United states Administration And ERoK-94-005
Environmental Protection Resources Management Septemoer 199*
o-EPA Master Collective Bargaining
Agreement Between United State
Environmental Protection Agenq
And American Federation Of
Government Employees
fcxiwo MO SoriCanctt MI on ptpw IM
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MEMORANDUM OF UNDERSTANDING
This Memorandum of Understanding (MOU) is reached between the American Federation of
Federal Employees (AFGE) through its duly authorized representative the National Council of
EPA Locals, referred to as the Council, and the United States Environmental Protection Agency.
referred to as EPA or the Agency, and collectively known as the Parties. This Understanding
applies to the employees and positions in the two consolidated bargaining units represented by
the Council, but not to employees or positions outside those units. This agreement becomes null
and void on September 30, 1996 unless extended by mutual consent of the parties.
This Understanding is intended to deal specifically with actions that may be necessary as a result
of FY96* funding shortfalls and will become null and void when those shortfalls arc no longer a
possibility. Except for No. 3 below, it docs not apply in an emergency shutdown of Government
operations. This understanding is expressly limited to the purposes for which this MOU has been
reached. This Understanding is a one time agreement by the panics on this subject and docs not
have any precedent value. This understanding docs not change or waive any negotiated
agreement.
In anticipation of the possibility of significant funding shortfalls, several steps have already been
taken to avoid or minimize any furloughs or RIFs. These include a hiring and promotion freeze
with exceptions to be authorized only by the most senior Agency managers, asking volunteers to
accelerate their delayed buy out departure dates, and using early out retirement authority.
During the next several weeks and months, the Agency will be initiating additional steps to
reduce discretionary expenditures which may include such actions as drastically reducing travel,
eliminating where possible contracts that arc no longer in the Agency's best interests, closing
exercise facilities, eliminating transit subsidies and bus shuttles for employees, limiting
equipment and supply purchases, freezing all cash awards and promotions for FY96. etc. As i;
reviews each of these and other measures through the management deliberation process, the
Agency will consult and involve the Council by soliciting its comments and suggestions before
reaching a decision. Cost-cutting actions designed to save funds that involve employee
conditions of employment shall be terminated when sufficient funds for such uses become
available and employees arc no longer in jeopardy from furlough or RJF. The Agency will keep
the Council informed as each matter goes through the decision-making process, including the
final disposition.
On or about the first week October 1995. the Council may present a written
suggestions/recommendations of ways it believes the Agency can reduce expenditures in addition
to those described here or those initiated by the Agency. Each option will be sufficiently
* When the FY97 proposed budget and any funding shortfall information is given to the
Agency, this same information will be given to the Council. At this time, the Council and
Management may reopen discussion of RIRFurlough, if necessary, to deal with FY97 shortfalls.
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explained and described that a decision could be reached on the basis of information provided by
the Council. The Council may prepare and present its suggestions independently or in
collaboration with other EPA unions. Any suggcstiojjssosubmittcd will be fully considered by
the Agency. The Council may be asked to elaborate or provide additional information
concerning any of its ideas.
It is the hope of the panics that reductions in force (layoffs) and furloughs (periods of time when
employees arc released from duty without pay) will not be necessary. If they arc, it is the
Agency's intent to accomplish such actions as cvcn-handcdly as possible across the permanent
workforce at all levels within the constraints imposed by external requirements, including laws
and government-wide regulations.
The parties acknowledge that there is considerable uncertainty over the nature and severity of
actions that may be required. However, the panics recognize that, once it is clear furloughs or
RIFs arc unavoidable, any delay in initiating the necessary actions may have the inescapable
consequences of increasing the number of impacted employees.
With the preceding factors in mind, the parties have agreed to be guided by certain principles.
First, the ability of the Agency to carry out its mission is the single most important criterion in
any decision. After accomplishment of the mission, the second most important value is
protecting the jobs of the permanent workforce within the constraint of any externally imposed
requirements. Lastly, the parties believe that decisions which have the effect of protecting the
greatest number of permanent employees over the longest period of time should be valued over
shorter term decisions.
ADDENDUM
I. This is an addendum to the Master Collective Bargaining Agreement between AFGE and
USEPA and any local negotiated agreement. This agreement applies only to a RIF or furlough(s)
the Agency mny be faced with in FY96 unless extended by the parties to include FY97 shortfalls.
2. This agreement will not affect or change any agreement within the National EPA Council.
FURLOUGHS
3. If applicable legislation and authorized spending levels permit, employees will be retroactively
paid all due compensation to the extent provided by law and regulations.
4. Nothing in this MOU is intended to convey the impression that the Council in any way
sanctions the furlough or other actions having an adverse impacts on employees, performance of
the Agency's mission, or the public interest which result from the funding shortfalls.
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This MOU docs not waive or limit any existing statutory rights of employees.
5. The Agency will continue to provide the full employer contribution to health benefits under
the Federal Employee Health Benefit Program for employees affected by furloughs, as provided
for in law and regulations.
6. In the event of a planned continuous furloughcd of over 30 calendar days or a R1F, the Agency
and the Council will work together to assist interested affected employees in trying to obtain
other employment. That Jissistancc may include such things as:
* permitting employees a reasonable amount of excused absence to contact federal job placement
officials and private employment agencies.
* Inviting other organizations to do on-site employment interviews at the appropriate EPA
facility.
* Allowing the reasonable use of Agency facilities in connection with group or individual out-
placement employment.
* Expeditious processing of individual waiver requests involving outside employment, normally
within five (5) work days.
7. Performance expectations, appraisals and other related actions will not include periods during
which an employee is furloughcd.
S. An employee will not be asked to perform work for the Agency while in a furlough status.
9. Furlough notices must provide employee with all information to which they arc entitled by
law. Furlough notices will be hand-delivered or by a form of delivery where receipt is requested.
When an employee refuses delivery or to acknowledge receipt, the notice period begins on the
date of attempted delivery. When the employee is unavailable to accept delivery, the notice
period begins on the date of the second delivery notice.
10. The parties acknowledge that furloughs and RIFs will lead to an increased need for union
representation activities. With that in mind, the panics agree that a reasonable amount of
additional official time will be made available for representational activities.
11. When a discontinuous furlough is used, the employee and the supervisor will work out the
exact timing taking into account the need to maintain Agency operations and effectively
accomplish EPA's mission. The employee must complete the entire furlough within the required
time period.
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12. Employees on an Alternative Work Schedule (compressed workweek) will not be advantaged
or disadvantaged as a result of their work schedules.
13. The following shall apply in the event of a continuous furlough of more than one pay period.
The Agency agrees to work with interested employees in making changes to their payroll
allotments and\or withholdings for tax purposes in order to minimize the impact of a furlough on
their disposable income. Such changes will be in accordance with the applicable regulations and
program requirements. Normally, the employee will realize the effect of the changc(s) on the
second paycheck after filing the changc(s) with the Agency.
Upon request, the Agency will provide an employee with a statement to give to creditors
explaining that the employee has been furloughcd through no fault of their own and that the
furlough necessarily results in a reduction in pay.
Employees may receive budget and financial counseling through Agency-sponsored programs
while in a duty status.
14. It is the panics' preference to use discontinuous furloughs if possible. However, the panics
recognize that maintaining the Agency's operations or other business-related reasons may
preclude that possibility. If the Agency determines a discontinuous furlough is not feasible, it
will inform and explain all furlough situations to the Council immediately.
15. Pan-time employees will be furloughcd in proportion to the work schedule of a full-time
employee. For example, if full-time employees arc furloughod eight hours a week, a pan-time
employee working 20 hours a week will be furloughcd for four hours a week.
REDUCTION IN FORCE (RIF)
16. All on-board temporary employees and re-employed annuitants will be released as soon as
possible on or after September 30. 1995.
17. Effectively immediately, expiring temporary appointments will not be renewed.
18. All position changes that would effect competitive levels will be frozen as of October I.
1995.
19. For purposes of calculating RIF retention standing, only those performance appraisals on
record as of July 1. 1995 will be used.
20. Employees who arc or were full-time union officials and did not receive a performance rating
for any two of the past four years will be treated the same as other employees not having a
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rating(s) of record in accordance with law and regulations for the purpose of calculating their RIF
retention standing.
21. An employee's work schedule (pan-time or full-time) will not be the determinant in RIF or
furlough decisions. %J£'1-
22. The Agency will not fill vacant positions while the RIF is being conducted unless the most
senior Agency management grants a specific exception. The Agency will inform and fully
explain the situation to the Council prior to filling that position.
23. The Agency will not waive qualifications in the placement of employees during the RIF
except by specific exception granted by the most senior Agency management.
24. The Agency will consult and involve the Council on how the layoffs will be accomplished,
e.g.. abolishment of specific positions, eliminating positions based on occupation and retention
standing within the competitive area.
25. No competitive areas will result in an employee being eligible for relocation expenses.
26. This MOU must conform to statute, and government-wide regulations and Executive Order
12871 in effect when it was executed.
27. It is the parties' preference to use furloughs to avoid layoffs of the career workforce. We
recognize the possibilities that funding shonfalls may be so severe that, furloughs would not be a
viable alternative and a RIF is the more realistic alternative. If the Agency is faced with one or
more of these possibilities having become a reality, it will inform and explain the situation to the
union immediately before taking actions.
