| DC Personnel Regulations, Chapter 14, Part I
Performance Management
Contents
1400 Applicability
1400.1 The provisions of this chapter apply to all of the following:
(a) Employees in the Career Service appointed to supervisory and managerial positions under the authority of section 801 of the District of Columbia Government Comprehensive Merit Personnel Act of 1978 (CMPA), effective March 3, 1979 (DC Law 2-139; DC. Official Code § 1-608.01) (2001), including uniformed members of the Metropolitan Police Department at the ranks of Lieutenant, Captain, Inspector, Commander and Assistant Chief, except as provided in section 1400.3 of this section;
(b) Employees in the Excepted Service appointed under the authority of section 903 of the CMPA (DC Official Code § 1-609.03) (2002 Supp.) and employees in the Excepted Service appointed as Capital City Fellows under the authority of section 904(6) of the CMPA (DC Official Code § 1-609.04(6)) (2001), except for the provisions of section 1414 of this chapter;
(c) Employees in the Management Supervisory Service appointed under the authority of sections 951 through 958 of the CMPA (DC Official Code §§ 1-609.51 through 1-609.58) (2001), except for the provisions of section 1414 of this chapter;
(d) Employees in the Legal Service appointed under the authority of sections 851 through 863 of the CMPA (DC Official Code §§ 1-608.51 through 1-608.62) (2001) as supervisory attorneys in the Office of the Attorney General for the District of Columbia, non-supervisory attorneys who report directly to either the Attorney General for the District of Columbia or the Principal Deputy Attorney General, subordinate agency General Counsel, and other subordinate agency supervisory attorneys in the Legal Service; and
(e) Non-unionized Career Service employees not covered under § 1400.1(a) of this section employed in agencies under the personnel authority of the Mayor authorized for coverage under the performance management program by the Director of Personnel on an agency-by-agency basis.
1400.2 Upon authorizing an agency for coverage under the performance management program of non-unionized Career Service employees pursuant to § 1400.1(e), the Director of Personnel shall publish such authorization in the DC Register and the District Personnel Manual, including the name of the agency, a list of positions or categories of Career Service employees authorized for coverage, and any other pertinent information.
1400.3 Non-unionized supervisory and managerial employees in the Career Service who are serving a probationary period pursuant to § 813 of these regulations are covered only by the provisions of §§ 1406 and 1416 of this chapter, as specified therein.
1401 Exclusions
1401.1 The provisions of this chapter shall not apply to the following employees, who continue to be covered by the performance evaluation system that was in effect on December 31, 1979:
(a) Non-supervisory and non-managerial employees in the Career Service, except as specified in section 1400.1 (e) of this chapter;
(b) Unionized employees in the Career Service; and
(c) Employees in the Excepted Service other than those appointed under the authority of section 903 of the CMPA (DC Official Code § 1-609.03) (2002 Supp.), or as Capital City Fellows under the authority of section 904 (6) of the CMPA (DC Official Code § 1-609.04 (6)) (2001).
1401.2 The performance evaluation system that was in effect on December 31, 1979 is the system set forth in Part II of Chapter 14 of the District Personnel Manual.
1401.3 The provisions of this chapter shall not apply to uniformed members of the Metropolitan Police Department at the ranks of Officer, Master Patrol Officer, Detective, Investigator and Sergeant, who continue to be covered under the performance evaluation system in effect as of the effective date of these regulations.
1401.4 The provisions of this chapter shall not apply to unionized employees in the Legal Service.
1402 Purpose
1402.1 The purpose of this chapter is to set forth the parameters of the performance management program, which is the systematic process by which an agency involves its employees, as individuals and members of a group, in improving performance in the accomplishment of agency mission and goals.
1402.2 Performance management integrates the processes an agency uses to do all of the following:
(a) Communicate and clarify organizational goals to employees;
(b) Identify individual and, where applicable, team responsibilities and accountability for accomplishing organizational goals;
(c) Identify and address developmental needs for individuals and, where applicable, teams;
(d) Assess and improve individual, team, and organizational performance;
(e) Use appropriate measures of performance as the basis for recognizing and rewarding accomplishments; and
(f) Use the results of performance appraisal as a basis for appropriate personnel actions.
1402.3 The performance management program implemented by this chapter shall do all of the following:
(a) Inform employees of work expectations, and require that supervisors inform employees of any deficiencies in their performance, in a timely manner, throughout the rating period so that, to the extent possible, employees are given an opportunity to overcome such deficiencies and improve their performance;
(b) Hold employees accountable for their performance, which shall include a direct relationship between the rating received pursuant to this chapter and the receipt of any periodic step increase;
(c) Objectively evaluate employees' work performance based on criteria that have been made known to the employees;
(d) Improve employee performance through development;
(e) Recognize employee accomplishments; and
(f) Include customer satisfaction as an evaluation factor.
