) days prior to the end of the performance management period, shall be rated at the end of the next performance management period.
1411.6 An employee reinstated, restored, newly appointed, or transferred shall automatically be considered as having been assigned a rating of Valued Performer, which shall remain the official rating of record until such time as replaced by another official rating.
1412.1 An annual Performance Evaluation shall be issued to each eligible employee within three months of the end of the performance management period, the exact date of which will be established by the appropriate personnel authority.
1412.2 The annual Performance Evaluation shall be based on the employee’s Performance Plan for that performance management period.
1412.3 Except as provided in section 1412.5 of this section, each employee entitled to be rated under section 1411 of this chapter shall be rated, based on his or her position of record, by his or her immediate supervisor or the reviewer, in the absence of the supervisor. In the absence of both the immediate supervisor and the reviewer, the agency head shall designate a higher-level official to complete the Performance Evaluation. In the absence of an electronic official performance evaluation, the employee’s performance shall be deemed to be at the “Valued Performer” level.
1412.4 A supervisor leaving his or her position at any time within the last ninety (90) calendar days of the performance management period shall conduct a Performance Evaluation for each employee covered by this chapter prior to his or her departure.
1412.5 An employee serving on detail for more than ninety (90) days at the end of the performance management period shall be rated by the employee’s immediate supervisor of the position to which detailed, with input from the supervisor of the employee’s position of record.
1412.6 An agency may use multi-source feedback as an evaluation tool consistent with procedures and guidelines established by the appropriate personnel authority.
1412.7 In instances where employees perform shift work or have multiple supervisors during the year, input or completion of the employee’s performance evaluation shall be provided by the appropriate supervisor(s).
1412.8 When an employee is evaluated on performance in his or her position of record in accordance with section 1412.3 of this section, appropriate consideration shall be given to work performed outside the position of record.
1412.9 Except when the agency head is the rating official, a Performance Evaluation issued by a rating official shall be subject to the review and approval of a reviewer prior to the supervisor’s year-end discussion with an employee.
1412.10 The annual Performance Evaluation for an employee who is on approved extended leave at the end of the performance management period (during the period in which performance evaluations are finalized) shall be postponed until the employee returns to his or her official position of record.
1412.11 A signature on the annual Performance Evaluation is considered official when submitted electronically using an electronic system used to facilitate the performance planning and evaluation process outlined in this chapter.
1412.12 The personnel authority may approve an agency’s request for an extension of the annual Performance Evaluation submittal period, consistent with 1412.1 of this section.
1413.1 At his or her discretion, each employee eligible to receive an evaluation may submit a selfevaluation to his or her supervisor as input into the performance evaluation process.
1414.1 An annual overall performance rating of Valued Performer or higher shall constitute performance at an acceptable level of competence for purposes of eligibility for a periodic step increase or a merit-based salary increase (for employees paid from open range salary schedules), as applicable, under Chapter 11 of these regulations.
1414.2 Each time an employee fails to receive a rating of Valued Performer or higher shall result in the due date for the next scheduled periodic step increase or merit-based salary increase being delayed for an additional year.
1415.1 This section shall not apply to probationary employees in the Career Service.
1415.2 Employees’ requests for review of performance ratings shall be handled at the hiring agency level by the person(s) or entity designated by the agency head to handle such matters. Subordinate agencies must establish an internal Reconsideration and Resolution Committee (RRC) to formally review overall performance ratings of Inadequate Performer (Level 1) and Marginal Performer (Level 2) when an employee requests a review. The RRCshall also conduct a paper review, as defined in Section 1499 of this chapter, of overall ratings of Valued Performer (Level 3), and Highly Effective Performer (Level 4) when an employee requests a review. The paper review excludes the hearing of testimony.
1415.3 The D.C. Department of Human Resources (DCHR) will serve in an impartial advisory capacity in the administration and disposition of performance rating review cases in subordinate agencies.
1415.4 An employee may, within ten (10) business days after participating in a performance rating year-end discussion with his or her immediate supervisor and receipt of an official rating, request a review of the rating by submitting the request for review to the subordinate agency head (or designee).
1415.5 An employee’s request for review of an official annual performance rating shall be in writing, and shall be submitted in accordance with procedures issued by the appropriate personnel authority.
1415.6 Pursuant to D.C. Official Code § 1-606.03 (a), an employee may appeal a final agency decision regarding a performance rating that results in removal of the employee with the Office of Employee Appeals within thirty (30) calendar days.
1415.7 Upon receipt of a request for review, the subordinate agency head (or designee) shall take either of the following actions:
1415.8 Independent personnel authorities may establish a review process for their employees.
1415.9 The provisions of Subsection 1415.6 of this section shall not apply to any performance rating that results in the removal of a Legal Service employee as described in section 1400.2 of this chapter. The right of appeal of such an employee shall be governed by Chapter 36 of these regulations.
1415.10 Rating appeal rights of Metropolitan Police Department employees shall be in accordance with procedures established by the agency.