28. The Agency will consider individual employee requests to:
(1) Work at home when the job can be effectively and efficiently performed at home:
and\or
(2) engage in job sharing with another cmploycc(s)
In both instances, the request must result in direct cost savings to the Agency in FY96. will in no
way impair the Agency's mission, and will meet 0PM and Agency requirements.
29. The Agency will continue its efforts to keep the council and employees informed of events
impacting the budget situation and actions it is taking in that connection.
30. A copy of this Understanding will be provided to bargaining unit employees.
31. The Council acknowledges that the Agency is interested in trying to persuade the Union into
waiving provisions of the Master Collective Bargaining Agreement (MCBA) concerning advance
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notice periods. The parties agree to meet. as soon as. the Agency can produce the necessary
facts and figures, which will substantiate the need to consider the possibility of reducing the
notice period in the MCBA. The panics will discuss and consider the need for requesting a
waiver from the proper authority, on reducing the notice periods as negotiated in the MCBA. It
is understood that the sole reason for considering the request, to reduce the notice period, is to
save employees by minimizing the number of employees who will lose their job in the event of a
RIF.
32. The parties agree that this MOU may be reopened by mutual consent.
Executed this rid day of September. 1995
far the National Council of EPA Locals for ihe U.S. Environmental Protection Agency
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TABLE OF CONTENTS
ARTICLE TITLE PAGE
1 Parties to the Agreement 1
2 Definitions 6
3 Governing Laws and Regulations 8
4 Rights of the Employer 9
5 Union Rights and Duties 10
6 Union Activities 12
7 Labor-Management Relations 14
8 Employee Rights 15
9 Professional Employees 16
10 Dues Withholding 19
11 Use of Employer Facilities 22
12 Child Care Facilities 23
13 Employee Counseling and Assistance Program 24
14 Fitness and Wellness Centers 25
15 Workers' Compensation 26
16 Fitness for Duty 27
17 Health Benefits 28
18 Smoking Policy 29
19 Rest Break Facilities 30
20 Health and Safety 31
21 Visual Display and CRT Terminals 35
22 Hours of Work 38
2 3 Overtime 39
2 4 Leave 41
25 Human Resource Development 45
26 Merit Promotion 47
27 Merit Promotion Complaints 57
28 Career Ladder Promotions 59
29 Evaluating Candidates for Promotions 60
30 Reassignment 64
31 Details 65
32 Selective Placement Programs 67
33 Position Classification 68
34 Employee Performance Evaluation 70
3 5 Awards 71
36 Transfer of Function 72
37 Equal Employment Opportunity .., 73
38 Contracting Out 75
39 Reduction in Force 76
40 RIF Competitive Areas 82
41 RIF Involving Excepted Service Employees 83
42 Discipline 84
43 Grievance Procedure 85
44 Arbitration 89
45 Supplemental Agreements and Other Negotiations
During the Life and Term of this Agreement and
Designated Representatives of the Parties 91
46 Duration 93
Appendix 94
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ARTICLE 1
PARTIES TO THE AGREEMENT
Section 1. This Agreement is made by and between the American
Federation of Government employees, AFL-CIO (hereinafter referred
to as the UNION) and the United States Environmental Protection
Agency (hereinafter referred to as the EMPLOYER or the AGENCY),
and collectively known as the PARTIES. The term "employee" (or
its plural) refers solely to a civilian employee of the AGENCY
within one of the bargaining units as defined in Section 3.
Section 2. The terms and conditions of the Agreement do not
apply to employees or positions of the AGENCY not a part of the
bargaining units, nor to any grievance, personnel policy,
practice or general condition of employment outside the
bargaining units.
Section 3. The terms and conditions of this Agreement apply to
the following bargaining units: A consolidated, non-professional
unit consisting of:
HEADQUARTERS
Included; All non-supervisory, non-professional general schedule
and wage grade employees in the Environmental Protection Agency
Headquarters.
Excluded; Management officials, supervisors, employees engaged
in personnel work in other than a purely clerical capacity,
guards, temporary employees of less than ninety (90) days,
commissioned corps officers, audit office employees, Security and
Inspection Division employees and all non-supervisory
professional general schedule employees.
RADIATION LABORATORY
Included; All non-professional, non-supervisory general schedule
and wage grade employees who are employed by the Eastern
Environmental Radiation Laboratory, Montgomery, Alabama.
Excluded; Professional employees, management officials,
employees engaged in Federal personnel work in other than a
purely clerical capacity, and Supervisors and guards as defined
in the Order.
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REGION I
Included: All non-professional employees under the jurisdiction
of the Regional Administrator, Environmental Protection Agency in
Region I.
Excluded: All professional, managerial officials, supervisors,
employees, and employees engaged in Federal personnel work in
other than a purely clerical capacity, and guards, as defined in
Executive Order 11491.
REGION II -
Included: All non-professional and non-supervisory employees who
work at or out of the Environmental Protection Agency, Region II,
located at Edison, New Jersey, including temporaries appointed
not to exceed one year.
Excluded; All professionals, managers, supervisors, guards,
personnel employees other than those engaged in purely clerical
capacity and those alerted for transfer to the Regional Office
located at 26 Federal Plaza, New York City, New York and
cooperative students.
REGION II
Included: All non-professional employees of Region II,
Environmental Protection Agency located at 25 Federal Plaza, New
York, New York.
Excluded; All professional employees; management officials;
supervisors; confidential employees; employees engaged in Federal
personnel work in other than purely clerical capacity; employees
engaged in administering the Statute; employees engaged in
intelligence or security work directly affecting national
security; and employees primarily engaged in investigation or
audit functions related to the internal security or integrity of
the agency as described in 5 USC 7112(b)(2),(3),(4),(6) and (7);
consultants; experts appointed under 5 CFR 213.301; Commission
Corps Officers; employees on IPA assignments; intermittent
employees; and temporary employees of ninety (90)^days or less.
REGION III
Included; All non-professional employees of the U.S.
Environmental Protection Agency, Region III.
Excluded; All professional employees, management officials,
supervisors, and employees engaged in Federal personnel work
other than in a purely clerical capacity.
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REGION V
Included: All non-professional employees of the Environmental
Protection Agency, 1819 Pershing Road, Chicago, Illinois.
Excluded; All professional employees, management officials,
employees engaged in Federal personnel work in other than a
purely clerical capacity, confidential employees, and supervisors
as defined in Executive Order 11491, as amended.
REGION VIII
Included; All non-professional employees of the United States
Environmental Protection Agency, Region VIII.
Excluded: All professional employees, confidential employees,
employees engaged in Federal personnel work in other than a
purely clerical capacity, management officials and supervisors as
defined in the order.
CINCINNATI. OHIO RESEARCH CENTER
Included; All non-supervisory wage grade employees of the
U.S.Environmental Protection Agency in the Cincinnati, Ohio area
who are serviced by the Cincinnati Personnel Office.
Excluded; All general schedule employees, management officials,
supervisors, employees engaged in Federal personnel work in other
than a purely clerical capacity, guards, consultant employees,
commissioned officers of the U. S. Public Health Service, and
temporary employees with appointments of ninety (90) days or
less.
ROBERT S. KERR LABORATORY
Included; All non-supervisory, non-professional, temporary wage
grade and class act employees employed at the Robert S. Kerr
Water Research Laboratory, Ada, Oklahoma.
Excluded; Professionals, management officials, employees engaged
in Federal personnel work in other than a purely clerical
capacity and supervisors as defined in 11491, as amended.
ENVIRONMENTAL RESEARCH CENTER
Included; All non-supervisory non-professional employees in the
Raleigh, Durham, Chapel Hill area of North Carolina.
Excluded; All supervisors, professionals, management officials,
employees engaged in Federal personnel work in other than a
purely clerical capacity, temporary employees with appointments
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of ninety (90) days or less and guards, consultant employees and
commissioned officers of the U.S. Public Health Service.
ANN ARBOR
Included; All employees of the United States Environmental
Protection Agency employed at the Motor Vehicle Emissions
Laboratory, Ann Arbor, Michigan.
Excluded: All professional employees; management officials,
supervisors, intermittent employees, temporary employees of
ninety (90) days or less, consultants, experts appointed under
5 CFR 213.301, Commission Corps employees, employees on an IPA
assignment, and confidential employees, employees engaged in
intelligence or other security work directly affecting national
security, and employees engaged in investigation or audit
functions related to the internal security of integrity of the
Agency.
A consolidated, professional unit consisting of:
Included: All professional employees of the U.S. Environmental
Protection Agency at 1819 Pershing Road, Chicago, Illinois, and
in Region VIII, and in the Raleigh, Durham, Chapel Hill area of
the National Environmental Research Center, Triangle Park, North
Carolina.
Excluded: All GS and WG non-professional employees engaged in
Federal personnel work in other than a purely clerical capacity,
temporary employees with appointments of ninety (90) days or
less, and guards, consultant employees, and commissioned officers
of the U.S. Public Health Service.
REGION II
Included; All professional employees of Region II, Environmental
Protection Agency, located at 26 Federal Plaza, New York/ New
York.
