Article 12
Performance Management System
History

This Article represents the parties' implementation of the Department's Performance Management System (PMS). The Department agrees to comply with law, applicable higher-level regulations, the Department's Performance Management Plan, and this Article.

Section 1. Purpose and Objectives of PerformanceAppraisal System

The purpose of the performance appraisal system is to accomplish the following objectives:

a. Provide for periodic appraisals of job performance which are objective, fair, and reasonable;
b. Provide employees recognition and appropriate reward for their accomplishments in executing official duties;
c. Provide for employee participation in establishing elements and standards as appropriate;
d. Provide employees with regular, informal feedback in order to keep employees advised of what is expected of them, and how well they are meeting those expectations; and
e. Provide information on current performance and assist the employee in improving performance and furthering individual development.

Section 2. Critical Element

A critical element means a component of a position consisting of one or more duties and responsibilities which contributes toward accomplishing organizational goals and objectives and which is of such importance that unacceptable performance on the element would result in unacceptable performance in the position.

Section 3. Performance Standards

a. Performance standard means a statement of the expectations or requirements established by Management for a critical or non-critical element at a particular rating level. A performance standard may include, but is not limited to, such factors as quantity, quality, timeliness, and manner of performance. A performance standard will, to the maximum extent feasible, permit the accurate evaluation of the job performance on the basis of objective criteria related to the job in question for each employee or position.
b. A written performance standard will indicate the performance level which will meet or satisfy the requirements at the "meets" level for an element. There will be one standard per element.
c. When performance standards are developed which have more than one criterion, employees will be advised as to the relative importance of the criteria contained within the standards. Such standards may require meeting some or all the criteria.
d. A performance standard must allow for performance that would exceed the standard unless a single failure to meet the standard could result in death, injury, breach of security, or great monetary loss.
e. A performance standard should not address the usage of leave, flexitime, or any other non-performance related matters.
f. Upon request, supervisors will inform employees orally on what is expected to exceed a standard.

Section 4. Criteria for Identifying Job Elements and Establishing Performance Standards

a. In identifying elements, due consideration will be given to consistency with mission and function statements, Agency goals and priorities, employee input, position descriptions, existing elements, elements for similar positions, and other relevant materials.
b. In establishing standards, due consideration will be given to employee input, past performance of employees, standards for comparable positions, and other relevant materials.

Section 5. Initiating Appraisal Periods and Performance Plans

a. Within thirty (30) calendar days of assignment of a bargaining unit employee to a new supervisor or a change in the employee's position or duties; or change in the elements or standards related to the position; or following the issuance of the formal annual rating of record, the immediate supervisor will fully discuss the position description, new or revised elements, standards, and the fully successful level of performance with the employee. The immediate supervisor will assure that the employee has a copy of the current position description, and the standards and elements developed in accordance with Section 3 of this Article.
b. After receiving the tentative elements and standards from the supervisor, the employee will have a period not to exceed ten (10) workdays within which to examine and consider this material and to meet with the supervisor to discuss these elements and standards. During this period, the employee, upon request, will be granted a reasonable amount of official time to consult with a Union steward concerning the elements and performance standards.
c. An appraisal period will begin when the supervisor gives the employee the approved written elements and related standards for his/her position.
Section 6. Grievability and Arbitrability of Job Elements
and Performance Standards
The identification of job elements and the establishment of performance standards are a Management right. Management agrees to formulate the job elements and performance standards fairly, reasonably, and objectively. The job elements and performance standards are grievable only when applied in the performance appraisal.

Section 7. Annual Rating of Record

a. Employees will be appraised at least once a year and given a rating of record. The rating of record is the summary rating completed at the end of the rating period established for the DOL Agency or component thereof. Each DOL Agency or major organizational component within an Agency will establish a single rating period for their employees subject to agreement of the Union.
b. In addition to the annual rating of record, other summary ratings may be prepared. An interim summary rating will be prepared when there is a significant change in the employee's performance plan as a result of a change of position, duties, program objectives or priorities, etc., if the employee has served for the minimum ninety (90) day appraisal period. An interim summary rating must also be prepared if the employee moves to a new Federal Agency, or moves within the Department and there is a significant change in performance elements and standards which must be taken into consideration by the gaining Agency or new organization when deriving the next rating of record. Employees will be provided a copy of all interim summary ratings.
c. A reasonable period of observation shall be a requisite condition for preparing a performance appraisal. The period may not be less than ninety (90) days.
d. Employees will only be evaluated on work which they have been assigned.
e. Four (4) rating levels will be used for each element and the employee must be rated on each element at one of the four (4) levels. Supervisors must also provide a narrative description of performance in terms of results achieved against standards to support the element rating except when the element is rated at the Meets level defined below. A narrative at the Meets level is optional; however, specific accomplishments can be included.
The following are the element rating levels:

(1) Exceeds - when the employee exceeds the described level of performance in the standard for the element.
(2) Meets - when the employee meets the described level of performance in the standard for the element.
(3) Needs Improvement - when the employee needs to improve in order to meet the described level of performance in the standard for the element, but performance is above Fails to Meet.
(4) Fails to Meet - when employee fails to meet the described level of performance in the standard for the element.

f. The annual rating of record will be fully supported or explained on the rating form in accordance with the guidelines specified on the forms. Interim summary ratings, ratings on critical and non-critical elements given at the beginning and close of the Performance Improvement Plan (PIP), and other performance information on details and temporary promotions/reassignments for performance during the appraisal period will be taken into account in assigning the next rating of record.
The supervisor will explain in the space provided on the appropriate DL Form, Performance Plan and Rating, if the interim rating or other information resulted in a change in the rating of record, and may record performance information in the narrative section for the pertinent element and standard on the appraisal form, as appropriate.

Section 8. Details

a. On a detail of less than 120 days, the employee will be given a summary of achievements accomplished on the detail. When employees are detailed or temporarily promoted/reassigned within the Department, and the length of detail or temporary promotion/reassignment is expected to last 120 days or longer, the supervisor at the new assignment shall provide written critical elements and performance standards to employees as soon as possible but no later than thirty (30) calendar days after the beginning of the details or temporary promotions/reassignments. A copy of the ratings on critical elements will be forwarded to the supervisor of the employee's permanent position and must be considered in assigning an employee's next rating of record.
However, in the case of an extended period of detail or promotion/reassignment (for example, a detail not to exceed one (1) year), the supervisor of the temporary position will provide a complete performance plan and prepare the rating of record.
b. If an employee is detailed or temporarily reassigned to a position with essentially the same duties, the employee will continue under the performance plan of his/her regular position.

Section 9. Summary Performance Ratings

Each appraisal must conclude with a summary rating of the employee's overall performance. One (1) of five (5) ratings must be assigned as defined below:

a. Outstanding Performance - where performance exceeds the described level in performance standards for all critical elements, and for fifty (50) percent or more of the other elements. Performance does not fall below the standards for any element.
b. Highly Effective Performance - where performance exceeds the described level in the performance standards for fifty (50) percent or more of the critical elements. Performance does not fall below the standards for any element.
c. Fully Successful Performance - where performance meets the described level in the performance of all critical elements.
d. Minimally Satisfactory Performance - where performance in one (1) or more critical elements is slightly below standard.
e. Unacceptable Performance - where performance fails to meet the described level in the performance standard for one (1) or more critical elements.

Section 10. Feedback to Employees

a. The objectives of the Performance Management System are met through regular, informal feedback, the mid-year performance review, and the annual performance appraisal. The informal feedback is intended to keep employees informed on how they are doing in their job performance, and how they can improve their performance. Feedback is provided by frequent communications between the employee and the supervisor.
b. In addition to informal feedback, a progress review for each employee will normally be held approximately half-way through the rating period. However, in no case shall the progress review be conducted any later than 120 days before the end of the rating period. The progress review will involve a discussion between the supervisor and the employee regarding the employee's performance to date in relation to the standards and how the employee can improve performance.

Section 11. Special Circumstances

Performance appraisals must take into account:

a. Factors or changes which affect performance and are beyond the control of the employee; and
b. Authorized absences (including Union representation) during the course of working hours.

Section 12. Communication of Summary Ratings to Employees

a. After higher level review, the supervisor will discuss the proposed rating of record with the employee informally to avoid misunderstandings and possible inaccuracies. Any changes must then be made and discussed with the employee before forwarding it to the designated reviewing official. A copy of the rating of record forwarded to the reviewing official will be given to the employee.
b. The employee has the right to respond in writing to the rating official concerning the content of the rating of record or the procedures used in determining the rating. Employees have up to ten (10) workdays in which to review, sign, or prepare comments on their ratings. Such written comments will be forwarded to the reviewing official along with the rating of record.
c. Employees can attach comments to their rating of record up to thirty (30) days after final signing by the reviewing official.