1416.1 An employee serving a probationary period shall be subject to the performance management program established by this chapter. A Performance Plan shall be provided to each probationary employee, on which the probationer shall be evaluated.
1416.2 An acceptable performance rating during a probationary period in and of itself does not constitute passing of the probationary period or automatic movement to a permanent status.
1416.3 Neither the mid-year progress discussion nor the annual performance evaluation received by the probationary employee is appealable.
1417.1 A Performance Plan as described in section 1404 of this chapter shall be completed for each Capital City Fellow, not later than thirty (30) calendar days after the beginning of each six-month (6-month) placement. Each Performance Plan shall outline what is expected from the Capital City Fellow.
1417.2 The goals for each six-month (6-month) placement shall be weighted, with the sum of all goal weightings equal to one hundred percent (100%) for each rating. Goals shall be set as follows:
1417.3 The performance of each Capital City Fellow shall be evaluated at the end of each six-month (6- month) placement as specified in this section, for a total of four (4) individual performance ratings during the two-year (2-year) program.
1417.4 Each Capital City Fellow may, at his or her discretion, submit a self-evaluation as input into the annual performance evaluation process.
1417.5 A rating of Valued Performer or higher shall constitute performance at an acceptable level of competence for purposes of salary adjustment.
1417.6 The provisions in section 1416 of this chapter shall apply to Capital City Fellows.
1417.7 Capital City Fellows’ annual performance evaluations are not appealable.
When used in this chapter, the following terms shall have the meaning ascribed:
Annual performance evaluation – a process for determining how well an individual employee has performed the performance expectations established in the performance plan for the review period.
Competency – a type of performance expectation that consists of the critical knowledge, abilities, skills and personal characteristics necessary for satisfactory performance. They are linked to the specific duties performed in a particular work unit but focus strongly on the individual employee.
Days – calendar days for all periods of more than ten (10) days; otherwise, business days for periods of ten (10) days or less (unless explicitly stated as calendar days).
Electronic signature – a technologically neutral term indicating various methods of signing an electronic message that: (a) identifies and authenticates a particular person as a source of the electronic message; and (b) indicates such person’s approval of the information contained in the electronic message. Examples of electronic signature include: Personal Information Numbers or “PINs,” user identifications and passwords, digital signatures, and hardware and biometric tokens.
Individual development plan (IDP) – a development tool that identifies training and learning activities that will help an employee enhance the knowledge, skills, and abilities needed to perform work duties and prepare the employee for future career advancement.
Intermittent appointment – temporary appointment under which the employee serves on an intermittent basis that is non-full-time and without a prescheduled regular tour of duty. This type of temporary appointment is also referred to as when-actually-employed (WAE) appointment.
Mid-year progress discussion – a formal meeting between a supervisor and employee to discuss the employee’s performance and development at the midpoint of the review period.
Multi-source feedback – a tool used to assess employee performance that involves several sources (i.e., peers, employees, supervisors, customers) that have reliable information of an employee services or work products. This is commonly known as “360 degree feedback.”
Paper review – a review of relevant performance-related documentation (from employee or manager) by the agency Reconsideration and Resolution Committee (RRC) for the purpose of making a decision to retain or increase an employee’s performance rating. A paper review involves the review and consideration of submitted written documentation but excludes hearing testimony from witnesses.
Performance expectations – S.M.A.R.T. goals and competencies that describe what and how work is to be performed. Performance expectations are established by the supervisor and employee at the beginning of a review period.
Performance improvement plan (PIP) – A performance management tool designed to offer the employee an opportunity to demonstrate improvement in his or her performance.
Performance management – the systematic process by which an agency involves its employees, as individuals and members of a group, to ensure the accomplishment of agency mission and goals.
Performance management period – the length of time covering the performance planning and evaluation process. It goes from the beginning to the end of the fiscal year.
Performance plan – the formalized process of identifying and communicating the organizational, work unit, and individual goals expected of the employee. The Performance Plan consists of the following: Competencies, S.M.A.R.T Goals, and an Individual Development Plan.
Performance rating – the value assigned to each performance expectation and the employee’s overall performance based on a supervisor’s or, in the absence of the supervisor the reviewer’s, assessment of an employee’s performance during the review period.
Probationary employee – a Career Service employee occupying a position subject to the completion of a probationary period, to include employees in term appointments.
Rating official – the final rating authority in the annual performance evaluation process, who is either the employee’s supervisor, or, in the absence of the supervisor the reviewer.
Request for review – the process in which an employee requests a formal review of the overall performance rating received during the review period.
Reviewer – a supervisor, agency head, or agency head designee responsible for reviewing and approving the annual performance evaluation completed by a rating official.
Self-evaluation – the process in which the employee provides a self-assessment of the employee’s performance based on the established performance expectations during the review period.
S.M.A.R.T. goals – a type of performance expectation that consists of goals that are Specific, Measurable, Attainable, Realistic, and Time-Related.