Excluded; All non-professional employees, management officials,
supervisors, confidential employees, employees engaged in Federal
personnel work in other than a purely clerical capa'city,
employees engaged in administering the Statute, employees engaged
in intelligence or other security work c_rectly affecting
national functions related to the internal security or integrity
of the agency as described in 5 USC 7112(b)(2),(3),(4),(6) and
(7), consultants, experts appointed under 5 CFR 213.301,
commissioned corps officers, and temporary employees of ninety
(90) days or less.
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REGION III
Included: All professional employees as defined by 5 USC 7103
(a)(15) employed by Region III, United States Environmental
Protection Agency, at 6th and Walnut Streets, Philadelphia,
Pennsylvania; Wheeling, West Virginia; and Annapolis, Maryland.
Excluded: All non-professional employees, management officials,
supervisors, intermittent employees, temporary employees of
ninety (90) days or less, consultants, experts appointed under 5
CFR 213.301, Commission Corps employees, employees on an IPA
assignment, and confidential employees, employees engaged in
personnel work in other than a purely clerical capacity,
employees engaged in administering the Statute, employees engaged
in intelligence or other security work directly affecting
national security, and employees engaged in investigation or
audit functions related to the internal security or integrity of
the agency as described in 5 USC 7112(b)(2),(3),(4), (6) and (7).
EDISON, NEW JERSEY
Included; All professional employees of Region II, Environmental
Protection Agency, located at Edison, New Jersey.
Excluded: All non-professional employees, management officials,
supervisors, confidential employees, employees engaged in Federal
personnel work in other than a purely clerical capacity,
employees engaged in administering the Statute, employees engaged
in intelligence or other Security work directly affecting
national security, and employees primarily engaged in
investigation or audit security, and employees primarily engaged
in investigation or audit functions related to the internal
security or integrity of Agency, as described in 5 USC 7112
(b)(2),(3),(4),(6) and (7), consultants, experts appointed under
5 CFR 213.301, Commission Corps Officers, employees on an IPA
assignment, intermittent employees, and temporary employees of
ninety (90) days or less.
Section 4. If a question arises during the life and term of this
Agreement as to whether an employee or position is properly
within one of the described bargaining units, it-may not be
resolved through the dispute mechanisms set forth in this
Agreement except by the express mutual consent of the PARTIES.
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ARTICLE 2
DEFINITIONS
Section 1. The following words and terms have the meanings given
to them for the purposes of this Agreement:
A. "Employer", "Agency", or "Management" means the United
States Environmental Protection Agency and its
authorized representatives including supervisors and
management officials. -
B. "Union" means the American Federation of Government
Employees, AFL-CIO, Council or Local and its designated
representatives and agents.
C. "Government" means the Government of the United States
of America.
D. "Unit" means the consolidated bargaining unit for which
the Union is exclusive representative within the
Agency.
E. "Local Level" means the location at which an election
was conducted to determine whether the Union should
become the exclusive representative (e.g., a Regional
Office is a local level). For the purposes of this
Agreement, the part of the Union located at the
Agency's Headquarters is a local level.
F. "Representative", "Agent", or "Spokesperson" means an
individual expressly designated and authorized by one
of the parties to speak for and make commitments on
behalf of that party.
G. "Agreement" means this collective bargaining agreement.
H. "Official time" means paid time when an employee would
otherwise be in a duty status. It is an excusal from
an employee's regular duties under the circumstances
and conditions set forth in this Agreement.
I. "Laws" and "Statutes" means the Federal laws and
statutes of the United States.
J. "Regulations" means the written official policy of EPA
and applicable Government-wide rule or regulation.
K. "The Statute" means the Federal Service Labor-
Management Relations Statute, Public Law 95-454.
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Section 2. Other Words and Terms Used in this Agreement:
A. Where other words or terms are defined in an applicable
law or regulation they shall have that meaning;
B. Where words or terms are not defined in this Agreement by
applicable law or regulation, they shall have their
dictionary meaning (Webster's Unabridged).
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ARTICLE 3
GOVERNING LAWS AND REGULATIONS
Section I. In the administration of all matters covered by this
Agreement, the Union, Agency officials and Employees shall be
governed by applicable Federal Statutes, as well as, published
Agency and Government-wide regulations in existence at the time
this Agreement was approved.
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ARTICLE 4
RIGHTS OF THE EMPLOYER
Section 1. Nothing in this Agreement shall affect the authority
of any management official of the employer: to determine the
mission, budget, organization, and internal security practices.
In accordance with applicable laws to: hire, assign,
direct, layoff, and retain employees or to justly suspend,
remove, reduce in grade or pay, -or take other disciplinary action
against employees;
Assign work, make determinations with respect to contracting
out, and to determine the personnel by which agency operations
will be conducted;
With respect to filling positions, to make selections for
appointments from among properly ranked and certified candidates
for promotion; or any other appropriate source; and take whatever
actions may be necessary to maintain agency operations in
emergency situations.
Nothing in this section shall preclude the Agency and the
Union from negotiating;
At the election of the Agency: on the numbers, types, and
grades of employees or positions assigned to any organizational
subdivision, work project or tour of duty; or on the technology,
methods, and means of performing work;
Procedures which management officials of the Agency will
observe in exercising any authority under this Article; or,
appropriate arrangements for employees adversely affected by the
exercise of any authority under this section by such management
officials.
Section 2. The provisions of this Agreement must be applied and
interpreted in a manner consistent with the requirements of an
effective and efficient Government.
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ARTICLE 5
UNION RIGHTS AND DUTIES
Section 1. Employees shall be protected from restraint,
interference, coercion or discrimination in the legitimate
exercise of their rights and responsibilities as designated
representatives of the Union. Within the confines of laws, rules
and this Agreement, the Union has the right to designate
representatives of its own choosing.
Section 2. The parties agree to strive to improve communications
between Employees and the Employer; to promote and improve
Agency efficiency; and to improve the morale of the Employees.
Section 3. Bargaining Unit employees have the right to
participate, through the Union, in the formulation and
implementation of policies and practices affecting conditions of
their employment.
Section4. The Employer will provide the Union with one copy of
all changes to EPA Orders, Directives, Manuals, and issuances
relating to personnel policies, practices, procedures, and
matters affecting working conditions of the Bargaining Units.
Section S. The Employer will furnish to the Union, or its
authorized representatives, upon request and to the extent not
prohibited by law, data concerning the Bargaining Unit (s) which:
A. Is normally maintained by Management in the regular
course of business;
B. Is reasonably available and necessary for full and
proper discussion, understanding, and negotiation of
subjects within the scope of collective bargaining; and
C. Does not constitute guidance, advice, counsel, or
training provided for management officials or
supervisors relating to collective bargaining.
Information requested will be provided within a reasonable
time.
Section 6. The Union is responsible for representing the
interests of all Bargaining Unit (s) employees without
discrimination and without regard to labor union membership.
Section 7. The Union shall have the right and responsibility to
present its views to the Employer either orally or in writing.
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Section 8. The Union shall be given the opportunity to be
represented at any formal discussion between one or more
representatives of the agency and one or more employees in the
unit of their representation concerning any grievance or any
personnel policy or practices or other general conditions of
employment.
Section 9. If prior to or during any examination of an employee
in the unit by a representative of the Agency in connection with
an investigation there is reasonable belief by the employee that
the examination may result in disciplinary action against the
employee, and the employee requests union representation, the
employee has the right to union representation.
Section 10. The Union will be afforded the opportunity to
participate in the orientation process for bargaining unit
employees. Due to the differences in numbers of employees, size
and physical locations at various facilities, the local parties
are authorized to negotiate arrangements to implement this
section.
Section 11. The Union shall have the right to communicate with
Bargaining Unit (s) employees. Methods and vehicles used by the
Union to communicate with Bargaining Units (s) employees is a
proper subject for local negotiations.
Section 12. The Agency shall annually inform the employees of
their right to Union representation.
Section 13. Nothing is this Agreement shall be interpreted in a
manner that will waive any employee rights under 5 USC 7102 of
the Statute.
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ARTICLE 6
UNION ACTIVITIES
Section 1. Bargaining unit employees expressly designated by the
Union shall be allowed official time as Union representatives in
accordance with applicable Law, Rules and Regulations. All
official time will be used when an employee would otherwise be in
a duty status.
Section 2. The use of official time including attending union-
sponsored training by bargaining unit employees who are Union
representatives at the local level is an appropriate matter for
local level bargaining.
Section 3. The National level representative of the Union will
be granted necessary, reasonable amounts of official time for
National level matters.
Section 4. When it is necessary for a union representative to
leave his/her work station for representational purposes, the
employee will inform his/her immediate supervisor when and where
he/she needs to go, and provide the supervisor with a telephone
number where he/she may be reached when practicable., In the
event that a pressing job-related need precludes the immediate
excusal of the union representative, the supervisor will inform
the employee of the earliest time he/she will be permitted to
leave the work site. The employee will report to the supervisor
upon his/her return to the work site.
Section 5. At the end of each pay period, each union
representative will submit a report of his/her use of official
time to the official timekeeper. The report will include the
amount of time used each workday with the time characterized by
0PM reporting categories for use of official time. When a
complete report is not possible at due time of submission, the
union representative will submit one as soon as possible.
Section 6. Union representatives will not use official time for
internal union business including solicitation for .membership or
collection of dues.
