Article 12
Bargaining History
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Major revisions have been made to this Article due to the new regulations in 5 CFR 430. Much of the language in this Article incorporates the language in the regulations and is not negotiable. It is included in order to provide a comprehensive and understandable Article on this subject. The desire was to have an Article that would provide employees with all of the basic information needed on the operation of the Department's Performance Management System.

Sections 1 and 2

This language basically repeats language in the regulations regarding the purpose of the Performance Management System and the definition of critical element.

Section 3

Subsections a. through c. are unchanged. Subsections d. through f. were added to clarify certain issues regarding performance standards.

Section 4

The intent of the parties in carrying over this language from the previous Agreement is to provide guidance to supervisors as to what items will be considered in developing elements and standards. The parties agreed that allegations that a supervisor failed to consider the listed items in this Section would not be a grievable matter.

Section 5

This Section was rewritten to clarify the requirements for initiating appraisal periods and performance plans. However, no substantative changes were made to this Section.

Section 6

This language is unchanged.

Section 7

The parties agree that employees must receive an annual rating of record (ROR) as soon as practicable after completion of the appraisal period (5 CFR 430.206). It is also understood that employees shall generally be given a ROR on an annual basis (5 CFR 430.205). Therefore, the parties agree that if a Performance Improvement Plan (PIP) is called for, it should generally be initiated sufficiently in advance of the completion of the appraisal period so as to comply with the intent of a timely appraisal.
Notwithstanding this general intent, the parties could not agree whether it was appropriate to defer an employee's rating of record pending the results of a PIP initiated during the last ninety (90) days of the appraisal period. Given this disagreement, the parties concluded that this issue would best be determined during the administration of the Agreement--i.e., unless the parties could ultimately agree, the issue may have to be submitted to an arbitrator.

While the ROR will normally be the summary rating done at the end of the appraisal period, the ROR must take into consideration any interim ratings or ratings on details done during the rating period. Subsection f. provides that where interim ratings are considered, it must be documented if such consideration changes the overall ROR. In accordance with Section 12, employees have the right to attach any interim ratings to the appraisal along with any other documents.
The parties agreed that each DOL agency will identify a fixed rating date(s) for their employees. Once the schedule is developed it is subject to the approval of the Local. This language does not require that everyone in an Agency have the same rating date; rather, larger Agencies may provide different rating dates for their major organizational components. This change was made after a successful experiment in the Employment Standards Administration on a fixed rating date.

Subsection e. maintains the current system of four (4) rating levels. The parties also agreed that performance narratives are optional for a meets element rating level; however, a narrative should be prepared when there are performance accomplishments to be recognized.

Section 8

A detail is a temporary assignment of at least thirty (30) calendar days in duration. Employees who are detailed for longer than thirty (30) calendar days but less than 120 calendar days to duties which are different from their permanent duties should be given a summary of achievements during the detail. If the detail is for 120 calendar days or longer to differing job duties, the receiving supervisor should prepare performance elements and standards, and forward the rating to the permanent supervisor to be considered in preparing the rating of record. In cases of extended details, the receiving supervisor will prepare the performance elements and standards, and the rating of record.

Section 9

The parties agreed to change the summary rating of Acceptable to Fully Successful. The parties also discussed the OPM proposal to change the regulations to allow flexibility in the rating system, requiring only that there must be at least three (3) summary rating levels (essentially allowing for the elimination of the Highly Effective rating category). No decision was made on this matter, and it was agreed that if Management wanted to implement such a change after the implementation of this Agreement, the parties would negotiate over the impact and implementation of that change.

Section 10

Considerable discussion was held concerning this Section. The parties agree that feedback from supervisors to employees on a regular basis is a cornerstone to the appraisal process and the Performance Management System. After discussion of what would fulfill the requirements of this Section it was agreed that the Agreement could not be more specific on this point, and that feedback encompasses a variety of informal activities, including positive, constructive comments on employee's work and performance on a regular basis, as well as notes to the employee on written assignments or individual discussions. Marginal notes, by themselves, would not be sufficient to constitute feedback. These types of communications should foster an openness between employee and supervisor so that employees feel comfortable in bringing problems or issues to supervisors for resolution.
The parties agreed that progress reviews should normally be conducted half-way through the performance period, but in no event any later than 120 days prior to the end of the rating period.

Section 11

The words "must make allowance for" was changed to "must take into account" as required by recent Federal Labor Relations Authority decisions.

Section 12

This Section was changed to conform with new regulations requiring a review of the ROR by the reviewing official prior to sharing it with the employee. Subsection b. adds the requirement that employees only have ten (10) days to review and prepare written comments on their rating to be submitted to the reviewing official. Subsection c. was added to allow employees up to thirty (30) days to attach comments to their final ratings.

Section 13

This Section introduces the function of the pay deciding official. This position was required by regulations providing for performance-based cash awards.

Section 14

The parties agreed to add Subsection b. to reflect current practice that if an employee does not sign his/her appraisal within ten (10) workdays, the appraisal will be finalized and serve as a rating of record.

Sections 15 and 16

These Sections were unchanged.

Section 17

This Section was largely unchanged. The parties agreed that a PIP should be used in a constructive fashion to assist an employee not meeting one (1) or more of their critical performance elements and standards. The parties also added Subsection e. to reflect that during the PIP period the employee should receive an assessment from the supervisor at least every thirty (30) days on progress in meeting the required level of performance.

Sections 18 through 23

These Sections remain largely unchanged.