Supervisor – an individual having the authority, in the interest of the employer, to hire, transfer, suspend, lay off, recall, promote, discharge, assign, reward, or discipline other employees, or responsibility to direct them, or to adjust employee grievances, or effectively to recommend such action, if in connection with the foregoing the exercise of such authority is not of a merely routine or clerical nature, but requires the use of independent judgment. For the purposes of this policy, “supervisor” also means “manager”.
The following D.C. Register citations identify when a given section(s) of Chapter 14, Performance Management, of Title 6 of the District of Columbia Municipal Regulations, was amended. Following the publication in the D.C. Register of subsequent final rulemaking notices, this Addendum will be updated accordingly.
For the convenience of Electronic-DPM (E-DPM) readers, the Addendum identifies amendments on a section-by-section basis, as well as the page in the DPM Transmittal impacted by the amendment(s), and provides brief comments on the amendment(s) accomplished.
|D.C. Register Date||Section(s)||Transmittal No.||Comments|
|28 DCR 4961 (11/20/81)||Entire chapter||Entire Chapter||The rules implemented Title XIV, Performance Evaluation, of the Comprehensive Merit Personnel Act of 1979.|
|47 DCR 5560 (7/7/00)||Entire chapter||DPM Transmittal No. 60||The rules implemented the performance management program that was authorized by the Omnibus Personnel Reform Amendment Act of 1988.|
|48 DCR 301 (1/12/01)||Entire chapter||DPM Transmittal No. 69||The rules implemented the performance management program that was authorized by the Omnibus Personnel Reform Amendment Act of 1988. These rules amend Chapter 14, Performance Management, published at 47 DCR 5560 (July 7, 2000).|
|49 DCR 1862 (3/1/02)||Section(s) 1400, 1401, and 1411||DPM Transmittal No. 83||The rules amended the chapter to add certain uniformed members of the Metropolitan Police Department to those covered by the chapter.|
|50 DCR 2851 (4/11/03)||Entire chapter||DPM Transmittal No. 95||The rules amended the chapter to: (1) add certain Legal Service employees and individuals appointed to the Excepted Service as Capital City Fellows to those covered by the chapter; (2) add a provision stating that the chapter is applicable to non-unionized Career Service employees not already covered in agencies under the personnel authority of the Mayor as their coverage is approved by the Director of Personnel on an agency by agency basis; (3) add new sections stating the components of a performance plan, define competencies, provide for an optional mid-year evaluation, and specify the provisions to evaluate the performance of Capital City Fellows; (4) provide clarification of the provisions on performance improvement plans; and (5) modify other portions of the chapter.|
|52 DCR 1302 (2/11/05)||Section(s) 1400, 1414, 1415, and 1417||DPM Transmittal No.126||The rules amended the chapter to: (1) expressly exclude at-will employees, including Capital City Fellows, from the performance improvement plan requirement in section 1414, (2) add language requiring that supervisors inform employees of any deficiencies in their performance, in a timely manner, throughout the rating period as a means of providing employees sufficient time to improve the deficiencies; (3) specify that employees covered under the chapter may request reviews of any performance rating, and clarify the language concerning appeals of final agency decisions affecting performance ratings which result in removals; and (4) make other non-substantive changes throughout the chapter.|
|Issued to correct an omission||Section(s) 1400||DPM Transmittal No.137||The pages are being replaced because sections 1400.2 and 1400.3 of the chapter were inadvertently omitted from Transmittal No. 126.|
|56 DCR 006164 (8/7/09)||Entire chapter||DPM Transmittal No. 194||The rules amended the chapter in its entirety.|
|56 DCR 006693 Errata Notice (8/28/09)||Entire chapter||DPM Transmittal No. 195||While final rules were published in the D.C. Register on August 7, 2009 (56 DCR 006164); the incorrect version of the rulemaking was mistakenly submitted for publication. Accordingly, a corrected version of the final rules was re-published. The version published as an Errata Notice is the same exact version as the proposed rules published on June 26, 2009 (56 DCR 005068). The rules amended the chapter in its entirety.|
|59 DCR 008396 (7/13/12)||Section 1400||DPM Transmittal No. 205||The rules amended section 1400 to add the employees within the Educational Service in the Office of the State Superintendent of Education.|
|66 DCR 005866 (5/10/2019)||Section(s) 1400, 1401, 1410, 1415. 1499||DPM Transmittal No. 237||The rules amended the chapter to (i) remove the deadline for establishing a performance improvement plan (PIP) (previously June 30th); (ii) clarify that a supervisor must make a determination as to whether an employee has met the requirements of the PIP within ten (10) business days (as opposed to calendar days) following the "end" of the PIP period (Section 1410); (iii) add language that a written determination may serve as notice of proposed reassignment, reduction in grade or removal, and be provided to the employee in accordance with Chapter 16, or that an agency may choose to issue a separate notice for these actions in accordance with the process contained in Chapter 16; (iv) add references to Chapter 36 (Legal Service), concerning performance-related rules for Legal Services employees, where applicable; and (v) add definitions for the terms "Days," "Intermittent appointment," and "Paper review" (Section 1499).|