The New Uniform Appraisal Rating Periods

1. The New Uniform Appraisal Rating Periods Union Brown Bag Lunch Series: Wednesday, October 2, 2002 Noon, Lecture Room D

2. Objectives • New Uniform Performance Appraisal Rating Periods • Transition to Uniform Appraisal Rating Periods • Procedures for Applying the Performance Appraisal System • Grieving Your Rating of Record

3. Performance Appraisal • A Performance appraisal is the process of comparing actual job performance against performance standards, rating each critical element, and assigning a summary rating. National Agreement, Article 15, Sec. 2(A) (2002).

4. Performance Standards • Performance standards include objective measures of performance such as quality, quantity, cost efficiency, timeliness, and manner of performance, and may include other measures of performance as appropriate. National Agreement, Article 15, Sec. 2(C) (2002).

5. Critical Element • A component of a position consisting of one or more duties and responsibilities that contribute 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. National Agreement, Article 15, Sec. 2(D) (2002).

6. Performance Review • Two performance reviews of the employee's performance on each critical element are conducted each year: a midyear progress review of the employee's progress toward achieving the performance standards established in her or his performance plan which is not in itself a rating and a final review at the time the rating of record is issued.National Agreement, Article 15, Sec. 2(E) (2002).

7. Rating of Record • The rating of record is the official written summary of an employee's performance given at the end of the rating period and is determined by evaluating the employee's performance against the employee's written performance standards. National Agreement, Article 15, Sec. 3 (2002).

8. Rating Periods • Beginning fiscal year 2003, the annual appraisal period for all NARA employees, except those identified below, is October 1 through September 30 of each year. • Beginning fiscal year 2002, for employees in the Office of Administrative Services (NA) and the Office of the Federal Register (NF), the rating period is April 1 through March 31 of each year. National Agreement, Article 15, Sec. 2(B) (2002).

9. Minimum Rating Period • The minimum appraisal period is 90 days. In order to review an employee's performance and assign a summary rating and rating of record, the employee must have held a position under a performance plan for this minimum appraisal period. To prepare a rating, the rating official must have held a supervisory position over the employee for the minimum period or otherwise have sufficient information about the employee's performance during the appraisal period. NARA Personnel 300, Chpt. 430, Part 2 (19).

10. Transition to Uniform Rating Periods • All Offices except NA and NF: If the employee’s rating period began in October 2001 -- June 2002 the rating period will end September 2002. If the employee’s rating period began in July 2002 -- September 2002 the rating period will end September 2003. National Agreement, Article 15, Sec. 2(B) (2002); Interim Guidance 300-20 (5) and Appendix A.

11. Transition to Uniform Rating Periods • NA and NF: If the employee’s rating period began in April 2001 -- December 2001 the rating period will end March 2002. If the employee’s rating period began in January 2002 -- March 2002 the rating period will end March 2003. National Agreement, Article 15, Sec. 2(B) (2002); Interim Guidance 300-20 (5) and Appendix B.

12. Procedures • The employee will receive, in writing, the critical elements and performance standards for her or his position. • During performance reviews, the supervisor will answer any questions the employee may have concerning what is necessary to improve performance. • The employee may submit written comments regarding the review that will be retained by the supervisor.

13. Procedures • When the performance rating is issued, a meeting with the employee will be held to discuss the rating. • Employees will receive their ratings normally within 60 calendar days after the end of the Uniform Performance Appraisal Rating Period.

14. Procedures • The supervisor will make appropriate allowances at the annual rating for work-related factors that were beyond the control of the employee which may have made it more difficult to meet the written performance standards. • Normally, an employee should be notified of performance deficiencies before receiving a lower rating on an element than they received for the previous annual rating period. The notification should be made as soon as practicable after deficient performance is noted.

15. Within-Grade-Increases • Employees are eligible for WGIs after completing the required waiting period since their last WGI or promotion. Instead of using the performance appraisal to grant a WGI, office heads and staff directors must certify that employees are performing at an acceptable level of competence by completing NA Form 3042, Supervisory Certification for WGI.

16. Grieving Your Rating of Record • National Agreement, Article 23 (2002) • Timeline: 20 days after your receive Rating of Record. • Written Grievance filed with Office Head or Staff Director • Basis: • Procedural • Substantive

17. Questions • PETER J. JEFFREYPresidentCouncil of National Archives and Records Administration Locals, Council 260American Federation Government of Employees, AFL-CIO8601 Adelphi Road, RM 1920College Park, MD 20740-6001Office: (301) 837 0901Mobile: (301) 237 4422