1403 Rating Period
1403.1 Except as provided in § 1417 of this chapter, a performance rating period shall be from the beginning of each fiscal year to the end of the fiscal year.
1404 Performance Ratings and Rating Levels
1404.1 An overall performance rating shall be the overall rating that indicates the level of an employee’s actual performance of assigned goals and standard competencies during the rating period.
1404.2 The overall performance rating shall be derived from the score on goals for sixty percent (60%) and competencies for forty percent (40%).
1404.3 The rating levels for the performance management program shall be as follows:
(a) Level 5, Significantly Exceeds Expectations: Consistently and significantly exceeds performance expectations; exceptional accomplishments are obvious to managers and peers;
(b) Level 4, Exceeds Expectations: Consistently exceeds performance expectations in most areas and meets expectations in others;
(c) Level 3, Meets Expectations: Consistently meets key performance expectations and may exceed on some expectations;
(d) Level 2, Needs Improvement: Meets some performance expectations but requires improvement in one (1) or more areas;
(e) Level 1, Does Not Meet Expectations: Consistently does not meet performance expectations.
1405 Eligibility to Receive a Performance Rating
1405.1 Except as otherwise provided in this chapter, each non-probationary employee subject to this chapter shall be rated during the first month of each rating period for the preceding rating period.
1405.2 In order to be eligible to receive an annual performance evaluation, a Performance Plan shall be in place for at least ninety (90) days prior to conducting an annual performance evaluation based on that Performance Plan.
1405.3 An employee who has been reassigned to a position with different duties and responsibilities within ninety (90) days of the end of the rating period shall receive an annual performance evaluation not later than thirty (30) days after commencing the duties of the new position.
1405.4 An employee promoted or demoted during the ninety (90) days prior to the end of the rating period shall receive an annual performance evaluation not later than thirty (30) days after commencing the duties of the new position.
1405.5 The performance evaluation pursuant to §§ 1405.3 and 1405.4 of this section shall be issued by the employee’s supervisor for the position from which reassigned, promoted, or demoted as specified in those sections.
1405.6 An employee who was reinstated or restored to duty during the ninety (90) days prior to the end of the rating period shall be rated at the end of the next rating period.
1405.7 An employee who transfers to an agency under the Mayor’s personnel authority from another personnel authority or who is newly appointed during the ninety (90) days prior to the end of the rating period shall be rated at the end of the next rating period.
1405.8 An employee reinstated, restored, newly appointed, or transferred shall automatically be considered as having been assigned a rating of Meets Expectations, which shall remain the official rating of record until such time as replaced by another official rating.
1406 Performance Plans
1406.1 Except as otherwise provided in this chapter, each supervisor shall complete a Performance Plan outlining what is expected for each covered employee as follows:
(a) Within thirty (30) days of the beginning of each rating period;
(b) Within thirty (30) days of the date an employee is promoted, appointed, transferred, reassigned, or demoted to a new position or a position with different duties and responsibilities;
(c) Within thirty (30) days of the date an employee is officially detailed when the detail is for a period of more than ninety (90) days;
(d) An employee who has been reassigned to a position with different duties and responsibilities within ninety (90) days of the end of the rating period shall receive a Performance Plan for the following fiscal year within thirty (30) days of commencing the duties of the position to which reassigned; or
(e) An employee who has been promoted or demoted during the ninety (90) days prior to the end of the rating period shall receive a Performance Plan for the following fiscal year within thirty (30) days of commencing the duties of the new position.
1406.2 A Performance Plan shall include all of the following:
(a) A review of the competencies as specified in § 1407 of this chapter;
(b) An Individual Performance Plan as specified in section 1408 of this chapter; and
(c) An Individual Development Plan as specified in section 1409 of this chapter.
1407 Competencies
1407.1 Competencies are behaviors demonstrated on the job. At the beginning of each rating period, each supervisor shall discuss with the employee how each competency relates to his or her job.
1407.2 There are ten (10) competencies for all covered employees:
(a) Customer Service;
(b) Flexibility/Adaptability;
(c) Initiative;
(d) Professionalism;
(e) Teamwork;
(f) Job Knowledge;
(g) Resource Usage;
(h) Dependability;
(i) Communications; and
(j) Integrity and Trust.
1407.3 There are an additional five (5) competencies applicable to managers and supervisors:
(a) Managing People;
(b) Leadership;
(c) Strategic Planning;
(d) Operations Planning and Evaluating; and
(e) Conflict Management.
