Labor Relations
GSFC-GESTA Collective Bargaining Agreement

Article 31
Performance Appraisal System
(Also referred to as NASA Employee Performance Communication System “EPCS”)

SECTION 31.01

The Performance Appraisal System will be conducted in a fair, equitable and reasonable manner and be free from prohibited personnel practices described in Title 5 United States Code (USC) 2302. 

This performance appraisal system covers professional employees as defined in Title 5 USC 7103 (a)(15) and “technicians” as defined in this collective bargaining agreement.

This system is intended to improve individual and organizational performance by enhancing communications between the supervisor and the employee.  It is also instrumental in providing accurate information about work performance for use by Management and employees in making work-related decisions; increase individual and organizational effectiveness; foster more effective supervisor/employee working relationships; and clarify accountability.

The system consists of an interactive results-oriented process tailored to the unique needs and style of the Agency. Specific actions by both the supervising official and the employee are required, and these actions must be carried out with a reasonable degree of rigor if optimum benefit is to be derived.

SECTION 31.03 Applicability

The Performance Appraisal System for employees within the GESTA Bargaining Units will be implemented according to this Article, applicable law and regulation.  Management shall not establish any secondary employee appraisal system, independent from or derivative of the system defined in this Article, at any administrative Center level.

SECTION 31.04 Union Representation

Employees are entitled, at their option, to the presence of a GESTA representative:

a. At the meeting when the final performance plan is presented to the employee for signature;

b. At the mid-term review meeting;

c. At any progress review meeting between the employee and the supervisor; and

d. When the employee formally presents the information supporting his/her reconsideration

The unavailability of a union representative will not unduly delay a performance meeting between the employee and supervisor.  Generally, performance meetings will not be postponed by more than one (1) workday to accommodate the employee's ability to secure a union representative.

SECTION 31.05 Definitions

a. Critical Element - A work assignment or responsibility of such importance that a rating of Fails to Meet Expectations in that element would result in a determination that an employee’s overall performance summary rating is Unacceptable.  Such elements shall be used to measure performance only at the individual level (5 CFR 430). The number of critical elements shall be applied in a fair and equitable manner and take into account the nature of the employee’s job.

b. Non-Critical Element - A dimension or aspect of individual, team, ororganizational performance, exclusive of a critical element, that is used in assigning a performance summary level.  Such elements may include, but are not limited to, objectives, goals, program plans, work plans, and other means of expressing expected performance.  Failure on a non-critical element cannot be used as a basis for a performance-based action, i.e., reduction in grade or removal from the Federal Service nor can the employee’s overall performance summary rating be declared as Unacceptable based on that failure (5 CFR 430).

c. Performance Standards - Broad statements of expected accomplishments or behaviors.  Performance standards may be expressed in terms of quantity, quality, timeliness, process, product, or other manner of performance.  The performance standards must be job related, valid, reliable and, to the extent feasible, objective. 

d. Performance Plan - All of the written performance elements and standards that set forth expected performance. e. Progress Review - A Rating Official’s and employee’s review and documented discussion of the employee’s performance; progress in meeting the performance elements and standards of the employee’s performance plan; and, training and development needs and requirements.  A progress review does not result in a Rating of Record.

f. Administrative Supervisor (Rating Official) - The official (usually the immediate supervisor) who is responsible for developing a performance plan; periodically reviewing performance; resolving employee work priority conflicts with the technical supervisor; and, appraising performance against the plan at the end of each appraisal period.

g. Technical Supervisor (including Detail/Matrix Manager) - The official who is responsible for providing formal technical supervision to an employee and providing assessments of the employee’s performance consistent with the terms of this Agreement.  This official may be the employee’s Administrative Supervisor.

h. Reviewing Official - The official (usually the second-level supervisor) who reviews and approves a performance summary rating of Distinguished, Needs Improvement or Unacceptable.  

i. Individual Performance Element Rating Levels - One of five (5) ratings, as listed below, assigned to an employee’s performance on each element.  A designation of “Not Rated” will be applied when an employee has had an insufficient opportunity to demonstrate performance on the element.

