1. POLICY. It is the policy of the Employer that the performance appraisal process will be an integral part of the rating official/Employee relationship involving ongoing communication concerning performance.
2. COMPONENTS OF EMPLOYEE PERFORMANCE PLAN.
a) Critical Result means a mission-based outcome or end product that is essential to the overall success of the position. It is a work assignment or responsibility that is critical to the accomplishment of organizational goals and objectives and critical to overall success in the Employee's position. Critical results may be individual results, or they may be the Employee's responsibility for team or organizational results. Critical results focus on the results or outcomes an Employee is expected to achieve, and may be revised at any time to reflect changes in program, priorities, resources or other factors.
b) Performance Indicators are the pre-determined quality, teamwork, and customer satisfaction or other measures by which the Employee's performance in each critical result will be assessed. It is a statement of the performance expectations or requirements necessary for achieving the critical results of the position. The purpose of performance indicators is to let the Employee and the rating official know those qualities that are important to successful performance in each critical result. Performance indicators are also an important consideration in determining whether an Employee should be recognized with a quality step increase.
c) Together critical results and performance indicators make up the Employee performance plan. All performance plans shall be consistent with the duties and responsibilities of the Employee's current position description, except in unusual circumstances, such as when an Employee is assigned to unclassified duties for short periods of time or on details of less than ninety (90) days.
d) The Employer agrees that the Union has an interest in the performance plan established for various occupations of bargaining unit Employees. The Employer further agrees to notify the Union prior to the development and revision of model performance plans and to give consideration to the Union's ideas and suggestions.
3. DEVELOPMENT OF PERFORMANCE PLAN.
a) Each Employee will participate with the rating official in the development of his or her performance plan. Groups of Employees, where appropriate, can work together to draft a single performance plan or to comment on a draft performance plan that would be applicable to all. Rating officials and Employees are expected to communicate to the extent necessary to ensure common understanding of the meaning of Critical Results.
b) The performance plan is in effect on the date it was signed or given to the Employee. If the Employee chooses not to sign, the rating official will document the date the plan was given to the Employee. Each employee shall be provided a copy of his or her performance plan on the effective date. Employees cannot be evaluated against the plan until the plan is in effect.
c) The rating period for the MAC is 1 October to 30 September. A performance plan must be prepared within sixty (60) days after the beginning of the rating period, or within sixty (60) days after the Employee has a significant change in critical result (for example, by reassignment to a position with different duties).
4. PROGRESS REVIEWS. A progress review is a discussion between the rating official and the Employee to review the employee's progress toward achieving critical results, to make any necessary revisions in critical results, and to consider any developmental needs or performance improvement required.
a) At least two progress reviews will be conducted during the rating period. At the Employee's request the rating official will conduct quarterly progress reviews. There is no mandatory timing for the two (2) progress reviews. Progress reviews should be spaced during the rating period so the rating official and employee have a clear and ongoing understanding of the Employee's progress, any assistance needed, and/or any changes that should be made to the performance plan. The rating official will also conduct progress reviews with Employees at any time during the rating year if the Employee is not achieving critical results. Progress review information will be considered in determining the annual appraisal.
b) While not required, the rating official is encouraged to document Employee accomplishments as a way of recognizing the Employee's efforts and recording information that can be used in preparing the Employee's summary rating at the end of the rating period. Such documentation should include an assessment of the way in which the Employee achieved his/her critical results, for example, always met deadlines, work is consistently complete and accurate, goes above and beyond, exceeded expectations, etc.
c) At any time during the appraisal period that an Employee's performance falls to the "Results Not Achieved" level on any critical result, the rating official must notify the Employee immediately. Documentation is required on the performance plan and the rating official must prepare a separate narrative which describes how the Employee is failing in the critical result(s) and how the employee must improve in order to achieve the critical result(s). The rating official must give a copy of the narrative to the Employee, keep a copy, and provide assistance to the employee in achieving critical results. The Employer has the right to place the Employee under a formal performance improvement plan (PIP) in accordance with Article 26 at this time.
5. PERFORMANCE APPRAISALS.
a) Performance appraisals shall be made in a fair and equitable manner in accordance with 5 U.S.C. 4302. Performance plans shall be applied uniformly for like duties in like circumstances.
b) Appraisals shall be prepared annually. The appraisal shall be prepared and a copy provided to the Employee within sixty (60) days of the close of each Employee's appraisal period.
c) Employees must work under a performance plan for at least ninety (90) days in order to be rated. Employees will be evaluated only for work actually performed or work reasonably expected to be performed during the rating period. An Employee's performance appraisal will not be adversely affected by work not assigned or by work which the Employee was prevented from performing due to work related circumstances beyond the Employee's control. The Employee is responsible for making the rating official aware of any work-related factors outside the control of the Employee which impaired achievement of the critical result(s) such as malfunctioning equipment, unpredicted additional work assignments, or any other unforeseen circumstances. The rating official must indicate "Not Rated" for the appropriate critical result(s) for work not assigned or not completed through no fault of the Employee.
d) The rating official must solicit Employee input before drafting annual performance appraisals. Employees are encouraged to provide input as a means to ensure the rating official is fully aware of the accomplishments and contributions made by the Employee during the performance appraisal period. In order to maximize the opportunity for informal resolution of appraisal disputes, Employees will receive an unsigned draft of their appraisal. Any statistical information relied on for the appraisal will be provided to the Employee with the draft. The Employee will have a reasonable amount of time, not less than five (5) days to review the draft.
e) Employees will receive their performance appraisal (signed by the rating and reviewing official) at the official performance appraisal interview. Any records used to support the rating will be attached to the appraisal. At that time, the Employee shall be asked to sign that he or she has received the rating (the Employee is signifying only that he or she has received a copy, not that he or she agrees or disagrees with the rating). Employees may add comments and supporting documentation to their official performance ratings.
f) Employees who receive a Results Not Achieved summary rating will be given a formal Performance Improvement Plan (PIP) and an opportunity period in which to demonstrate acceptable (Results Achieved) performance before the Employer can propose a performance based action.
g) The Employer will not ask Employees to backdate performance appraisals or work plans.
h) Relationship of appraisal process to performance based actions.
PERFORMANCE APPRAISAL
Results Achieved Results Not Achieved -(No other action necessary.)
PIP - NO PIP
Fail Pass Progress review - in next appraisal
Extend PIP Perform Reappraisal cycle. if warranted Based Action Possible PIP
. Alternative Appraisal Systems. The Parties agree to begin the process to develop a supervisory evaluation questionnaire thru the LMRC within sixty (60) days of the implementation of this Agreement.