United States Department of the Interior IN REPLY REFER TO: 1400-451 (953) P BUREAU OF LAND MANAGEMENT Wyoming State Office P.O. Box 1828 Cheyenne, Wyoming 82009-1828 October 8, 2014 EMS Transmission: 10/9/2014 Instruction Memorandum No. WY-2015-003 Expires: 9/30/2016 To: From: Subject: All Supervisors Associate State Director Employee Performance Appraisal Plans (EPAPs) and Performance Awards Closeout of FY 2014 DD: 10/31/2014 Performance Awards Submitted to HR DD: 11/30/2014 Initiation of FY 2015 DD: 11/30/2014 Mid-Year Review DD: 05/31/2015 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: Supervisors must evaluate each employee s performance against established criteria and provide a summary rating either when the employee leaves their position or at the end of each Fiscal Year (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 Instruction Memorandum No. 2014-037, Bureau of Land Management 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 2014 close-outs, initiation of FY 2015 EPAPs, and FY 2015 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 form and the completed award forms sent to Human Resources no later than November 30, 2014. Processing: Beginning with the close-out EPAPs for FY 2014 and when initiating FY 2015 EPAPs, the attached spreadsheet must be completed by each District/Division. Districts and Divisions are required to provide a copy of the completed spreadsheet to Human Resources (HR) on the following dates to ensure compliance with EPAP policies and procedures. Initial EPAP data due by: December 15, 2014 Mid-Year review data due by: June 1, 2015 End of Year EPAP data due by: October 30, 2015 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 2014 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 HR 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 2
3 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 and Divisions to ensure that EPAPs have been signed by the appropriate supervisor and the reviewing official, as appropriate. Each Division and District must submit their completed EPAPs as a complete group to HR. The group should be alphabetized for the Division or District and must account for all employees in their Division or District. All EPAPs must be received in HR no later than October 31, 2014. Processing of FY 2014 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, 2014, 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 HR 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 and placed in the employee s electronic Official Personnel Folder (OPF).
Each Division or 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, 2014, using the DOI Awards Form DI-451, revised June 2010. A fillable version of this form is located on the DOI forms page located at http://www.doi.gov/archive/nbc/formsmgt/fm_forms.html. 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 HR to process. Initiation of EPAPs for FY 2015 Supervisors must adhere to the Department s Performance Management System, 370 DM 430 when initiating EPAPs. Per Departmental Memorandum dated September 19, 2014, FY 2015 EPAPs will be issued using the Department s eform system. Supervisors and employees will be given more information on using this electronic system as guidance becomes available. Supervisors are asked to delay initiating FY 2015 EPAPs until the eform system has been released. The DOI EPAP eforms, DI-3100 S for supervisors and DI-3100 for all other employees, 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, 2014, unless modified by a delay in the implementation of the DOI eform program. 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 http://www.doi.gov/bpp/upload/doi_fy2011-fy2016_strategicplan.pdf. 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. 4
5 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, Personnel Bulletin 07-07, BLM Manual 1400-430, and Departmental Memorandum. Coordination: This policy was coordinated with the Wyoming Leadership Team. Contact: Please refer questions to Missy Cook, Human Resources Specialist, at (307) 775-6352 or rcook@blm.gov; or Casey Corbin, Human Resources Specialist, at (307) 775-6107 or ccorbin@blm.gov. Signed by: Mary Jo Rugwell Associate State Director Authenticated by: Sherry Dixon Support Services Assistant 2 Attachment 1 - Understanding Performance Management (3 pp) 2 FY 2015 EPAP Tracking (1 p) Distribution Director (700), 1849 C Street NW, Rm. 5611 CF 1 (w/o atch.) 2 (w atch.)