Level 5. Significantly Exceeds Expectations - Performance that consistently exceeds the performance standards to an exceptional degree for the element.

Level 4. Exceeds Expectations - Performance that consistently exceeds the performance standards to a high degree for the element.

Level 3. Meets Expectations – Performance that fully and consistently meets the performance standards for the element.

Level 2. Needs Improvement – Performance that does not fully meet the performance standards for the element.

Level 1. Fails to Meet Expectations - Performance that fails to meet the performance standards for the element.

j. Performance Summary Rating Levels - One of five (5) ratings, as listed below, assigned to an employee’s overall performance:

Level 5. Distinguished - All critical and non-critical elements must be rated Significantly Exceeds Expectations.

Level 4. Accomplished – All critical and non-critical elements must be rated Exceeds Expectations or higher.

Level 3. Fully Successful – All critical and non-critical elements must be rated Meets Expectations or higher.

Level 2. Needs Improvement – Any non-critical element is rated Needs Improvement or lower and/or a critical element is rated Needs Improvement.

Level 1. Unacceptable – Any critical element is rated Fails to Meet Expectations.

a. The performance appraisal shall be prepared by the person who is designated as the employee’s Administrative Supervisor.  That Official shall discuss the employee’s performance with any other Technical Supervisor responsible for the employee’s work during the appraisal period.  Consideration of performance information provided by other than the Administrative Supervisor shall include consideration of the amount of time spent on such assignments.

b. For any detail or matrix assignment in excess of sixty (60) days, the Administrative Supervisor shall obtain a brief narrative statement of the employee’s performance during that period from the Technical Supervisor. This narrative statement shall also be provided to the employee in a timely manner.  To the extent that performance under a detail or matrix assignment of sixty (60) days or less, as explained by the Technical Supervisor, is relied upon by the Administrative Supervisor in determining the overall rating, a brief written summary of that assessment shall be made by the Administrative Supervisor and also provided to the employee in a timely manner.

c. If a detail or matrix assignment of fewer than thirty (30) days is instrumental to a Needs Improvement or Fails to Meet Expectations rating, the Administrative Supervisor shall include a brief statement as to what consideration was given to the period of time in the assignment.

d. The Administrative Supervisor will coordinate preparation of performance plans and input into the progress review process with Technical Supervisors of employees under details or matrix assignments, as appropriate.

e. Employees who are detailed or matrixed assigned shall be promptly provided in writing with the name of the Technical Supervisor to whom assigned.

SECTION 31.07 Basic Provisions

a. Appraisal Period - Appraisals of job performance will be made annually in writing.  The performance appraisal period begins after presentation to the employee of his/her finalized performance plan.  No performance appraisal rating will be assigned to any employee who has been under a performance plan for fewer than ninety (90) days.

b. Performance Plan Development – At the beginning of the appraisal period, the supervisor will establish a performance plan in consultation with the employee.  They will review the employee’s skills and work experiences as they relate to the duties and responsibilities of the position description and the organizational unit.  Before finalizing the performance plan, the supervisor must provide a draft of the plan to the employee and give the employee an opportunity to provide input/feedback.  To the maximum extent feasible, the supervisor will respond to the employee’s contributions.  In the case of disagreements, the supervisor will make the final decision concerning the content of the performance plan.

c. Meeting with the Supervisor –  The Administrative Supervisor will meet with each employee at the beginning of the appraisal period to discuss the contents of the final performance plan, assure its clarity and provide the employee with a written copy of the plan.

d. Training and Development - An employee’s training and development needs must be addressed in the employee’s performance planning discussions.  It is the joint responsibility of the employee and supervisor to certify on the performance plan that this discussion has taken place.  These discussions may form the basis for an employee’s Individual Development Plan (IDP).  All employees will be offered the  opportunity to develop an IDP.

e. Progress Reviews - At a minimum, one (1) progress review will be conducted approximately at the mid-point of the appraisal period. Either the Administrative Supervisor or the employee may request additional progress reviews provided reasonable notice is given.  Changes in the performance plan will be documented by the Administrative Supervisor and initialed by the employee.  The Administrative Supervisor will provide, in writing, recommendations for improvement of problems discussed during the progress review when requested by the employee.  The employee may document for the plan any concerns or reservations.