1408 Individual Performance Plans
1408.1 Each Individual Performance Plan shall establish the performance requirements for the position during the rating period, and shall set forth the goals the employee is expected to accomplish during the rating period.
1408.2 When an employee is functioning under a Performance Improvement Plan pursuant to section 1414 of this chapter, the issuance of a Performance Plan pursuant to section 1406.1(a)of this chapter may be deferred until thirty (30) days after the completion of any Performance Improvement Plan authorized by section 1414 of this chapter, as applicable.
1408.3 Each Individual Performance Plan shall include at least three (3) and not more than five (5) performance goals.
1408.4 Employee goals set in the Individual Performance Plan shall be weighted, with the sum of all goal weightings equal to one hundred percent (100%).
1408.5 Employee goals set in the Individual Performance Plan shall include a timeframe for their accomplishment, which may include a specific date, week, month, quarter, or an ongoing listing.
1408.6 Whenever an agency's goals and objectives change, each supervisor shall review each Individual Performance Plan in effect and, as appropriate, issue modified plans.
1409 Individual Development Plans
1409.1 Except as provided in section 1417.4 of this chapter, each supervisor, in collaboration with each of his or her employees covered by this chapter, shall prepare an Individual Development Plan for each employee identifying areas for growth and development.
1409.2 Each Individual Development Plan may include, but is not limited to, the following:
(a) Specific objectives designed to improve the knowledge, skills, and abilities of the employee;
(b) Specific objectives for areas of ongoing professional development; or
(c) Objectives that address areas in which the employee received a rating of “Needs Improvement” or below during the preceding rating year.
1409.3 Each individual development objective and plan for addressing it shall be specifically defined, including accountability for completion, and a date by which the development objective shall be accomplished.
1410 Self-Evaluation
1410.1 Each employee eligible to receive a rating may, at his or her discretion, submit a self-evaluation to his or her supervisor as input into the performance evaluation process.
1411 Mid-Year Evaluation
1411.1 Each employee entitled to an annual performance rating under section 1405 of this chapter may be evaluated no less than three (3) months prior to the end of the rating period by his or her immediate supervisor or, in the absence of the immediate supervisor, a higher-level official designated by the agency head.
1411.2 The purpose of the mid-year evaluation is to provide feedback to the employee and identify any performance deficiencies that need to be addressed prior to the end of the rating period.
1411.3 A mid-year evaluation shall not become part of the employee’s official personnel folder.
1412 Annual Performance Evaluation
1412.1 An Annual Performance Evaluation shall be issued to each eligible employee during the first month of each rating period for the preceding rating period.
1412.2 An Annual Performance Evaluation shall be based on the employee’s Performance Plan for that rating period.
1412.3 Except as provided in section 1412.6 of this section, each employee entitled to be rated under section 1405 of this chapter shall be rated, based on his or her position of record, by his or her immediate supervisor or, in the absence of that individual, a higher-level official designated by the agency head.
1412.4 A supervisor leaving his or her position at any time within the last ninety (90) days of the rating period shall conduct an advisory performance evaluation for each subordinate employee covered by this chapter prior to his or her departure.
1412.5 For the purposes of section 1412.4 of this section, the term “advisory performance evaluation” means an unofficial written evaluation that documents the employee’s performance during the period in which supervised. The advisory performance evaluation shall be taken into consideration by the new supervisor during the completion of the Annual Performance Evaluation.
1412.6 An employee serving on a detail of more than ninety (90) days at the end of the rating 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.
1412.7 When an employee is rated on performance in his or her position of record in accordance with section 1412.3 of this section, appropriate consideration shall be given for work outside the position of record.
1412.8 Except when the agency head is the rating official, a performance rating issued by a rating official shall be subject to the review and approval of a reviewing official, who shall be at a higher level than the rating official.
1413 Salary Increases
1413.1 A rating of Meets Expectations or higher shall constitute performance at an acceptable level of competence for purposes of eligibility for a periodic step increase under Chapter 11 of these regulations.
1413.2 Each failure on the part of an employee to receive a rating of Meets Expectations or higher shall result in the due date for the next scheduled periodic step increase being delayed for an additional year.
1414 Performance Improvement Plans
1414.1 The provisions of this section shall not apply to at-will employees described in section 1400.1 (b) and (c) of this chapter.
1414.2 A supervisor shall complete a Performance Improvement Plan when either of the following conditions is met:
(a) At any time during the rating period that an employee's performance becomes deficient; or
(b) When a rating of "Does Not Meet Expectations" (Level 1) or "Needs Improvement" (Level 2) is given pursuant to section 1412 of this chapter.
