Article 09 – Performance Appraisal and Within-Grade Determinations

Section 1. Purpose

This article establishes the principles, policies, and procedures for appraising and recognizing the performance of bargaining unit employees GS-15 and below. The purpose of this article is to:

1. Provide for periodic reviews and an annual appraisal of the job performance of employees;
2. Promote more efficient operation of the Library of Congress and CRS through establishing clear expectations between the supervisor and the employee and providing feedback during the appraisal period;
3. Serve as the basis for recognizing and rewarding quality performance overall or in specific tasks or assignments in accordance with LCR 9-1340*;
4. Identify and help correct performance deficiencies; and
5. Strengthen supervisor/staff member relationships and contribute to the improvement of staff performance.

Excluded from coverage under this article are the following:

1. Employees with appointments of 90 days or less.
2. Employees with W.A.E. (when-actually-employed) appointments.
3. Senior Level employees covered by separate agreement.

Section 2. Policy

It is the Library’s policy to regularly appraise employees on their performance of assigned duties.

Section 3. Performance Appraisal Process

Performance appraisal is a continuous process of observation, feedback, and evaluation. The performance appraisal process provides the mechanism for communicating performance expectations and establishing goals, disclosing how performance will be assessed, and informing the employee throughout the appraisal period how well performance expectations are being met and where performance improvement is needed. The performance appraisal process also provides opportunity to recognize employee accomplishments and contributions to the Library’s and CRS’ mission.  The process is divided into three distinct categories:  performance plans, progress reviews, and performance appraisals.

1. Performance Plans. At the start of a new position or at the start of each new appraisal period, the employee will receive a management-approved performance plan in writing. The plan will include critical elements (major areas of responsibility) and performance standards.

   Normally no later than 30 days after the start of a new position or the beginning of the appraisal period, the supervisor will meet with the employee to discuss the employee’s performance plan, including critical elements, performance standards, and specific goals.

   The purpose of the meeting is to discuss what is expected of the employee and how the employee’s performance will be evaluated. Employees are encouraged to engage their supervisor as much as needed in an effort to clarify any ambiguities, including examples of fully successful work.

2. Progress Review. Informal discussions between the supervisor and the employee are part of supervision and should be frequent enough to assure mutual understanding of changing job responsibilities, performance appraisal factors, and any problem the staff member encounters in his/her work. The supervisor is responsible for conducting at least one progress review, usually midway during the appraisal period. Additional progress reviews may be held at the discretion of the supervisor or at the employee’s request. At either the employee’s or the supervisor’s election, the employee will provide a list of accomplishments to date for the supervisor’s use in conducting a progress review. If it becomes apparent that there is a performance problem (meaning that performance, if it does not improve, may be rated less than Fully Successful) the supervisor must schedule a progress review immediately to communicate his/her concern to the affected employee and to work out a plan for remedial actions. The Parties recognize that an employee must be notified of employment deficiencies and given a reasonable time to improve before being rated less than Fully Successful. Following a progress review held to discuss a performance problem, the supervisor and the employee shall meet on a regular basis to determine the employee’s progress in addressing the performance deficiencies. If necessary, more formal counseling pursuant to the provisions of LCR 9-1310*, Sections 3A, 3B, and 3C will be undertaken. If it appears, or the employee asserts, that failure to meet job requirements is attributable to a behavioral/medical problem, the employee shall be referred to the Employee Assistance Program in accordance with Article 24 of this Agreement. The supervisor shall also discuss the matter with the Employee Assistance counselor.
3. Performance Appraisals

   1. Performance Rating Period. Performance ratings shall be assigned each year to coincide with the anniversary date for within-grade increases in salary. Although an employee whose pay exceeds Step 3 of the grade does not receive a within-grade increase every year, his/her performance rating due date will be tied to that anniversary date and he/she must be rated. When the employee has reached the maximum salary for his/her grade (Step 10), the rating shall continue to be tied to the anniversary date so that an annual rating can be given each year.