Section 7. Employees may request leave without pay to serve as
an AFGE representative or officer or to participation in other
union-related activities. Approved leave without pay is limited
to one year and may be extended for only one additional year.
Section 8. Official time shall be granted in reasonable and
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necessary amount(s) to Union representatives for representational
purposes, except for the following:
The Council President and the Executive Vice President shall
be granted up to 100% use of official time.
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ARTICLE 7
LABOR-MANAGEMENT RELATIONS
Section 1. The parties agree to approach dealings with each
other in an atmosphere of mutual respect and cooperation.
Nothing in this agreement is intended to prevent or discourage
the parties from communicating with each other through their duly
appointed representatives at all levels. To the contrary, the
parties expressly encourage a continuing dialogue by their
representatives in the belief that communication prevents and
resolves difficulties which may arise.
Section 2. Local levels may establish labor relations committees
or provisions for periodic meeting between the parties. The
procedures and processes for such activities are'a matter for
local level agreement.
Section 3. At the National and Local levels, the designated
representatives will maintain open lines of communication in the
day-to-day activities involving the parties' relationship. Where
the parties believe face-to-face meetings would be appropriate,
they may meet to discuss issues of mutual concern. The mechanics
and procedures for such meetings will be decided by the
representatives based on the circumstances at the time.
Section 4. Union participation on committees which are not
management-decision-process oriented will be as described in the
appropriate subject matter article.
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ARTICLE 8
EMPLOYEE RIGHTS
2Section 1.
A. Each employee has the right, freely and without fear of
penalty or reprisal, to form, join, and assist labor
organizations or to refrain from any such activity, and
each employee shall be protected in the exercise of
this right.
B. As provided by Public Law 95-454, the right to assist a
labor organization extends to acting for the
organization in the presenting of its views to
officials of the Environmental Protection Agency, the
Executive Branch, the Congress, or other appropriate
authority. Employees temporarily assigned to a
managerial or supervisory position may not serve as a
Union representative.
C. All employees shall be treated fairly and equitably and
with dignity in all aspects of conditions of
employment.
D. It is agreed that Management will endeavor to establish
working conditions which will be conducive to enhancing
and improving employee morale and efficiency.
Section 2. Subject to applicable law, rule, and regulation,
employees shall have the right to direct and/or fully pursue
their private lives, personal welfare and personal beliefs
without interference, coercion or discrimination by the Employer
so long as such activities do not conflict with job
responsibilities. The standard of nexus shall apply.
Section 3. If the employee wishes to discuss a condition of
employment or potential grievance with a Union representative,
the employee shall have the right to contact and meet with the
Union representative on duty time. Should a pressing operational
exigency preclude the employee's immediate release, the
supervisor will advise the employee of the time the employee will
be released from duties to contact and meet with the Union
representative when he/she requests to exercise this right. The
employee will give the supervisor an estimated duration of his or
her expected absence and will telephone the supervisor if more
time is needed.
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Section 4. Employees shall also have access to management
officials in accordance with this Section. Employees are
encouraged to present their problem at the lowest level of
authority that can effectively correct it. However, employees
have the right to communicate with the following:
A. Supervisor or management official of a higher rank than
the employee's immediate supervisor;
B. Human Resources Office;
C. An Equal Employment Opportunity Specialist or Officer
and/or an Equal Employment Opportunity Counselor; and
D. Financial Management Officer or designee on matters
directly affecting the employee.
Employees will advise their Supervisor of the need to
contact the aforementioned. Should a pressing operational
exigency preclude the employee's immediate release, the
Supervisor will advise the employee of the earliest time he/she
may leave the work site. The employee will not be requested to
discuss the substance of the issue with the Supervisor.
Section 5. The Parties understand and agree that nothing in this
Agreement requires employees to become or remain members of a
labor organization, or to pay dues to the organization except
pursuant to a voluntary, written authorization by a member for
the payment of dues through payroll deductions.
Section 6. Financial Obligations. It is recognized that all
employees are expected to pay promptly all just financial
obligations. Employee garnishments will be processed in
accordance with the provisions of 5 C.F.R., Part 581 and Public
Law 103.94, Section 9. The Employer agrees to hold in confidence
any and all debt notices and in the event of a dispute between an
employee and a private individual or a firm with respect to an
alleged debt or financial obligation, where the debt is not
acknowledged by the employee or reduced to a judgement, the
Employer will neither act as an arbitrator nor will_the Employer
take any action against the employee which is not directly
related to that debt. This provision does not apply to debts
against the United States of America which are considered a just
obligation upon presentation to the employee.
Section 7. The Employer agrees that employees are entitled to
their proper pay check at the proper time in the proper amount.
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Employees for whom receiving their pay at a designated offsite
location (mail or electronic transfer) would impose a hardship;
will be entitled to receive their pay check at the worksite. The
Employer will explain to the affected employee the circumstances
of any overpayment and will assist the employee in the completion
of a Request for Waiver of Claim for Erroneous Payment. It is
understood that employees should notify the Employer of
overpayment immediately.
Section 8. Employees shall have the right to copies of materials
placed in, and to examine, their Official Personnel Folder (OFF),
and any other official system of records concerning them, except
for such documents prohibited to be shown by law or government-
wide regulation. Upon request, an employee shall receive copies
of materials and documents in their OPF and any other official
system of records that are not automatically provided by the
Employer. The copies will be provided at the earliest
practicable time. Employees are free to place in their OPF and
any other official system of records established concerning them,
any statement they wish to make with regard to information
contained in the OPF and other system of record.
Section 9. Supervisory Notes;
A. If supervisory notes are kept on employees, the notes
will be maintained in a secure fashion and not be
revealed to anyone other than those who have a need to
know.
B. Supervisory notes or the applicable portion thereof
used to support a disciplinary or adverse action
are to be made available to the employee upon
request.
Section 10. Maintaining personnel records describing how
employees exercise rights guaranteed by the U.S. Constitution in
accordance with applicable laws and regulations are prohibited.
Section 11. Whistleblower Protection.
Employees shall be free from reprisal for lawfully
disclosing information which the employee reasonably believes
evidences;
A. A violation of any law, rule or regulation, or
B. Mismanagement, a gross waste of funds, an abuse of
authority, or a substantial and specific danger to
public health or safety.
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ARTICLE 9
PROFESSIONAL EMPLOYEES
Section 1. In addition to the rest of this Agreement, the
following provisions in this article apply to professional
employees.
Section 2. Employees required by the Employer to attend a
professional convention or conference will be in a duty status
while in attendance. Travel (if any) to and from such
conventions or conferences will be administered in accordance
with the agency's travel policies and procedures.
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ARTICLE 10
DUES WITHHOLDING
SECTION 1. It is agreed that unit employees who are members in
good standing may authorize the payment of their dues to the
Union through payroll withholding by voluntarily completing a
Standard Form 1187 or equivalent. The -Employer agrees that the
list of unit employees from whom dues are deducted is
confidential and will be treated as such. It is further
understood that any disputes is solely between the Union, its
locals, or members concerning dues withholding unless the dispute
resulted from an administrative error by the Employer.
Section 2. Eligible Employees. To be eligible to make a
voluntary allotment for the payment of Union dues, an employee
must:
A. Be in a unit covered by this Agreement;
B. Be a member in good standing with the Union;
C. Have a regular net salary, after other legal and
required deductions, sufficient to cover the amount of
the authorized allotment for dues; and
D. Request the allotment on the prescribed form (SF-1187)
or equivalent which has been certified by an authorized
Union official.
Section 3. Responsibilities of the Union. The Union shall:
A. Inform and educate its members on the voluntary nature
of the dues allotment program, including conditions
governing institution of allotments;
B. Provide the SF-1187 forms to employees;
C. State on the SF-1187 form the amount of dues to be
withheld each bi-weekly pay period; - -
D. Promptly forward completed SF-1187 forms to the
appropriate servicing human resources office;
E. Furnish written notification to the servicing human
resources office concerning names and titles of Local
Union officials authorized to certify the SF-1187 form;
and
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F. Provide the appropriate servicing human resources
office with written notification concerning:
1. Changes in the amount of Union dues; and
2. The name of any employee who has been expelled or
ceased to be a member of good standing in the
Union within 15 days after the date of final
determination.
section 4. The Employer agrees to:
A. Withhold dues on a bi-weekly basis, at no charge to the
Union.
B. Withhold dues in accordance with a schedule that may
contain a duly authorized multi-level dues structure.
The dues structure will be certified by the Union/Local
President. The dues allotment will be effective the
next pay period after receipt of the completed SF-1187.
C. Transmittal of dues withheld each payday to the Union.
D. Send a copy of all revocation of dues notice to the
Local President as soon as received.
E. Transmittal of dues withheld will include:
1. An alphabetical listing of employees identified by
AFGE local number and social security number in
duplicate;
2. The amount of dues withheld from each employee;
and
3. The total amount and number of deductions.
Section 5.
A. An allotment may not be revoked for at least one year
after the first deduction.
B. A revocation shall be effective as of the first full
pay period after the anniversary of the first
deduction. To revoke an allotment, the employee shall
submit a SF-1188 ("Revocation of Voluntary
Authorization for Allotment of Compensation for Payment
of Employee Organization Due") or equivalent to the
Labor Relations Officer during the twenty-one day
period beginning thirty (30) calendar days
before the anniversary date and closing nine (9)
calendar days before that anniversary date.