f. Notice of Unacceptable Performance - The employee may be rated Unacceptable only after being given at least sixty (60) calendar days prior notice to allow a reasonable opportunity to demonstrate acceptable performance while on a Performance Improvement Plan (PIP).  If necessary, the PIP period may be extended.  The reasonable opportunity period, which will begin no less than seven (7) calendar days after issuance of the warning, is not extended by any annual leave, leave without pay, absence without leave, or any sick leave, unless significant periods of sick leave used by the employee during this period are determined to render such opportunity unreasonable.  If the PIP, when issued, does not provide sixty (60) calendar days before the end of the annual rating period, the rating period will be extended for the duration of the PIP.  The PIP shall be in writing and shall include the following elements:

1. Which performance elements and standards the employee is failing to meet;

2. What the employee must do to bring his/her performance to the Needs Improvement level; and

3. What assistance will be made available to the employee, to include, but not to be limited to the following:

a. to whom the employee will report;

b. what additional training, if any, will be offered; and

c. the frequency and purpose of meetings.

Upon the employee’s request, a meeting will be held with the supervisor within seven (7) calendar days of issuance of the PIP to seek clarification of the items a thru c, listed above. The employee may have a union representative present at this meeting.

g. Remedial Actions - Administrative Supervisors will help employees improve unacceptable performance by providing as appropriate, training, counseling, review processes, and/or resource assistance.  If unacceptable performance is the result of a new job requirement or a change in technology, training may be provided if appropriate. Employees who are not performing at the Fully Successful level will not be eligible to receive a Within-Grade Increase (WIG).  When an employee’s performance is rated Unacceptable after the PIP period, Management shall consider the full range of remedial actions, including reassignment, reduction in grade, and removal.

h. Reconsideration - Upon receipt of an official appraisal, the employee may request reconsideration as specified in Section 31.08c.(6) of this Article.

i. Use of Results of Performance Appraisal - The results of the performance appraisal will be used as a basis for making decisions with respect to training, rewarding, reassigning, promoting, reducing in grade, retaining, and removing employees.

j. Performance Appraisal Form - All performance appraisal information will be recorded on the performance appraisal form and become a part of the official Employee Performance File (EPF).  Specifically, the completed form shall be maintained for the most recent four (4) years within the EPF by the responsible office in accordance with the provisions of the Privacy Act.  Except for general administrative purposes where the identification of an individual employee is not important, the responsible office will maintain an access/checkout record which indicates to whom the completed form or other EPF record was revealed and when.  The record shall be available to the employee for review upon request.  If during the course of this Agreement, changes are proposed to the performance appraisal form, such changes shall be negotiated in accordance with the provisions of Article 6, Section 6.02(b) of this Agreement.

k. Union Activities - GESTA officials are expected to meet the  performance standards for their position of record.  When the employee is a GESTA representative who spends official time performing authorized labor relations activities, the performance appraisal process shall provide for due consideration by the supervising official of such activities.

Adjustments may be necessary in the work requirements so that the employee is not penalized for engaging in authorized representational functions.

The Performance Appraisal System will not be used to inhibit the representational activities of a GESTA official or representative
nor shall that official or representative be denied access to the benefits of this system because of the time spent in that capacity.  Requests for official time must be requested in accordance with Article 9.06.

l. Pre-established Distribution (Quotas) - Performance appraisals will be based solely on the employee’s actual performance of the requirements specified in his/her performance plan.  There will be no pre-established distributions (quotas).

SECTION 31.08 Appraisal Process

a. Performance Plan Development - The Administrative Supervisor will meet with each employee at the beginning of the appraisal period to  get input/feedback from the employee; assure its clarity; and, provide the employee with a written copy of the final plan.

1.  The plan will include the critical and non-critical performance
elements of the position which are applicable to the appraisal period.  The number of critical and non-critical performance elements shall take into account the nature of the employee’s job and shall not be excessive.  

