Employee Performance Appraisal Plans and Performance Awards
United States Department of the Interior
BUREAU OF LAND MANAGEMENT
Wyoming State Office
P.O. Box 1828
Cheyenne, WY 82003-1828
www.blm.gov/wy
In Reply Refer To:
1400-451 (953) P
August 31, 2017
EMS Transmission: 08/31/2017
Instruction Memorandum No. WY-2017-021
Expires: 9/30/2020
To: All Supervisors
From: Associate State Director
Subject: Employee Performance Appraisal Plans (EPAPs) and Performance Awards
Closeout of Fiscal Year (FY) 2016 DD: 10/31/2017
Performance Awards Submitted to ER DD: 11/30/2017
Initiation of FY 2016 DD: 11/30/2017
Mid-Year Review DD: 05/31/2018
Program: The Department of the Interior (DOI) and the Bureau of Land Management (BLM) Awards Program 370 DM 451, and Performance Management System 370 DM 430.
Purpose: The purpose of this Instruction Memorandum (IM) is to: (1) serve as a reminder of the requirements regarding Employee Performance Appraisal Plans (EPAPs), (2) provide guidance and deadlines for processing performance-based cash awards and Quality Step Increases (QSI), and (3) provide updated information on the process to use when completing and initiating both EPAPs and awards.
Background: Using DI-3100, Employee Performance Appraisal Plan, or DI-3100S, Supervisory Employee Performance Appraisal Plan, employee’s performance must be evaluated against established criteria and provide a summary rating either when the employee leaves their position or at the end of each FY, whichever is sooner. The employee must be in the position for at least ninety (90) days before a summary rating can be given. In addition, supervisors should modify EPAP criteria, as needed, to reflect current office priorities. After any substantial change of an EPAP element, no summary rating can be given until the employee has been on that EPAP for at least 90 days.
Policy/Action: Per IM No. 2014-037, the BLM New Employee Orientation, supervisors are required to “establish the initial Employee Performance Appraisal Plan” and provide that EPAP to new employees their first day on the job.
FY 2017 close-outs, initiation of FY 2018 EPAPs, and FY 2017 mid-year reviews must be completed by the specified deadlines shown above. Supervisors are responsible for ensuring that the appropriate EPAP form is being used, including those for supervisory employees.
All performance-based awards must be initiated using the most recent DI-451 form and the completed award forms sent to the Employee Relations (ER) staff no later than
November 30, 2017.
Processing: An EPAP tracking spreadsheet has been provided to each District/Division and must be completed by each District/Division. Districts/Divisions are required to provide a copy of the completed spreadsheet to the ER staff on the following dates to ensure compliance with EPAP policies and procedures.
Initial EPAP tracking data due by: December 15, 2017
Mid-Year review tracking data due by: June 1, 2018
End of Year EPAP tracking data due by: October 30, 2018
Mid-Year Review
Effective and timely feedback during the performance appraisal period should be given to address employee performance on elements and standards. Feedback is essential so that employees know in a timely manner how well they are performing. They need to be told what they are doing well and if there are areas that need improvement. Supervisors are required to meet with each employee at least one time during the FY for a mid-year review of their EPAP. This mid-year review must occur no later than May 31 of each year.
Supervisors are encouraged to meet with new employees, especially those new to Federal service, on a more frequent basis to ensure employees have a clear understanding of the performance management system and to provide feedback on supervisor expectations.
Closeout of EPAPs for FY 2017
Completed EPAPs must contain the employee and the rating official signatures reflecting the notification and initiation of performance standards, receipt of training, at least one progress review, the date an Individual Development Plan (IDP) was initiated (mandatory for supervisory employees), and the end-of-year summary rating. Supervisors are asked to also print their name in the summary rating signature block so that ER can ensure the correct supervisor signed the form.
IDPs are required to be completed by all supervisors and a copy of the plan submitted with the closeout EPAP.
EPAPs with an overall summary rating of Exceptional (Level 5), Minimally Successful
(Level 2), or Unsatisfactory (Level 1), must be approved by the rating official, a reviewing official, and the Associate State Director prior to discussion with the employee. The authority to serve as a reviewing official is delegated to Field Managers or higher level managers, however, concurrence from the Deputy State Director (DSD) or District Manager (DM) is required. It is the responsibility of the Districts/Divisions to ensure that EPAPs have been signed by the appropriate supervisor and the reviewing official.