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C. If the employee does not submit the SF-1188 during that
twenty-one (21) day period, his/her withholding
allotment may not be revoked. A revocation will not be
accepted until the next open period thirty (30) days
prior to the employee's anniversary date.
Section 6. Dues withheld will be sent to:
AFGE
National Secretary-Treasurer
80 F Street, N.W. -
Washington, D.C. 20001
Section 7. The amount(s) of dues withholdings may be changed no
more than twice in a calendar year but no more than once in a six
(6) month period.
Section 8. The parties will exercise caution in the retention
and release of information concerning employee dues withholdings.
Section 9. Employees who have a current dues withholding
agreement in effect on the date this Agreement is approved need
not execute a new SF-1187 to come under the provisions of this
Agreement.
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ARTICLE 11
USE OF EMPLOYER FACILITIES
Section 1. The provisions of any Employer controlled facilities
is a matter for local level negotiations, to the extent they are
within the control of local management and not within a secured
or restricted area. Such facilities include office space, fax
machines, electronic mail boxes, telephones, bulletin boards,
meeting rooms, office equipment, and access to review laws,
rules, and regulations as the employer maintains.
Section 2. The national level Union representative may use the
same facilities and space provided to the Local Union by
agreement solely between the union representatives.
Section 3. Use of facilities as stated in Section 1 for national
level representatives at their duty locations is a matter for
local negotiations.
Section 4. When national level Union representatives visit, the
employer agrees to furnish, when available, the use of employer
facilities as described in Section 1.
Section 5. The Parties agree that office space for the union
could be useful in facilitating effective representation of unit
employees. In the event that office space cannot be provided,
management may bargain with the Union over alternative
arrangements, in lieu of office space. This is a matter for
local negotiations.
Section 6. Facilities for membership drives during break and
lunch periods is a matter for local negotiations.
Section 7. Official publications of the Union may not be
distributed by designated Union representatives during duty time.
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ARTICLE 12
CHILD CARE FACILITIES
Section 1. The parties agree that child care facilities are
beneficial to the employees and the Agency.
Section 2. Provisions for child care facilities is a matter for
local level negotiations subject to applicable law and
regulations.
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ARTICLE 13
EMPLOYEE COUNSELING AND ASSISTANCE PROGRAM
Section l. The Employer and the Union recognize the importance
of an Employee Assistance Program for employees whose job
performance is affected by alcoholism, drug abuse, emotional
illness or other personal problems. The success of such a
program is dependent upon participation by both the Employer and
the Union. Employee participation in the program shall be
voluntary.
Section 2. It is understood that the employee has the
responsibility to maintain acceptable performance while he or she
is on the job.
Section 3. Employee counseling may include referral to outside
professional treatment and assistance sources.
Section 4. The Union shall inform unit members of the existence
and operation of the program and refer those seeking assistance
to the Program Coordinator.
Section 5. On a periodic basis, the Parties shall publicize the
Program, including the name of the Program Coordinator, to
employees. The Parties hereby give their assurances of
confidentiality for employee participants.
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ARTICLE 14
FITNESS AND WELLNESS CENTERS
Section 1. The parties agree that fitness centers are beneficial
to the well being of employees and the performance of their
duties.
Section 2. Provisions for fitness and wellness centers are a
matter for'local level negotiations subject to applicable law and
regulations.
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ARTICLE 15
WORKMEN'S COMPENSATION
Section 1. The parties agree that employee(s) or witness(s)
thereof, should report all on-the-job injuries immediately or as
soon as possible to management.
section 2. The appropriate Human Resources Officer or designee
will provide the proper form(s) and assistance to the employee or
representative required for medical treatment and/or claim for
benefits to be filed with the Office of Workmen Compensation.
Section 3. The employee will be allowed to review all documents
concerning Workmen's Compensation Benefits available, as-well-as
procedures for filing for benefits, if the employee is not able
to do so; his/her representative shall be afforded this
opportunity.
Section 4. When an on-the-job injury is reported the employer
will provide emergency or appropriate medical treatment for any
such injury or illness suffered by an employee while on the job.
Section 5. The employer will counsel an injured employee on
options and compensation benefits or types of leave, when the
injury or illness causes an absence of more than three (3) days.
Section 6. The employer will counsel, a disabled employee, on
all aspects of disability retirement, if appropriate, whereas,
compensation claim is pending.
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ARTICLE 16
FITNESS FOR DUTY
Section 1. In directing employees to undergo a fitness-for-duty
examination, the employer agrees to observe applicable laws,
regulations and Agency policies.
Section 2. In fitness-for-duty examination or evaluation
processes where regulations require the employee have a
representative, the employee will be advised of the availability
of Union representation. It is understood that the employer may
request the Union provide representation in situations where the
employee or his/her immediate family refuse to designate a
representative.
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ARTICLE 17
HEALTH BENEFITS
Section 1. Employees in a non-pay status may remain covered by
the Federal Employees Health Benefits (FEHB) Program in
accordance with applicable laws and regulations and Agency
policies.
Section 2. Prior to entering a non-pay status, the employee may
seek counseling from his/her servicing human resources office.
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ARTICLE 18
SMOKING POLICY
Section 1. The parties agree that medical evidence indicates
potential adverse health effects to persons constantly exposed to
second-hand or passive tobacco smoke. Because of the seriousness
of the potential adverse health effects involved, subjecting non-
smokers to second-hand smoke has been determined to be
unacceptable.
Section 2. The parties agree that provisions of a smoking policy
is a matter for local level negotiations.
Section 3. Disputes arising from smoking policies shall be
processed in accordance with the negotiated grievance procedure.
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ARTICLE 19
REST BREAK FACILITIES
Section 1. Employees who work in areas where eating, drinking,
or smoking are prohibited may leave their work areas when they
take rest breaks authorized by this Agreement or when they take
their lunch period.
Section 2. The provisions for an area specifically for rest
breaks and/or lunch periods is an appropriate subject for local
bargaining.
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ARTICLE 20
HEALTH AND SAFETY
Section 1.
A. It is recognized that the health and safety of the
employees is a mutual concern of the Employer and the
Union, and that the Employer shall provide a safe,
sound and healthful working environment and conditions
consistent with appropriate health and safety standards
and controlling laws.
B. The Parties will also cooperate by encouraging
employees to abide by correct safety practices.
C. Protective equipment shall be provided, maintained, and
replaced by the Employer whenever such equipment is
determined to be required for compliance with OSHA,
HHS, and NCR regulations for protection against
occupational exposure to hazardous chemicals or
biological or radiological irritants which could cause
illness or injury, as defined under OSHA, HHS, and NCR
Regulations. The employer shall provide training when
appropriate in the use of all protective equipment,
such as respirators, but not limited to.
Section 2. Employees:
A. Shall comply with OSHA, EPA Occupational Health and
Safety Standards, rules, regulations, and orders;
B. Will use the safety equipment, personal protective
equipment and other health and safety devices provided
by the Agency;
C. Shall follow the procedures, provided or as directed,
necessary for their protection;
D. Shall report all work-related property and personnel
accidents, and illnesses to management; and
E. May decline to perform assigned tasks because of a
reasonable belief that under the circumstances the task
poses an imminent risk of death or serious bodily harm,
coupled with a reasonable belief that there is
insufficient time to effectively seek corrective action
through normal hazard reporting and abatement
procedures. Such imminent risk may be caused by failure
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of the employer to provide appropriate protective
clothing or equipment.
Section 3. Employees may voluntarily participate in immunization
programs when EPA can provide or offer such services to
employees.
Section 4. On local level health and safety committees, the
Union will be permitted to designate one (1) bargaining unit
employee to serve on the committee. The Parties agree that all
confidential information will be protected and treated
accordingly. It is understood that such committees are advisory
bodies to management on health and safety issues.
Section 5. The Union will designate a representative for all
safety and health matters which are beyond local scope and
impact. The Employer will contact that individual when it is
planning changes or modifications in its national health and
safety program which will have an impact on bargaining unit
employees at more that one location.
Section 6. The Employer agrees to furnish the Union the name and
location of the Safety and Health Program Coordinator, Director
EHSD, and other officials having responsibilities in the Safety
Program.
Section 7. Union representatives on safety committees shall
receive the same safety training opportunities as other committee
members as a result of their membership on the committee.
Section 8. The Employer agrees to grant the Union access to any
Material Data Safety Sheets maintained or prepared by the
Employer, manufacturer or distributor on chemicals to which
bargaining unit employees may be exposed. The employer agrees to
implement the Hazard Communication Standards.
Section 9. When a health and safety inspection is conducted on
the Employer's premises, a Union representative will be notified
in advance and permitted to accompany the inspection team.
Section 10. The Agency may grant administrative excusal to
employees because of any environmental condition-problems when
unhealthy, or unsafe conditions are such as to actually prevent
working in a safe environment.
Section 11. Where union representatives are selected for
appointment to a Field Federal Safety Council, they will be in a
duty status to attend and participate in Council meetings.
Section 12. It is understood that employees may be required to
undergo a medical monitoring examination. When the Agency
provides for additional examinations (available only after all
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mandatory examinations), the Employer will give employees an
opportunity to volunteer for the examination. When there are
insufficient examinations available for all volunteers, the
Employer will decide those to be examined based on the duties of
employees and their actual or potential exposure to hazardous
conditions.