2.  The performance standards shall be recorded on the performance plan.  Each standard must clearly communicate performance expectations.  It should identify, where possible, the measures that will be used to evaluate the performance results.  At a minimum, the standards must be written at the Meets Expectations level.

3.  The establishment of Performance Element standards for the Meets Expectations rating level.  The performance standards shall be recorded on the performance plan or will identify/reference appropriate guidance documents.  When it is considered appropriate to include specific projects, tasks, or actions in the performance plan, they may be presented as performance standards.  Administrative Supervisors must offer an employee the opportunity to provide input into his/her performance plan.  Before finalizing a performance plan, the supervisor must provide a draft of the plan to the employee and give the employee an opportunity to provide input/feedback.  The supervisor is ultimately responsible for the contents of the plan.  When there are disagreements, the supervisor will make the final decision on what is included in the plan.

Both the Administrative Supervisor and the employee will certify that the performance plan has been discussed.  The employee may document concerns, reservations, and/or problems regarding the plan on the form.

To aid in the process of communications, any supporting documentation relevant to the performance elements, standards, and indicators may be reviewed by the Administrative Supervisor and employee as appropriate.

4.  Each standard must include a sufficient number of performance indicators to clearly communicate performance expectations.  Performance indicators should identify, where possible, the measures that will be used to evaluate the performance results and must be written at the Meets Expectations level.

b. Progress Reviews - This phase is intended to accommodate the objectives and mission of the GSFC and to increase communications between the Administrative Supervisor and the employee.  Progress reviews should clarify or update the performance plan as the work unfolds and ensure that the final appraisal is based on the work actually performed.  An employee must be given the opportunity to provide input relative to the elements/standards for the progress review.

At a minimum, one (1) progress review will be conducted approximately mid-way in the appraisal period. Either the Administrative Supervisor or the employee may initiate additional progress reviews provided reasonable notice is given.  

The Administrative Supervisor shall initiate a progress review whenever there is a need to change the performance plan.  The progress review includes an explanation of all changes from the original performance plan.  Changes to the plan will be initialed and dated by the employee acknowledging that the change has been discussed.  The employee may express his/her written reasons for concerns or reservations regarding the progress review for inclusion with the performance plan.

c. Performance Assessment - At the end of the appraisal period, performance is evaluated by comparing actual performance to the performance requirements in the performance plan.  This assessment involves the followings steps:

1.  The Administrative Supervisor must offer the employee an opportunity to provide input relative to his/her accomplishments against the performance standards.

2.  The Administrative Supervisor will assess the employee’s achievements against the performance standards and assign one of five rating levels to each element and to the employee’s overall performance.  In so doing, the Administrative Supervisor must prepare a general narrative statement of the significant aspects of the employee’s job performance and include a rationale for the overall rating assigned.

3.  The Administrative Supervisor shall take into consideration factors beyond the control of the employee.

4.  The next higher level supervisor reviews the assessment if the summary rating assigned is Distinguished, Needs Improvement, or Unacceptable.  Approval by the higher-level official is not required for a rating of Fully Successful or Accomplished.

5.  After the review is completed, the Administrative Supervisor discusses the appraisal with the employee and provides him/her a copy of the completed appraisal form.  The employee may make written comments in response to the appraisal.

6.  The employee may request reconsideration of the appraisal by the Reviewing Official through the Rating Official within thirty (30)  calendar days after receipt of the completed appraisal form. Within those 30 calendar days, the employee must provide any information in writing in support of the request.  The employee will receive a decision within a reasonable period of time.  During reconsideration, an employee will have access, upon request, to any material relied upon by the Administrative Supervisor to support either individual performance element rating(s) or the overall rating.  Following reconsideration, an employee may grieve a performance appraisal rating in accordance with the Negotiated Grievance Procedure (Article 16) of this Agreement. If, on review, the rating and/or narrative is changed, a new form will be issued and filed in accordance with Section 31.07(i) and will bear no marking or annotation which would identify that the rating had been changed.

