ARTICLE 13
Performance Appraisals and Within Grade Increases
SECTION 1. General
The NOAA Performance Management Program will serve as the basis for performance appraisal in the NWS. The NOAA Performance Management Program provides for:
- establishing critical elements and related performance standards for each covered position, which, to the maximum extent feasible, permit the accurate evaluation of job performance on the basis of objective criteria related to the position;
- using performance plans to communicate Department goals and objectives, NOAA and NWS strategic and operating plans, and to identify individual accountability for their accomplishment;
- using performance appraisal results as a basis for providing information to employees on their performance and how it may be improved; and for training, rewarding, reassigning, promoting, reducing in grade, retaining, granting within-grade increases, and removing employee; and
- evaluating and improving individual and organizational performance.
All bargaining unit employees will receive a performance appraisal in accordance with the NOAA Performance Management Program which will be based on a comparison of the employee's performance with the standards and elements established for the appraisal period.
When an employee is on detail for 120 days or more, the supervisor, or management designee,of the detail shall provide a performance review in accordance with NAO 202-430.
When an employee is on detail for 119 days or less, or is a member of a team outside the direct supervision of the employee’s immediate supervisor, the employee may request feedback on his/her performance from the supervisor or team leader, for use in the employee’s annual performance appraisal. The supervisor or team leader is encouraged to provide the employee and the employee’s immediate supervisor with written feedback.
Employees will receive a complete copy of the Performance Plan, Progress Review and Appraisal Record.
SECTION 2. PERFORMANCE PLAN
The parties agree that the performance appraisal process is not a unilateral process. It involves participation on the part of the rating official and the employee.
A. Approximately four weeks before the start of the appraisal period, the rating official and employee should begin developing written performance plans for the next appraisal period. The rating official will document the critical elements in Part I of the Performance Plan, Progress Review and Appraisal Record within 60 days after the beginning of the rating period or when the employee has a significant change in critical elements.
B. The parties agree that the final determination on the content of critical elements rests with management and is not grievable. If the rating official and employee disagree on the contents of the performance plan, the rating official and employee should attempt to resolve the disagreement informally. If they cannot reach agreement, the reviewing official will make the final decision regarding the contents of the plan.
C. When the performance plan is finalized, the rating official will discuss the plan with the employee. The employee will be requested to sign and date the final plan. By signing, the employee officially acknowledges that the performance plan has been received.
SECTION 3. PROGRESS REVIEW
The parties agree that progress reviews are a part of the appraisal process. These reviews, scheduled at approximately the midpoint of the rating period, are a key factor in identifying how well an employee is progressing towards meeting or exceeding performance standards for all critical elements.
A. Additional progress reviews may be scheduled by the rating official when performances deficiencies are observed. The rating official will provide specific recommendations on how the employee can improve his/her performance.
B. Progress Reviews and any changes to the performance plan must be documented and a copy given to the employee.
C. Performance-based meetings or counseling sessions are individual situations and not a general condition of employment which rise to a right to the presence of a representative. These meetings are a private, business like exchange between a supervisor and an employee.
SECTION 4. APPRAISAL
A. Employees have the option of conducting a pre-appraisal meeting with the rating official prior to the formal appraisal meeting. A pre-appraisal meeting must be initiated and conducted by the employee, and may serve to: present the employee's assessment of, his/her accomplishments with respect to the standards; inform the rating official about aspects of work of which the rating official is unaware; and, identify changes necessary for the next performance plan and cycle.
1. The employee should be prepared to bring documentation to the meeting to support his/her assessment. When the employee provides relevant data to support his/her performance appraisal, the rating official should take this data into consideration on the final rating.
2. Rating officials must give the employees two (2) working days advance notice of the time for the performance appraisal meeting.
3. For employees assigned a summary level of "meets or Exceeds Expectations," the rating official is encouraged to include narrative comments in Part III of the Performance Plan, Progress Review and Appraisal Record. For employees assigned a summary level of "Does Not Meet Expectations", the rating official must provide a written explanation describing the specific areas in which the employee failed to achieve critical elements and the employee must be placed on a Performance Improvement Plan (PIP).