Section 13.
A. The Employer shall notify an employee involved in a
reported job-related accident, as soon as possible, of
all the options, responsibilities; and benefits under
the Federal Employee's Compensation Act.
B. Consistent with applicable law, the Employer agrees to
compile and maintain the appropriate records involving
occupational injuries and illnesses and reported
possible causes of potential injuries or illnesses.
Section 14. If indoor air quality testing is already being
conducted which provides the information listed below, upon
request of the local Union health and safety designee, the
employer shall provide an annual report to the union of the
quality of air in agency work spaces where bargaining unit
employees are located. The report shall contain:
A. Percents of outside ambient air as compared to the
American Association of Heating, Refrigeration, and Air
Conditioning Engineers (AAHRACE) standards;
B. Radon, asbestos, volatile organic hydrocarbons, ozone,
and carbon monoxide levels.
Section 15. Where available under existing public health
programs, the agency will offer the opportunity for all employees
not covered by the Medical Monitoring Program to participate in
an annual general physical examination program which will include
indications of job stress and management.
Section 16. Union-Management Safety & Health Committees.
A. The Agency may agree to establish or continue a joint
safety and health committee at the national and local
levels, and funding as available, as provided for in
Executive Order 12196, 1-3. These committees shall
make recommendations to the appropriate authorities
with regard to occupational safety and health, in
accordance with 29 CFR Part 1960, Subpart F.
B. National level will have a Safety and Health Committee
with equal representatives appointed by the Union as
appointed by the Agency.
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C. Each local Safety and Health Committee will have at
least one (l) appointed by the Union.
Section 17. Upon request, the Agency agrees to provide the Union
a copy of all reports of safety and health inspections,
accidents, and occupational illnesses, subject to the Privacy
Act. The parties agree that such information may be sanitized.
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ARTICLE 21
VISUAL DISPLAY AND CRT TERMINALS
section 1. Within the agency's current work structure there are
many positions which require extended periods of time on office
equipment which has Visual Display or CRT Terminals and the use
of such equipment is increasing.
Section 2. Employees who suspect that an adverse health effect
is caused by use of a Visual Display, CRT Terminal, or Microfiche
reader may make a report of the condition to their supervisor.
The agency agrees to review factors associated with the Visual
Display, CRT Terminals, and Microfiche readers which are related
to Health effects.
Section 3. Rest breaks for VDT operators are an appropriate
matter for local negotiations.
Section 4. The agency further agrees to utilize corrective
measures to reduce the effects of any possible adverse factors,
such as but not limited to:
A. Adjustable chairs to allow for adjustment of individual
machines to suit each operator shall be available to
provide optimum comfort for heights, back and tension,
and the minimum amount of physical stress for each
operator. Chairs with full length and half length arm
rests as well as chairs without arm rests shall be
provided.
B. Providing a "hood" for the screen to avoid glare or
snap on type screens.
C. Dimmer switches will be installed so the VDT operator
can adjust the illumination.
D. All working surfaces and the paneling materials around
the workstation shall be low reflecting.
E. Workstations shall be adjustable so that" while typing
the angle of the forearms are proper.
F. Printers used in the offices will be equipped with
approved noise suppressor covers to keep the noise at a
safe level.
G. Ionizing radiation levels of the VDTs shall be checked
for safety.
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H. Positioning VDTs proper angles to windows to avoid
glare,
I. Avoid placement of VDTs near an unshaded or uncovered
window.
J. Making every reasonable effort to reduce sources of
glare surrounding the work station.
K. Provide voluntary eye examinations.
All of the above actions are subject to the availability of
funds.
Section 5. The agency will provide adequate and safe
ventilation, humidity, air conditioning, and lighting in each
office. When deficiencies are found to exist, the agency will
make the correction of such deficiencies. Such action is
contingent upon funds being available and subject to GSA
standards and requirements.
Section 6. VDT operators, who become pregnant may request to
temporarily perform non-VDT duties within the workplace. A
requested reassignment to non-VDT duties will be conditioned upon
supervisory approval and certification from the operator's
physician. This certification will state that: because of
physical, psychological, or emotional reasons, it is in the
interest of the employee or her fetus that she refrain from any
operation of a VDT for the duration of her pregnancy. (The
physician may substitute comparable language). -
Section 7. When there is a medical certification that an
employee cannot operate a VDT because of job related optical
problems and the operation of a VDT is required in the
performance of his/her duties, the agency will take appropriate
action to correct the problem where possible. Employee(s) are
eligible for VDT-related eye exams and assistance based on
supervisory certification that the employee frequently uses a VDT
in the course of his/her official duties.
Section 8. If an employee requires eye protection to perform
his/her duties the agency shall provide safety eyeglasses. In
making its procurement, the Agency will ensure that'health,
safety, and quality are met.
Section 9. Employees directed by management to secure eye
protection may do so on official time.
Section 10. An employee who reasonably believes that the VDT to
which he/she is assigned is malfunctioning may request, through
his/her supervisor, to have the VDT checked out.
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Section 11. Should a larger question arise concerning the safety
and health of VDTs, including physical discomfort, both physical
and psychological stress, etc., the matter may be referred by the
employee (through his/her supervisor) to the parties safety and
health committee for investigation and resolution. The
investigations shall include, as appropriate, an evaluation of
the ergonomic design, illumination, glare control, or other
problems, findings shall be provided to Management and the union.
Such actions are contingent upon funds being available.
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ARTICLE 22
HOURS OF WORK
Section l. The administrative workweek means a period of seven
(7) consecutive calendar days designated in advance by the head
of an Agency. For employees of EPA the seven (7) consecutive
days begin on Sunday.
Except for employees on the compressed work schedules, the
regularly scheduled workweek for a full-time employee means the
forty (40) hour period within an administrative workweek an
employee is regularly scheduled to work. For part-time
employees, it means the officially prescribed days and hours
within an administrative workweek during which the employee is
regularly scheduled to work.
Section 2. The parties agree that compressed work schedules and
flexitime plans are appropriate matters for bargaining at the
local level.
Section 3. Employees who normally may not leave their assigned
tasks for any personal reasons (e.g., to obtain coffee; to make
telephone calls; to use the bathroom, etc.) will be permitted a
15 minute break in the morning after two (2) hours of work and a
15 minute break in the afternoon after two (2) hours of work.
Other employees who are permitted to leave their assigned tasks
as conditions permit may continue to do so. However, such
unscheduled breaks may not exceed a total of 15 minutes during
each four (4) hours of duty.
Section 4. Except in situations where the organization would be
seriously handicapped in carrying out its functions or where
costs would be substantially increased, efforts will be made to
give an employee two (2) weeks notice of a change in tour of
duty.
Section 5. The employee will consider an Employee's needs to
change car pools, day care, and eldercare schedules or other work
related commuting arrangements, when scheduling a change in tour
of duty. " '
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ARTICLE 23
OVERTIME
Section 1. When the Agency decides to assign overtime to
employee(s) who possess the requisite skills and abilities for
the assignment, in the same organizational unit performing the
same type of duties, the assignment(s) will be fair and equitable
among qualified employees.
Section 2. Overtime shall not be worked unless authorized by the
Agency. The parties agree that assignment of overtime will
neither be distributed or withheld as a penalty or reward.
Section 3. The Agency will consider its needs versus the needs
of the employee(s) when requests are made to be excused from
overtime and may seek qualified substitutes for the
assignment(s).
Section 4. If practicable, the agency will provide at least
forty-eight (48) hours advance notice to employees when a
decision is made to assign overtime, or as much notice as the
Supervisor is given, minus time to contact the employee.
Section 5. Qualified employees assigned to a particular task
during regular working hours normally will be given the
opportunity to complete the assignment.
Section 6. Compensation for overtime work will be made in
accordance with applicable laws and regulations. When allowable
under controlling laws, regulations, and agency policies
employees may request compensatory time in lieu of overtime pay.
Section 7. Unless flexitime or compressed work schedules apply,
the basic workday for full-time employees shall be eight (8)
hours each day.
Section 8. Travel by bargaining unit employee(s) outside
regularly scheduled duty hours is not compensable through
overtime pay or compensatory time unless such travel has been
officially ordered and approved and meets one of the criteria
cited below:
A. It involves the performance of work while traveling;
B. It is incident to travel that involves the performance
of work while traveling;
C. It is carried out under arduous conditions; or
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D. It results from an event which could not be scheduled
or controlled administratively.
To the maximum extent practicable, time spent in travel
status away from the employee's official duty station will be
scheduled by the Agency within the normal working hours.
Section 9. Overtime work performed by employees called back to
work outside of and unconnected with their regular work hours is
deemed at least two (2) hours in duration for the purpose of
overtime compensation, regardless of what portion of the two (2)
hours work is performed.
Section 10. Employees required to remain in a standby status
will be paid in accordance with applicable law or regulations.
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ARTICLE 24
LEAVE
Section 1. Annual leave as provided for by law is an employee's
right and accrues automatically. Employees will be given the
opportunity to use their annual leave during the year of accrual,
subject to approval by management and based on exigencies of the
Agency's work. In granting the use of all categories of leave,
the Agency will consider its needs versus the needs of the
employee.