1414.3 The purpose of a Performance Improvement Plan is to offer the employee placed on it an opportunity to demonstrate improvement. A Performance Improvement Plan issued to an employee shall last for a period of thirty (30) to ninety (90) days, and shall:
(a) Identify the specific performance areas in which the employee is deficient; and
(b) Provide concrete, measurable action steps the employee needs to take to improve in those areas.
1414.4 At the end of the Performance Improvement Plan, the employee's immediate supervisor or, in the absence of that individual, a higher-level official designated by the agency head, shall make a determination as to whether the employee has met the requirements of the Performance Improvement Plan. If the determination is that the employee has met the requirements of the Performance Improvement Plan, the employee's immediate supervisor or higher-level agency official, as appropriate, shall so inform the employee, in writing. If the determination is that the employee failed to meet the requirements of the Performance Improvement Plan, the employee's immediate supervisor or higher-level agency official, as appropriate, shall issue a written decision to the employee to:
(a) Extend the Performance Improvement Plan for an additional thirty (30) to ninety (90) day period to further observe the employee’s performance;
(b) Reassign, reduce in grade, or remove the employee if he or she has failed to meet the requirements of the Performance Improvement Plan; or
(c) Defer any annual performance rating that may be due until thirty (30) days after the completion of any thirty (30) to ninety (90) day period authorized by this section.
1414.5 Any reduction in grade or termination action as specified in section 1414.4 (b) of this section taken against a Career Service employee who has completed a probationary period shall be taken pursuant to Chapter 16 of these regulations.
1414.6 Any reduction in grade or termination action as specified in section 1414.4 (b) of this section taken against a Legal Service employee as described in section 1400.1 (d) of this chapter who is not at-will, shall be taken pursuant to Chapter 36 of these regulations.
1414.7 The Chief of Police may elect not to use a Performance Improvement Plan for officials above the rank of Captain.
1415 Employee Request for Review
1415.1 An employee may, within fifteen (15) days of receipt of a performance rating, request a review of the rating. The review process shall be in accordance with procedures developed by the appropriate personnel authority.
1415.2 An employee's request for review of a performance rating shall be in writing and shall be submitted in accordance with procedures issued by the appropriate personnel authority.
1415.3 If, upon receipt of a request for a review, the agency head or his or her designee finds that a Performance Plan was not provided to the employee for the period covered by the rating:
(a) The employee's request for review shall be dismissed;
(b) A Performance Plan shall be provided to the employee; and
(c) The employee shall be provided a new rating ninety (90) days after the date of issuance of the Performance Plan, following which the employee may request a review in accordance with section 1415.1 of this section.
1415.4 Any review conducted as a result of a request by an employee shall consist of a review of the record and the burden of proof shall rest with the employee.
1415.5 An employee may be eligible to appeal a final agency decision affecting a performance rating which results in removal of the employee.
1415.6 The provisions of section 1415.5 of this section shall not apply to any performance rating that results in removal of a Legal Service employee who is a supervisory or non-supervisory employee as described in section 1400.1 (d) of this chapter. The right of appeal of such an employee shall be governed by section 3614 of these regulations.
1416 Performance Evaluations of Probationary Employees
1416.1 A non-unionized Career Service supervisory or managerial employee serving a probationary period shall not be subject to the performance management program established by this chapter, except that a Performance Plan shall be provided to each probationary employee pursuant to section 1406.1(b) or (c) of this chapter, and the evaluation of probationer process set forth in the procedures applicable to Chapter 8 of the District Personnel Manual completed after the third (3rd), sixth (6th), and ninth (9th) month of the probationary period.
1417 Capital City Fellows
1417.1 Capital City Fellows shall be rated 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.
1417.2 A Performance Plan as described in section 1406 of this chapter shall be completed as soon as practicable, but not later than thirty (30) days after the beginning of each six-month (6-month) placement, outlining what is expected from the Capital City Fellow.
1417.3 Employee 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:
(a) Twenty five (25%) of the overall rating assigned to program-related activities and participation, to be set by the Director of Personnel or his or her designee; and
(b) Seventy five percent (75%) of the overall rating assigned to on-site performance, to be set by each agency supervisor to whom the Capital City Fellow is assigned.
1417.4 Each Capital City Fellow may, at his or her discretion, submit a self-evaluation as input into the performance evaluation process.
1417.5 A rating of Meets Expectations or higher shall constitute performance at an acceptable level of competence for purposes of salary adjustment.
1417.6 Except for section 1415.3 of this chapter, the provisions in section 1415 of this chapter shall apply to Capital City Fellows.
1417.7 The provisions of section 1414 of this chapter shall not apply to Capital City Fellows.
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