B. Officials shall review performance appraisals, recommended performance ratings, and any employee comments, and that actual accomplishments support the recommended rating. They shall assign the final performance ratings, respond to employee comments on the final ratings, and when warranted, sign performance-related personnel actions as reviewing officials.
C. If the employee disagrees with the rating, he/she may comment in writing to the reviewing official, normally within five (5) working days of receipt of the rating. Reviewing officials will respond in writing to the employee's comments within ten (10) working days.
D. The final rating on an employee's performance for the most recent rating period will be considered the appraisal rating of record until replaced by another rating. When a rating official changes positions or leaves NWS during the last 119 days of the appraisal period, he or she must complete appraisals and ratings for subordinate employees before departing. These ratings will serve as the employee's rating of record for the appraisal period. The remaining days of the appraisal period will be included in the following appraisal cycle.
E. Employees will receive with-in grade increases when eligible if their performance is at an acceptable level of competence.
F. The process of monitoring performance is ongoing. Therefore, management shall counsel employees in relation to their performance on an "as needed" basis. Such counseling sessions will inform the employee what he/she must do to improve performance. If such counseling is not successful and the employee s performance falls to below the "Meets or Exceeds" level, management may take appropriate action.
G. An employee placed on a Performance Improvement Plan (PIP) shall be given a written notice which includes:
1. the critical element(s) of the employee’s plan for which performance is unacceptable;
2. the action(s) that must be taken by the employee to improve performance to the "Meets or Exceeds Expectations" level;
3. the assistance, if any, that will be provided by management; and,
4. the action (i.e., reassignment, reduction in grade, or removal) that will be taken if the employee does not improve performance to the "Meets or Exceeds Expectations" level.
As part of this notification, the employee shall be given reasonable time to improve to the meets or exceeds level and must sustain that level of performance for at least one year from the start of the opportunity to improve period. Reasonable time means an amount of time commensurate with the duties and responsibilities of the employee's job which is sufficient to allow the employee to show whether he/she can meet minimum performance standards. A range between 45 and 90 days, but at no time less than 30 days, is considered reasonable. At the end of the stated period, the employee's performance shall be evaluated and the employee shall be informed, in writing, that:
- he/she performed at an acceptable level, and must continue to do so for one year at the end of the period;
- the opportunity to improve period shall be extended;
- he/she will be reassigned to another appropriate position for which qualified; or
- his/her removal or reduction in grade is proposed.
Remedial training assigned during the "Opportunity to Improve" period is not discipline. Remedial training will be tailored to correct or improve a bargaining unit employee's performance. Training and the duration of such training is assigned on a case by case basis, and has no bearing on the training assignments of any other employees.
Employees on a Performance Improvement Plan (PIP) who become eligible for a WGI will receive the WGI in accordance with applicable law.
H. An employee who is proposed to be reduced in grade or removed, based on unacceptable performance, shall be given thirty (30) calendar days advance written notice of the proposed action which:
- states the reasons for the proposed action in detail;
- identifies specific instances of unacceptable performance by the employee;
- identifies the critical elements of the employee s performance plan for which performance is unacceptable;
- describes the efforts management has taken to bring the employees’s performance to the "Meets of Exceeds Expectations" level;
- states that the employee may review the material relied upon in proposing the action. The notice will provide a copy of such material;
- informs the employee of the right to reply orally or in writing, or both, within fifteen (15) calendar days from receipt of the proposed notice; and
- informs the employee of the right to be represented by NWSEO or by another representative.
I. If an employee is put on notice per Section 4.G. of this Article, and the employee s performance improves during the Opportunity to Improve period, and that acceptable performance continues for one year, so that no performance based action is taken, any reference to a performance deficiency that led to the original determination that performance was unacceptable will then be removed from the record. An employee may file a response to all performance evaluations which becomes a part of an agency record, or personnel file relating to the employee.
J. NWSEO officials who use official time to fulfill labor-management representational functions under this agreement, will not be disadvantaged on their appraisal for such approved use of official time.
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