7.  Upon request, GESTA shall be provided data which is normally maintained by the Agency in the regular course of business and is reasonably available, necessary, and relevant to the discharge of GESTA’s collective bargaining and representational responsibilities, e.g., statistical summary of overall rating results for Unit employees under a Reviewing Official.  This information does not include guidance, advice, counsel, or training provided for Management officials or supervisors relating to collective bargaining.

a. In cases of reassignment, appraisal of performance at the end of an appraisal period is the responsibility of the current Administrative Supervisor.  The current Administrative Supervisor shall contact the supervisor of each position to which the employee was permanently assigned during the rating period and obtain information on performance in such position(s) for consideration in the assessment of the employee’s performance for the appraisal period.b. When an Administrative Supervisor changes jobs or leaves the
installation within ninety (90) days of the end of the rating period, s/he shall provide a performance assessment.  The performance assessment will be taken into consideration by the current Administrative Supervisor.  When the Administrative Supervisor changes jobs or leaves the installation with more than ninety (90) days left in the rating period, s/he shall provide a performance assessment for each employee for consideration by the new supervisor.  When a Technical (detail/matrix) Supervisor changes jobs or leaves the installation and has observed an employee’s performance for a minimum of (ninety) 90 days, then s/he shall provide a performance assessment.

c. Written performance assessments described in this Section will beprovided to the employee upon request.

d. Information relied upon by the current Administrative Supervisor in assessing an employee’s performance shall be provided to the employee in writing in a timely manner (i.e., as soon as practicable upon completion of a detail, reassignment, etc.).

The results of the performance appraisal will be used as a basis for promoting, training, reassigning, rewarding, reducing in grade or removing, and/or retaining employees as follows:

a. Promotion – Performance appraisals are one of the factors used in considering promotion eligibility.

b. Training – An employee’s need for training, as evidenced in performance appraisals, shall be a factor in Management’s decision concerning training and development plans.  An employee will be provided appropriate training if poor performance is a result of a new job requirement or a change in technology.c. Reassignment - If an employee’s performance appraisal reveals that his/her abilities could be utilized more appropriately in another position, reassignment will be considered.  In addition, an employee can request reassignment in accordance with Article 11.03.

d. Within-Grade Increase (WIG) - An employee will be granted a WIG if the most recent appraisal rating is Fully Successful or higher.  An employee with a lower rating of record will not be granted a WIG until overall performance returns to at least Fully Successful.  If the most recent appraisal does not support the decision, there must be a written assessment of performance, based upon the performance plan, setting forth the reasons for granting or withholding the WIG.

e. Performance Awards - Employees shall be considered for and granted cash awards, time off awards, and quality step increases as follows:

1. An employee who receives a performance summary rating of Distinguished, Accomplished or Fully Successful is eligible for monetary and non-monetary recognition.  Subject to available funds, performance awards will be based upon a percentage of salary.  Awards may include a combination of cash and time off.  The monetary value of the combined award will not exceed the designated award percentage for the rating level.    

2. An employee who receives a Needs Improvement or Unacceptable performance rating is not eligible for either a monetary or non-monetary performance award.

3. All awards will be processed in accordance with NPR 3451.1, “NASA Awards and Recognition Program” or its successor document.

Awards will be granted on the basis of merit only and shall not be influenced by pre-established distribution based on preferential assignment or grade.

   f. Reduction in Grade or Removal – An employee may be reduced in
grade or removed if s/he continues to fail to meet expectations after assistance and a reasonable opportunity to improve is given.  Appropriate measures will be taken to assure the reasonableness and fairness of the associated PIP.  Such action will be taken in accordance with law, regulation and the provisions of this Agreement.

g. Retention - In the event of a reduction in force, credit for performance will be computed in accordance with 5 CFR 351.504, “Credit for performance.”

APPROVED THIS 7 ^th DAY OF AUGUST, 2007 BY:

Edward J. Weiler
Director
Goddard Space Flight Center

David R. Jones
President
Goddard Engineers, Scientists, & Technicians Association, Local 29

NEGOTIATING COMMITTEE

Tonya B. West
John T. Riley
Bernadette G. Fowler
Walter T. Flournoy
Lia S. Jones
Dr. Donald W. Deering

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