      Employees who are detailed or reassigned for at least six months during their rating period shall be evaluated by each supervisor for each position held during that rating period. The performance rating shall be based proportionally on the requirements of his/her regular position and the detail or reassigned position.

   2. Performance Ratings
      1. Supervisors must prepare a written rating for each employee using the Performance Rating Form for CREA Bargaining Unit Employees. At either the employee’s or the supervisor’s election, the employee will provide a list of accomplishments to date for the supervisor’s use in conducting the performance evaluation. The narrative evaluation and proposed rating will be shared and discussed with the employee before they become final. The supervisor shall take into account the conditions under which the work is performed and the resources available for adequate performance.
      2. Subject to management’s right to establish and change performance rating levels, each employee must be rated by applying a five-level rating scale. Ratings must be supported by a written narrative justification. These adjectival ratings are defined as follows:
         • Outstanding – Exceptional high-quality performance that has enabled the employee to achieve goals that would not have been possible without performance substantially above the norm. Persons rated Outstanding may be considered for a quality step increase.
         • Commendable – High-quality performance that has enabled the employee to achieve goals that are not often accomplished.
         • Fully Successful – Good, sound performance that achieves expected goals.
         • Minimally Successful – Performance that is minimally acceptable but that shows deficiencies in meeting goals that require correction. Performance is not at an acceptable level of competence for a within-grade increase.
         • Unsatisfactory – Unacceptable performance that does not meet minimum requirements or achieve expected goals and that requires separation, demotion, or reassignment.
      3. After preparing the employee’s ratings, the supervisor will conduct a performance appraisal meeting with the employee before his/her anniversary date so that any within-grade increase will be effective at the time it is due.
      4. Employees who disagree with all or parts of their performance appraisal are encouraged to discuss their differences with their supervisor. If a mutually acceptable resolution cannot be reached, the rated employee may submit a written response to the appraisal form. The employee may also request a higher-level supervisory review of the summary evaluation and/or the adjectival rating. The employee must submit a written statement outlining the reasons for dissatisfaction with the rating within five work days after receipt of the rating, and the next-higher-level supervisor must respond in writing within five work days.
      5. When it appears that an employee’s performance may be Unsatisfactory, the procedures of LCR 9-1310 will be followed. A staff member who is under a written warning given pursuant to LCR 9-1310 and who fails to improve his or her performance to a satisfactory level is subject to reassignment, demotion, or removal from the Library in accordance with this Agreement and as set forth in LCR 9-1810*, Adverse Actions – Application of Authorities to Library Employees. Following the initiation of an adverse action proposal for Unsatisfactory performance, an employee may have a representative present at any meeting with management related to the proposal.
      6. A performance rating may not be grieved under Article 31 of this agreement, except to the extent that an employee claims a violation of law or provisions of this Article.
   3. Evaluation of Temporary Employees. Employees employed on a temporary basis for a continuous period in excess of 90 days shall receive at the end of each temporary appointment a written evaluation of the work performed during that appointment. Other rights of employees established under this article, e.g., appeals and warnings, do not apply. A temporary employee may, however, submit written evidence or comments that shall be attached to the evaluation challenging or rebutting the accuracy of the evaluation. Evaluations of temporary employees hired under special recruitment programs are governed by the provisions of such programs.

Section 4. Within-Grade Determinations

1. Within-grade increases shall be granted to or withheld from unit employees in accordance with the provisions of 5 U.S.C. 5335 and 5 U.S.C. 5336 and the applicable regulations of the U.S. Office of Personnel Management and the Library (LCR 9-710*) and this Agreement. An employee paid on an annual basis, and occupying a permanent or indefinite position within the scope of the General Schedule, who has not reached the maximum rate of pay for the grade in which his position is placed, shall be advanced in pay successively to the next higher rate within the grade at the beginning of the next pay period following the completion of:

   • each 52 calendar weeks of service in pay rates 1, 2, and 3;
   • each 104 calendar weeks of service in pay rates 4, 5, and 6; or
   • each 156 calendar weeks of service in pay rates 7, 8, and 9

   provided that (1) the employee did not receive an equivalent pay increase during the period; and (2) the work of the employee is at an acceptable level of competence, as determined by management. Supervisors are responsible for making employees specifically aware of what constitutes an acceptable level of competence for purposes of granting a within-grade increase and for determining which employees are performing at that level.