Subject to applicable law, rule, and/or regulations, the
employer shall protect the privacy of an employee's leave record,
and divulge their contents only at the employee's request or on a
need to know basis.
Section 2. When requesting emergency annual leave, the employee
will cause his/her supervisor to be notified of their request as
soon as possible, but not later than two (2) hours after the
start of their regularly-scheduled tour of duty, unless
circumstances prevent the employee from making contact within
this period of time. When a request cannot be made in the first
two (2) hours, the employee will cause the request to be made as
soon as practical. The Agency will make a good faith effort to
grant emergency annual leave.
Section 3. When it is impracticable to grant all requests for
annual leave for a given period, the supervisor shall give
consideration to all the following factors:
A. The needs of the employer to accomplish the Agency's
mission;
B. Whether the employee has sufficient annual leave on
record;
C. Possibility of the employee having to forfeit leave;
D. Seniority (SCO);
E. Mitigating circumstances.
Section 4. Jury duty or witness appearances shall be
administered in accordance with applicable law, rules, and
regulations.
Section ?. Upon request, and subject to supervisory approval, an
employee may work compensatory overtime, for the purpose of
taking time off without charge of annual leave when personal
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religious beliefs require that the employee abstain from work
during certain periods of the workday or workweek. The parties
recognize that a religious observance is a bonafide reason for
requesting annual leave or leave without pay.
Section 6. Advanced annual leave may be granted to the extent of
applicable law and regulations that apply; however, an employee
may not be advanced annual leave beyond the amount he/she will
earn in the current leave year.
section 7. Tardiness of less than one (1) hour may be excused at
the discretion of the supervisor. However, if annual leave is
charged, the employee will not be required to perform work until
leave time charged has expired.
Section 8. When administrative excusal is granted in the case of
inclement weather, or other conditions, the employer will make a
reasonable effort to notify the Union, then the employees on duty
as soon as possible. Employees in an approved leave status will
not be affected. Essential employees may be required to remain
on duty.
Section 9. An employee will be granted annual leave or leave
without pay to attend the funeral of a member of his/her
immediate family. An employee will be granted "funeral leave" to
attend the funeral or memorial services of a relative who is a
veteran as covered by 5 C.F.R. Chapter 1, Subpart H.
Section 10. Employees who volunteer to serve as blood donors
without compensation may be excused for up to four (4) hours to
recuperate. If the donor location is not the work site, the
excused time for donation and recuperation will not include
transit time. It is understood the excusal applies only to the
day of donation.
Section 11. As a general rule, where the polls are not open at
least three (3) hours either before or after an employee's
regular hours of work, he/she may be granted an amount of excused
leave which will permit him/her to report for work three (3)
hours after the polls open or leave work three hours before the
polls close, whichever requires the lesser amount of time off.
Under exceptional circumstances where the general rule does not
permit sufficient time, an employee may be excused for such
additional time as may be needed to enable him/her to vote,
depending upon the particular circumstances in his/her individual
case, but not to exceed a full day.
Employees requesting more than the general rule will do it
in writing. Each request shall state fully the reasons for
additional tine needed. Additional time may be approved, if
determined to be reasonable, up to a total of eight (8) hours.
Voting arrangements requiring excused time will be made with the
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employee's supervisor prior to election day to prevent undue
interruption of work operations.
Section 12. Leave related to pregnancy, childbirth, or care of
infants may consist of sick leave, annual leave, or leave without
pay, as applicable. Female employees may use sick leave only
when incapacitated for duty or when undergoing examination or
treatment related to pregnancy or childbirth. A male employee
may request only annual leave or leave without pay in order to
provide care for his minor children or the mother of the newborn
child. An employee may request only annual leave or leave
without pay for adoption purposes.
Section 13. Leave without pay may be granted to employees,
subject to management's approval, and in accordance with
applicable law, policies, rules and regulations.
Section 14. Leave without pay may be granted to employees,
subject to management's approval, and in accordance with
applicable policies, rule, law and regulation in lieu of sick or
annual leave for employees who has filed a claim for workers
compensation or disability retirement.
Section 15. Accrued sick leave shall be granted to employees
when they are incapacitated for the performance of their duties
by sickness or injury; for medical, dental or optical examination
or treatment; when a member of the immediate family of the
employee is afflicted with a contagious disease (as prescribed by
public health authorities having jurisdiction) that requires the
care and attendance of the employee; or when in the opinion of
the above public health authorities, the presence of the employee
at his/her post of duty would unduly jeopardize the health of
other employees.
A. Employees requesting sick leave, will notify their
supervisor as soon as possible but no later than two
(2) hours after the beginning of their regularly
scheduled tour of duty. When an employee's situation
will require him/her to be absent longer than one (1)
day, the employee will so indicate the expected return
to duty date.
i fc
B. For sick leave periods of not more than three (3)
consecutive days, the employee shall not be required to
submit a physician's statement of incapacitation or
other acceptable evidence unless there is reasonable
evidence of abuse.
C. In the event of suspected sick leave abuse, a
determination will be made based on the facts. If
warranted, the employee will be counseled. The
counseling will identify the problem to the employee
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and advise the employee of the wisdom of the prudent
use of sick leave.
D. An employee will be counseled prior to receiving a sick
leave letter of requirement. If improvement does not
occur within a reasonable period of time, and an
employee who is found abusing leave may be issued a
"sick leave letter of requirement." The employer will
review a "sick leave letter of requirement" not later
than six (6) months after issuance. If sufficient
improvement occurs, the letter will not extend beyond
one (1) year; however, the letter-may be withdrawn at
any time.
section 16. Subject to applicable law, rule and/or regulation,
and management's approval, advance sick leave may be granted to
an employee. Employees should be aware that sick leave cannot be
advanced in excess of thirty (30) days or the amount of leave the
employee would otherwise earn during the remaining term of
his/her appointment, whichever is least.
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ARTICLE 25
HUMAN RESOURCE DEVELOPMENT
Section 1. The purpose of training and career development is to
enable employees to increase the knowledge, proficiency, ability,
skill and qualification in the performance of their official
duties. It is understood that the choice of subject matter,
areas for training, selection, and assignment of training
priorities is a function of management and -the program will be
administered in accordance with applicable laws, regulations and
agency policies.
Section 2. Self development requires the dedication of an
individual's personal time and resources. The parties jointly
recognize that responsibility and encourage employees to make
such personal commitments. The employer will not bear the cost
of any self-development training if the training has not been
approved in advance as required by EPA regulations.
Section 3. The Parties encourage employees to review their
official personnel folder to assure that training is recorded and
that the folder is otherwise up-to-date.
Section 4. When the Employer at a local level uses a committee
process to formulate and recommend training policies and
practices affecting employees in the unit, the Union will be
given the opportunity to have at least one (1) bargaining unit
employee at the location to participate as a committee member on
matters affecting the bargaining unit(s) employees.
Section 5. The Agency will administer its Upward Mobility
Program in accordance with applicable laws, rules and Agency
policies. The Parties will encourage eligible employees to apply
for participation in the Agency's Upward Mobility Program when
such opportunities are available. The Employer agrees to
periodically evaluate the Program's operation and make
modifications where appropriate.
Section 6. When the employee so requests, the reason(s) for
disapproval of a training request submitted in writing will be
given to the employee in writing.
Section 7. Employees required to join and maintain membership in
a professional organization as a condition of continuing
employment will have their memberships in such situations paid by
the Employer in accordance with applicable regulations and
policies.
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Section 8. The Employer will consider employee requests for
variations in their normal work schedules for educational
purposes. The Employer's ability to carry out its activities in
a timely fashion will be the primary determinant in the
consideration of such requests.
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ARTICLE 26
MERIT PROMOTION
Section 1. The Parties agree that the purpose and intent of the
provisions contained herein are to insure that merit promotion
principles are applied in a consistent manner with equity to all
bargaining unit employees and without regard to political,
religious, or labor organization affiliation or non-affiliation,
marital status, race, color, sex, sexual preference, national
origin, non-disqualifying physical or mental handicap, or age and
shall be based solely on job-related criteria.
A. It is agreed that the Employer will use the skills and
abilities of bargaining unit employees to the extent
possible consistent with mission requirements, merit
principles, and applicable laws and regulations.
B. Applicants must meet time-in-grade and time-after
competitive appointment requirements within thirty (30)
days of the closing date of an announcement to be
eligible for promotion consideration, however,
applicant must meet all X-118 or X-118C qualification
requirements and any selective placement factors by the
closing date of the announcement.
Section 2. Definitions; The following definitions apply to the
Merit Promotion Plan:
A. Area of Consideration (Area of Publicity). The
designated organizational and/or geographical area in
which an intensive search is made for candidates in a
specific promotion action. This is the area in which
the announcement is publicized.
B. Best Qualified Candidates. Those eligible candidates
who rank at the top when compared with the other
candidates applying under the announcement and who are
referred to the selecting official on a Merit Promotion
Certificate.
C. Eligible Candidates. Those who meet the minimum
qualification standards and possess all appropriate
selective placement factors for a particular position.
D. Selective Placement Factors. Knowledge, skills,
abilities, and other characteristics (KSAOs) are in
addition to 0PM qualification standards used to
determine basic eligibility because they are necessary
for satisfactory job performance.