Section 13. Determination of Reviewing Official

a. If the rating of record is changed by the reviewing official or Pay Deciding Official, those changes will be discussed by the immediate supervisor with the employee.
b. The determinations of the reviewing official(s) are final unless changed as a result of a grievance or complaint. After the rating of record has been approved by the reviewing official, a copy will be provided to the employee.

Section 14. Rating Certification

a. The employee will acknowledge receipt of the rating by signing and dating the final, written appraisal. An employee's signature on the performance appraisal form shall not constitute agreement with the rating or indicate that the employee will not appeal the appraisal.
b. When an employee refuses to sign or acknowledge the appraisal, the unsigned summary rating becomes the rating of record.Section 15. Information Sharing
Management agrees to share Agency prototype elements and standards for similar or common positions within the unit with the Union in accordance with the structure provided under Article 35, Section 3 of this Agreement.

Section 16. Availability of Standards for Job Applicants

Upon request, existing or tentative elements and performance standards for vacant positions within the unit will be discussed with candidates referred for selection.

Section 17. Improving Unsatisfactory Performance

a. As early as possible, the employee's attention will be called to areas of performance needing improvement and steps will be initiated to assist the employee in meeting performance standards. Such actions as determined by the supervisor may include regular and careful review of work or on-the-job and classroom training.
b. When informal efforts discussed above do not result in acceptable performance, a Performance Improvement Plan (PIP) will be developed with the participation of the employee. In order to give the employee a reasonable opportunity to demonstrate acceptable performance, a PIP period of a minimum of ninety (90) calendar days will be started for employees whose performance on one (1) or more elements would result in a summary rating of Unacceptable or Minimally Satisfactory. The PIP period may be extended by the supervisor responsible for monitoring the PIP if circumstances warrant such an extension.
c. The PIP will be developed in writing and the employee will be given ten (10) workdays to comment on the PIP prior to its implementation. Final authority for the establishment and the content of the PIP rests with Management.
d. The PIP will be prepared on DL Form 1-2036. It will include the following:

(1) the elements on which the employee is failing to meet the standard;
(2) the standards established for these elements at the Meets level; and
(3) the standard for the elements at the Needs Improvement level for the element the employee performed at the Fails to Meet level; and
(4) a statement of the steps that must be taken by the employee to resolve the employee's deficiencies on these elements in order to meet the standards, as well as assistance the supervisor will provide.

e. The PIP shall include an assessment every thirty (30) days by the supervisor of the employee's progress in meeting the required level of performance.

Section 18. Removal of "Unacceptable" Performance Information in Personnel Files

If, because of performance improvement by the employee during the notice period, the employee is not reduced in grade or removed and the employee's performance continues to be acceptable for one (1) year from the date of the advance notice, then any entry or other notation with regard to the "unacceptable" performance for which the action was proposed shall be removed from any Agency record relating to the employee.

Section 19. Review of the Performance Appraisal System

Annually, either party may consider the performance appraisal system under the structure provided in Article 35, Section 4 of this Agreement. Management will furnish the Union, upon request, any information available to the Union under 5 U.S.C. 7114.

Section 20. Derogatory Documents

No derogatory document shall be placed in the Employee Performance File unless the employee has had an opportunity to review the document beforehand.

Section 21. Assuring Deliverance of Performance Appraisal

a. The Union may initiate consultation on any matter involving overdue appraisals with the Agency Labor-Management Relations Committee, as provided in Article 35, Section 3 of this Agreement.
b. The Union may initiate a grievance on any matter involving overdue appraisals of any employee in the unit in accordance with Article 43 of this Agreement.
c. Until employees are under a fixed rating schedule, each Agency will notify employees at least 120 days before their performance rating is due. Thereafter, Agency employees will be provided with a general notice of the fixed rating date for their Agency or major organizational component.

Section 22. Other Provisions

The performance appraisal system will be consistent with applicable laws and regulations. In implementing this system, Management agrees not to commit any prohibited personnel practices as contained in Appendix C to the Agreement and further agrees to refrain from:

a. Assuming the performance of overtime work in the establishment of performance standards (which is not to question Management's right, as such, to require the performance of overtime work);
b. Requiring the performance of work for which employees are not compensated; and,
c. Requiring the use of an employee's personal possessions (e.g., cameras and calculators) for the accomplishment of job tasks.

Section 23. Use of Performance Appraisal in Merit Staffing Actions

Only the final version of a performance appraisal shall be forwarded to the Personnel Office, except where there is an immediate need for an appraisal in connection with a merit staffing action. In such event, the original form may be sent forward only after the employee has been afforded an opportunity to attach a statement, which shall then accompany the unofficial appraisal when it is sent to the panel.