2. If it appears that a within-grade increase will be denied, a written 65-day warning of intent to deny will be issued to the employee. The employee shall have the right, upon the receipt of appropriate information and supervision, to utilize the sixty-five (65) day warning period to improve his or her performance.
3. An employee shall have the right to be accompanied by an Association representative of his or her choosing in discussions with management concerning the possible denial of a within-grade increase.
4. Failure to provide a timely 65-day warning is not a reason for granting the increase. It would, however, entitle the employee to proper notification and a full 65-day period to improve his or her performance to an acceptable level before a final determination is made. (In the case of any late 65-day warning, the supervisor will still make a determination by the due date on whether to grant the within-grade increase. If the determination is negative, another determination will be made 65 days from the date the notification was actually given. If this second determination is positive, the within-grade increase will be granted retroactively to the due date.) If the within-grade increase is denied, the next determination shall be made as soon as the supervisor is satisfied that the employee has attained an acceptable level of competence or no later than 52 weeks after the due date of the last consideration, with a 65-day notice required if it appears that the increase will be denied. Denial of a within-grade increase may not be the subject of a grievance under Article 31 of this Agreement, except to the extent that an employee raises a procedural violation. If the employee prevails in the grievance, the employee will be made whole in accordance with applicable law. Denial of a within-grade increase shall not be used as a substitute for disciplinary action. Neither shall an alleged deficiency which is not related to the work to be performed be the basis for withholding a within-grade increase. Subject to management’s exercise of its rights in making performance appraisal system determinations, the performance rating form for CREA bargaining unit employees attached hereto shall be used.

Section 5. Postponement of Rating

1. The performance rating shall be postponed if the employee has not served three consecutive months in the same position.
2. The performance rating shall be postponed if the 90-day period following a warning of unsatisfactory performance has not been completed by the rating date.
3. The performance rating may be postponed if an employee has not been in a work status for a minimum period of three consecutive months in the position to which he/she is regularly assigned.
4. The performance rating may be postponed until three months after the arrival of a new supervisor. The subsequent performance evaluation due date would not be altered.
5. The performance rating may be postponed if an adverse action or disability retirement is pending.
6. In making a decision to postpone the performance rating, the supervisor should take into account family and health situations.

Section 6. Individual Development Plans

The Individual Development Plan (IDP) is a tool to help employees develop learning objectives and take action toward achieving short- and long-term developmental and professional goals. It should include a range of opportunities for the employee, such as formal classroom training, distance learning, details, shadow assignments, self-development options, etc. An IDP must be established and approved for new employees at the start of a new position using the applicable template. An IDP is developed in partnership between the employee and the supervisor. The employee and supervisor should regularly discuss the employee’s needs, objectives, and plans and review and update the IDP (as needed) every six months.

Section 7. Information Session for Bargaining Unit Members

Up to one hour of official time will be provided to each bargaining unit employee to attend a CREA-offered information session on significant changes in the performance appraisal process.

• Performance Rating and Within-grade Increase Certification for CREA Bargaining Unit Employees form (PDF)

* LCR 9-1310 was formerly LCR 2017-5, “Obligations of Management and Staff to Fulfill Position Requirements”.

* LCR 9-1340 was formerly LCR 2017-3, “Suggestion and Incentive Awards Program”.

* LCR 9-1810 was formerly LCR 2020-3, “Policies and Procedures Governing Adverse Actions”.

* LCR 9-710 was formerly LCR 2013, “Pay Administration”.