This Article represents the Parties' implementation of the National Institutes of Health, Office of the Director, Performance Appraisal Program Plan (PAPP), dated June 6, 1996, which will serve as the basis for this Article for all ORS Bargaining Unit employees and the Clinical Center Performance Enhancement Program Plan (PEP) for Bargaining Unit employees assigned to the Nutrition Department, Clinical Center. The Agency agrees to comply with law, applicable government-wide regulations, the PAPP, PEP, and this Article. These requirements are established under and to be used in conjunction with:

1. 5 U.S.C. Chapter 43;

1. 5 C.F.R. Part 430;

2. HHS Instruction 430-7, dated November 9, 1995.

Section 1. Purpose and Objectives of Performance Appraisal 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. Recognizing and rewarding employees whose performance so warrants in accordance with Article 25;

C. Provide for employee participation in establishing elements and standards as appropriate;

D. Provide employees with oral and/or written feedback, as necessary, in order to keep them apprized of what is expected of them and how well they are meeting those expectations; and provide assistance in improving performance and furthering individual development; and

E. Use the results of performance appraisals as a basis for training, rewarding, reassigning, promoting, reducing in grade, retaining, and removing employees.

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. Individual Performance Plans will contain only critical elements.

Section 3. Performance Standards

A. Performance standard means a statement of the expectations or requirements established by management that defines the acceptable level for a critical element. 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 performance standard will not be written in a manner in which a single failure results in unacceptable performance unless a single failure to meet the standard could result in death, injury, breach of security, or great monetary loss.

C. A performance standard should not address the usage of leave, tour of duty, or any other nonperformance related matter.

D. When a performance element(s) or standard(s) containing several components are developed and may be an appropriate vehicle for capturing the various dimensions of a job, each of which may be important in accomplishing the overall assignment and mission, the employee will be advised as to the relative importance of the criteria contained within the standard.

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

In identifying elements, due consideration will be given to consistency with mission and function statement, Agency goals and priorities, employee input, position descriptions, existing elements, elements for similar 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 acceptable 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. Prior to implementation of the performance plan, the employee will receive in writing the critical element and performance standards for the employee's position. At the time that the supervisor furnishes a copy of the written performance plan, the supervisor and employee shall meet to discuss the critical elements and performance standards. If the employee disagrees with them, the supervisor shall discuss those disagreements with the employee in an attempt to resolve them. However, it is management's right to set the performance standards.

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 not grieveable. However, employees may grieve the application of the job elements and performance standards as related to their final rating of record.

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 completed at the end of the rating period established by the Agency. The final rating of record summarizes the employee's performance over the entire rating period including interim rating.

B. In addition to the annual rating of record, other interim ratings may be prepared. All interim ratings will be summarized in the employee's final rating of record. An interim 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, prior to WIGI, etc., and if the employee has served for the minimum 120-day appraisal period. Employees will be provided a copy of all interim ratings.

C. A reasonable period of observation shall be a requisite condition for preparing a performance appraisal. The period may not be less 120 days.

D. Employees will only be evaluated on work which they have been assigned.

E. When an employee's performance exceeds an acceptable level, the supervisor will normally utilize the generic statement(s) as outlined in Article 25. The supervisor may substitute a narrative for the generic statements that demonstrates the employees performance exceeds what is required for acceptable. The supervisor will nominate that employee for an award in accordance with Article 25.

Section 8. Details

A. On a detail or temporary promotion of less than 120 days, the employee will be given a summary of achievements accomplished on the detail/temporary promotion. When employees are detailed or temporarily promoted within the Department, and the length of detail or temporary promotion is expected to last 120 days or longer, the gaining supervisor shall provide written critical elements and performance standards to employees at the beginning of the detail or temporary promotion. A copy of the ratings on criticalelements 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.

B. However, in the case of an extended period of detail or temporary promotion during a rating period (for example, a detail of 246 days or more), the supervisor of the temporary position will provide a complete performance plan and prepare the rating of record.

Section 9. Feedback to Employees

The objectives of the PAPP and PEP are met through feedback, the midyear performance review, and the final rating of record. The feedback is intended to keep employees informed on how they are doing in their job performance. Feedback is provided by regular communications between the employee and the supervisor. The midyear performance review and the final rating of record are required. However, the supervisor or the employee may confirm in writing a discussion regarding performance. Both parties will initial the confirmation if in agreement. This does not preclude the supervisor from documenting their own interpretation of the discussion. Section 10. Special Circumstances Supervisors will not use or hold against the employee, when evaluating performance, any of the following:

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 the working hours.

Section 11. Rating Certification

A. The employee should acknowledge receipt of the rating by signing and dating the final rating of record. An employee's signature on the final rating of record 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 rating, the unsigned rating becomes the final rating of record.

Section 12. Information Sharing

A. Management agrees to share Agency proposed new elements and standards for similar or common positions within the bargaining unit with the Union.

B. Upon request, the Agency will provide the Union with information related to bargaining unit performance appraisals in accordance with Title 5 U.S.C. 7114 (b)(4).

Section 13. Upon request, the Selecting Official will discuss existing or tentative elements and performance standards for vacant positions, within the bargaining unit, with candidates referred for selection.

Section 14. 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/or 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 forty-five (45) calendar days will be started for employees whose performance on one (1) or more elements would result in a rating of Unacceptable. 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 an opportunity to review the PIP, ask questions, and/or comment on the PIP, and/or seek counsel of a Union representative seven (7) calendar days prior to its implementation. Final authority for the establishment and the content of the PIP rests with management.

D. The PIP will include the following:

1. Notice that the employee's performance is at the unacceptable level;

2. The element and the standard that the employee was unacceptable;

3. What the employee must do to reach an acceptable level of performance;

4. The assistance that will be provided;

5. The length of the PIP; and

6. The action that may be initiated if the employee does not improve to the acceptable level of performance at the completion of the PIP.

E. At a minimum, the PIP shall provide for regular biweekly feedback by the supervisor of the employee's progress in meeting the required level of performance.

Section 15. Removal of Outdated Performance Information in the Employee Performance 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 employee is placed on a PIP, 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 16. Documents

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

Section 17. Assuring Deliverance of Performance Appraisal

A. The Union may initiate consultation on any matter involving overdue appraisals with the Agency Labor-Management Relations Committee.

B. The Union may initiate a grievance on any matter involving overdue appraisals of any employee in the unit.

Section 18. 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. Management further agrees to refrain from:

A. Creating a performance standard which requires the performance of overtime work unless the employee is notified of that fact at the beginning of the appraisal period (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;

C. Requiring the use of an employee's personal possessions (e.g., cameras and calculators) for the accomplishment of job tasks; and

D. The Agency will give the Union two (2) weeks advance notice of all position description reviews, updates, audits, etc. within the Bargaining unit. The Union will be allotted one (1) person to participate and comment on the review of all position descriptions within the Bargaining Unit.