Article 18
Performance Appraisal

Section 18.01

The performance appraisal rating period shall extend twelve months, beginning on October 1 and ending on September 30. Circumstances can exist for which it is not possible to review an employee's performance for the entire twelve month period. Under such circumstances, the employee can be rated for a period of less than twelve months. However, the performance rating period shall be at least ninety days in length.

The Headquarters Performance Management System provides for annual appraisals of employee job performance; encourages employee participation in establishing performance standards; and uses the results of performance appraisals as a basis for training, rewarding, reassigning, promoting, reducing in grade, retaining, and removing employees.

Section 18.02

Employee job performance will be evaluated fairly and objectively.

Section 18.03

Performance shall be assessed solely on accomplishments during the rating period and not on the basis of any prior rating period. Performance shall be monitored throughout the performance period subject to the minimum requirements for performance monitoring and feedback described in the following sections. Feedback is not limited to formal periodic reviews, and is encouraged throughout the rating year.

Section 18.04

A. Employees shall receive at least two progress reviews during the annual performance appraisal year at approximately equal intervals. In a twelve month rating cycle, the periodic progress reviews will normally be completed within two to four weeks after the 4th and the 8th months. In the event that it is necessary to rate the employee for less than six months, the employee shall receive at least one progress review at the mid-point of the rating period.

B. Prior to a progress review, input will be provided to the rating official from all other management officials who have assigned work to the employee during the review period. The progress review rating shall be based on all work assigned by all management officials during the review period, and which is covered by the employee's elements and standards. The employee shall be provided a copy of any written input or feedback.

C. Management has determined that the progress review should be conducted between the rating official and the employee only, but that other parties may attend the progress review if the employee and the rating official have agreed in advance.

D. Employees will be requested to sign the Certification of Progress Review Form indicating that a progress review has occurred. Rating officials will provide a specific numeric assessment for each element of the employee's plan on the Form. These periodic review assessments shall not be averaged at the end of the year to determine the employee's summary performance rating, but are intended to provide clear and specific assessment of the employee's performance during the year. Periodic reviews are not grievable.

Section 18.05

A. Each employee is entitled to a meeting with the rating official for presentation and discussion of the annual performance appraisal. This can be an opportunity to clarify any new performance expectations. Employees may add written comments to the performance appraisal and return it to the rating official within five (5) work days. Such employee comments on the back of the appraisal become a part of the appraisal record. An employee may, upon request, be given a reasonable amount of administrative leave, up to two (2) hours, to prepare written comments.

B. The effective date of the appraisal is the date the appraisal is communicated to the employee by the rating official after having been signed by the reviewing official.

C. A current performance appraisal may be challenged by the employee within fifteen (15) work days of the issuance of a copy of the rating in accordance with the procedures outlined in Article 11, or within fifteen (15) workdays of its use as the basis for a decision on a Performance-Based action against the employee in accordance with Article 45, Section 45.05.A. Any other grievances filed by the same employee during the processing of a performance appraisal grievance which may be affected by the outcome of the performance appraisal grievance will be held in abeyance pending the outcome of the performance appraisal grievance. A successfully challenged appraisal will become the appraisal of record and the grieved appraisal will be destroyed.

Section 18.06

The employee is encouraged to sign the performance appraisal upon issuance by the rating official. The employee's signature on the appraisal indicates only that the rating has been discussed with the employee, and the employee has reviewed the appraisal. The failure of an employee to sign the appraisal does not affect its validity. If the employee does not sign the official copy of the appraisal within 5 work days of the meeting in which the rating was communicated, the appraisal will be marked to indicate that the employee failed to sign the appraisal.

Section 18.07

A. Written documentation used by the Employer concerning an employee's performance which could have an effect on the employee's performance appraisal should be shown to the employee within one week of its development but must be shown to the employee prior to the issuance of the performance appraisal. Failure to share such information with the employee within one week will not negate the rating, but will be considered by an arbitrator in any subsequent performance appraisal grievance.

B. Employees may, at any time, request and will be provided a copy of any informal documentation regarding their performance during the rating year retained by their supervisors.

C. Management has determined that non-management officials will not participate in the rating process nor will non-management officials provide an advisory rating to the rating official. Any input other than from the rating official considered by the rating official in determining the employee's rating shall be shared with the employee in writing. The employee will have an opportunity to respond to this input before the final rating is determined. Management has also determined that the appraisal shall be conducted between the rating official and the employee only, but other parties may attend the appraisal and provide input if the employee and the rating official have agreed in advance.

D. Employees will receive written advisory ratings from management officials for whom the employee performed tasks for a minimum of 90 days during the evaluation year which were a part of the employee's performance plan. The employee will be provided an opportunity to discuss the advisory rating with the official who provided the rating, and to provide written comments to the rating official and the official who issued the advisory rating. Care shall be taken to assure that this process does not result in an inadvertent change in the HQ Performance Management System.

Section 18.08

A. In the application of standards to individual employees, the Employer agrees to take into account factors such as availability of resources, lack of training, official time spent performing work, such as when on a detail, or frequent, authorized interruptions of normal work duties.

B. Final ratings are to be provided to employees within 45 calendar days of the end of the rating period.

Section 18.09

As outlined in the Headquarters Performance Management System, to determine an employee's final rating (rating of record), each element will be individually rated. That rating will be multiplied by the weight (2 for critical elements, 1 for non-critical elements). The total points for each element will be added together and divided by the total weighted elements. The weighted point average shall be the employee's summary performance rating. The exception to this is if an employee receives a rating of Level 1 on any critical element, the employee's overall performance rating is Level 1.

Section 18.10

Throughout the appraisal period, employees should be advised of their performance on an ongoing basis. Employees are to be notified as soon as possible when a decline in performance or any performance deficiencies are observed. In any action taken in connection with unacceptable performance, the rating official will provide as much guidance and assistance as possible to help improve the employee's performance.

Section 18.11

If, at any time, an employee's performance on any critical element is in danger of falling below a Level 2 rating (i.e., falling to Level 1), the following sequence of events will be initiated:

A. Management has determined that the rating official will advise the employee in a face-to-face meeting of the expected level of performance;

B. The employee shall receive a reasonable opportunity to correct identified deficiencies. If there is a failure by the employee to correct the performance deficiency, then the employee will receive specific written guidance regarding performance improvement.

C. The employee will have the opportunity to respond to the guidance in writing; however, the guidance is not grievable.

D. The employee shall be given a reasonable opportunity to improve performance. An amount of time in which an employee can improve performance shall be sufficient to afford the employee a realistic opportunity to improve performance. These steps will serve as part of the basis for determining that an employee's performance is at Level 1, which will then require that the employee be placed on a Performance Improvement Plan.