Each Division and District must submit their completed EPAPs as a complete group to ER. The group must be alphabetized for the Division/District and must account for all employees in their Division/District. All EPAPs must be received in ER no later than October 31, 2017. EPAPs not on the correct form will be returned to the supervisor for correction.
Processing of FY 2017 Performance Awards
Employees are not entitled to awards, and awards are not guaranteed, regardless of rating level. All awards are given at the discretion of the supervisor.
Performance Award amounts must be in accordance with the Department’s Performance Management System, 370 DM 430:
• employees with ratings of Superior (Level 4) are eligible to receive up to 3 percent of their gross income
• employees with ratings of Exceptional (Level 5) must be considered for an award, and are eligible to receive up to 5 percent of their gross income or a QSI
• QSIs cannot be delayed beyond December 31, 2017, without Department approval
Employees receiving Level 4 or 5 ratings can be approved for a time-off award up to a maximum of 40 hours in lieu of a cash award.
Employees with ratings of Fully Successful (Level 3) or lower are not eligible to receive an end of-year performance award, but may receive a STAR award for reasons other than sustained performance tied to the EPAP rating.
End-of-year performance-based cash awards and QSIs are intended to reward employee achievements and should be granted in a manner that differentiates between levels of performance.
In accordance with Wyoming’s Delegation of Authority, awards up to $910 (gross) can be approved by the first-level supervisor. Awards greater than $910 (gross) must be reviewed and signed by the appropriate DM or DSD.
Performance Awards for each division/district will not be processed until all EPAPs for that Division/District have been received in ER and are processed. In addition, all awards will undergo a procedural review prior to processing; therefore, supervisors will not distribute or notify employees of awards prior to the SF-50 being processed.
Each Division/District must enter performance-based cash awards, time-off awards, and QSIs into FPPS and forward a hard copy of the award form to the Human Resources Office no later than November 30, 2017, using the DOI Awards Form DI-451, revised June 2010. A fillable version of this form can be found at http://web.wy.blm.gov/953/forms/DI-451_Savable.pdf.
It is the responsibility of the division/district to attach a copy of the employee’s completed EPAP to the awards form as documentation supporting the performance award. Any award that is initiated using an incorrect form will be returned to the district/division for revision.
Group Awards
Any group award given must include a list that contains the following information: employee name, employee title, amount of award, and the employee’s individual contribution. This list must be included with the DI-451 award form when sent to ER to process.
Initiation of EPAPs for FY 2018
Supervisors must adhere to the Department’s Performance Management System, 370 DM 430 when initiating EPAPs.
The most current DOI EPAP forms, DI-3100S for supervisors dated October 2016, and DI-3100 for all other employees, dated September 2012, must be used to establish critical elements and standards for employees within 60 days of the beginning of the performance appraisal cycle, or no later than November 30, 2017.
Employees may have up to five (5), but must have at least one (1) critical element. Supervisors must develop enough elements to adequately assess the employee’s performance of the essential functions of their position. Every employee is expected to have at least one (1) critical element that is linked to the Government Performance and Results Act (GPRA) goals of the DOI/BLM. This element should cascade from the State Director and/or Associate State Director’s EPAP(s). The GPRA goals can be found in the DOI Strategic Plan, which is located at https://www.doi.gov/pfm/strategic-plans.
EPAPs are required for all employees that have been in duty status for at least 90 days. This includes temporary promotions, students, or other temporary assignments or details that are at least 90 days in length.
Training
Each employee must certify that they know of and understand the performance management process. As such, all employees must read and sign the attached “Understanding Performance Management” document. The signed form must be given to the supervisor no later than five (5) days following initiation of the EPAP.
Timeframe: Effective Immediately
Budget Impact: N/A
Manual/Handbook Sections Affected: Reference material includes 5 CFR 430, 5 CFR 451, 370 DM 430, 370 DM 451, 370 DM 430HB-1, and Departmental Memorandum.
Coordination: This policy was coordinated with the Wyoming Leadership Team.
Contact: Please refer questions to Missy Cook, Human Resources Specialist (ER), at (307) 775 6352 or rcook@blm.gov; or Jesus Duron, Human Resources Specialist (ER), at (307) 775-6107 or jduron@blm.gov.
Signed by:
Larry Claypool
Associate State Director
Authenticated by:
Jessica Camargo
State Director's Office
1 Attachment:
1 - Understanding Performance Management (3 pp)
Distribution
Director (700), 5613 MIB 1 w/o attchs
CF 1 w/ attchs