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E. Quality Ranking Factors. Knowledge, skills, abilities,
and characteristics that are issued to rank eligible
candidates.
F. Career Promotion. Promotion without current
competition when at an earlier stage an employee was
selected from a civil service register or under
competitive promotion procedures for an assignment
intended to prepare the employee for a higher, grade
level.
G. Positions with Known Promotional Potential. Positions
from which career promotions may be made because
adequate competition was held at an earlier stage.
These include among others: career-ladder positions;
apprentice positions; trainee positions; understudy
positions; positions filled at grade levels within the
established career ladder, and upward mobility
positions.
H. Promotion. The change of an employee to a position at
a higher pay or grade level.
I. Selecting Official. The supervisor/manager who has
authority to select an employee for assignment to a
position. The selection process is a management
prerogative involving the exercise of informed
judgement. Each selecting official must be aware of
and adhere to equal opportunity principles.
J. Concurrent Consideration. The consideration of
employees who are entitled to automatic referral
concurrently by the selecting official along with
certified applicants. For example, referrals by
special appointing authorities, candidates from outside
registers, priority considerations, non-competitive
promotion eligible, etc.
K. Nepotism. Supervisors and public officials as defined
in FPM 310, are prohibited from participating in any
portion of any selection process if a relative is under
consideration. Neither supervisors nor public
officials may advocate the selection of a~relative. If
a relative of the selecting official is among the
candidates certified for selection, he/she must
disqualify himself/herself and the selection authority
exercised a higher level in the chain-of-command.
Section 3. Use of Competitive Procedures,
A. Competitive promotion procedures must be applied to the
following actions:
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1. Temporary promotions for periods in excess of 120
days ;
2. Term promotions;
3. Selection for details for more than 120 days to a
higher graded position or to a position with known
promotion potential;
4. Selection for training required for promotion.
(That is, an employee is not eligible for
promotion unless he or she has completed
training);
5. Reassignment or demotion to a position with more
promotion potential than the position last held
(except as required by reduction-in-force
regulations or in lieu of disability retirement);
6. Transfer to a higher graded position;
B. Competitive promotion procedures are not required for
the following actions:
1. A promotion without current competition when at a
stage an employee was selected from a civil
service register or under competitive promotion
procedures for an assignment intended to prepare
the employee for the position being filled.
2. A promotion resulting from an employee's position
being classified at a higher grade.
3. A career ladder promotion following non-
competitive conversion of cooperative education
student in accordance with the requirements of FPM
Chapter 308 or appointment under a special
authority, e.g. Federal Junior Fellowship Program,
Former Action Volunteers, Peace Corps Personnel,
or conversion of a Veteran Readjustment Act (VRA)
appointee;
4. A reassignment or demotion from a position having
known promotion potential to a position having no
higher potential;
5. A transfer at the sane grade level;
6. A temporary promotion of 120 days or less;
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7. Selection of a candidate from the Reemployment
Priority List for a position at a higher grade
than the one last held in the competitive service;
8. Repromotion to a grade or position from which an
employee was demoted without personal cause and
not at his or her request;
9. Consideration of a candidate not given proper
consideration in a competitive promotion action;
10. Conversion of presidential management intern to a
career ladder position upon completion of the
program;
11. Details of 120 days or less to higher graded
positions;
12. An increase in rate of pay as a result of a
mandatory reduction-in-force action.
13. A promotion resulting from the upgrading of a
position without significant change in duties and
responsibilities due to the issuance of a new
classification standard or the correction of an
initial classification error;
14. A position change permitted by reduction-in-force
regulations (see Chapter 351 of the FPM).
Section 4. Area of Consideration/Publicity.
A. The minimum area of consideration will be an
organizational unit, no less than a division or
laboratory, which is considered sufficient to attract
more than one qualified candidate for promotion
consideration. The local appointing authority has the
option of establishing an area of consideration larger
than the minimum prescribed above, especially if
experience shows that those minimum areas fail to
provide enough qualified candidates.
B. When the minimum area of consideration fails to provide
at least two highly qualified candidates, the area of
consideration may be broadened and the position
reannounced, except as provided in Paragraph C below.
C. When the area of consideration is commuting area-wide
and fails to provide at least two qualified candidates,
the selecting official, with the concurrence of the
servicing Human Resources Officer or designee, may
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elect to fill the vacancy from the one qualified
candidate without further recruitment and extension of
the area of consideration, if:
1. Further efforts to locate additional candidates
would impose unnecessary delays in filling the
position and continuity of occupancy is deemed of
critical importance; or
2. Personnel ceiling or budget constraints make
extension of the area of consideration
impracticable; or
3. The position is a hard-to-fill type (e.g., some
scientific and professional positions, where only
one qualified candidate may be available).
Section 5. Methods of Locating Candidates.
A. Announcement of Vacancies. Local human resources
offices can develop their own Merit Promotion
Announcement form that provides appropriate
information. The information on the form will be
provided for each vacancy announced and will be
publicized so that all eligible candidates within the
area of consideration have an opportunity to apply.
Amendments, extensions, and cancellations of
announcements must be publicized in the same area of
consideration as the original announcement. All
announcements shall be posted not later than the first
day of the opening period.
1. Individual Vacancies. Announcements for specific
vacancies shall remain open for at least 10
workdays after posting. However, when the area of
consideration is broader than the commuting area
or is extended beyond the commuting area, vacancy
announcements shall remain open for at least 15
workdays after posting. However, by mutual
agreement of the local parties, different periods
of time are appropriate matter for local
negotiations.
2. Open Continuous Vacancies. Open continuous
announcements may be used to advertise recurring
or hard-to-fill vacancies, provided they are
periodically reissued or brought to the attention
of employees at least annually so that they may
have an opportunity to update their applications.
All employees with status who file under such
announcements will be automatically considered for
all covered vacancies.
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B. Priority Consideration. Employee(s) with this status
shall be referred to the selecting official before any
candidates under a merit promotion action are
considered. This is given after determination that a
candidate was not properly considered in a previous
promotion action which was allowed to stand (e.g., the
candidate's name was not referred and should have
been). Candidates will receive priority consideration
for the next appropriate vacancy.
C. Repromotion Consideration. This is the referral of a
candidate to a selecting official for repromotion to a
grade or position from which the employee was demoted
or given grade/pay retention in the Agency without
personal cause, that is, without unacceptable
performance or misconduct on the part of the employee
and not at his or her request. This referral is made
before the promotion action is processed. Acceptance
of a lower grade position is lieu of reduction-in-force
or in lieu of relocation in a transfer of function, or
demotion due to classification error, is not a demotion
at the employee's request for this purpose. Note that
persons eligible for repromotion considerations have or
will have actually lost something in terms of grade,
whereas priority consideration eligible have failed to
receive proper consideration for a given position. For
positions where there are repromotion and priority
consideration eligible, those entitled to repromotion
consideration are referred before those entitled to
priority consideration. Entitlement to repromotion
will be granted to each affected employee for 2 years.
D. Concurrent Consideration. Applicants who meet the
criteria for concurrent consideration will be referred
on separate lists to the selecting official.
E. Automatic Consideration.
1. Employees absent in military service will receive
automatic consideration for promotion for all
positions for which they are eligible, under the
jurisdiction of their appointing office, as long
as they have reemployment rights.
2. Employees assigned to International Organizations;
President's Executive Interchange, IPA, and
similar programs can also receive automatic
consideration for all or designated positions for
which qualified,.within the jurisdiction of their
appointing office.
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3. In all cases of automatic consideration, employees
must submit the required forms (SF-171 and
appraisals of performance) to be retained in an
automatic consideration file by the responsible
Servicing Human Resources Office.
4. Employees going on extended approved leave or
official travel may obtain automatic consideration
during this absence by submitting the required
forms to the Servicing Human Resources Office
before leaving.
Section 6. Ranking and Referral
A. Ranking of Candidates. Candidates will be ranked
according to the scores assigned to them during the
rating process. Candidates with the highest scores
will be designated as best qualified for referral to
the selecting official.
B. Referral of Candidates
1. Normally, the top ten (10) candidates will be
designated as the best qualified and referred to
the selecting official. However, candidates with
tied scores will also be referred to the selecting
official.
2. When the best qualified certificate is to used for
more than a single vacancy, additional candidates
(if available) may be added for each additional
vacancy.
3. Best qualified candidates will be certified to the
selecting official on a Merit Promotion
Certificate.
4. In all instances candidates will be certified
alphabetically .
7 » Evaluating Small NMm^ers of Candidates. When there
are ten (10) or fewer qualified candidates for a vacancy,
management may evaluate them without using precise 'distinctions,
ratings, subject matter experts (SMEs) , and panels. The
following procedures will apply when ten (10) or fewer candidates
are to be evaluated for a position:
1. All candidates will be screened for basic
qualifications and qualified candidates will be
referred to the selecting official in alphabetical
order, as best qualified candidates without
further rating and ranking.
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2. Human resources officials must be able to
distinguish the quality level differences among
candidates and/or the basis for the
differentiation among candidates, if necessary.
3. Vacancy announcements will be advertised in the
broadest practical area of consideration.
Section 8. Interviews.
1. When the selecting official receives a merit
promotion certificate as a result of a competitive
announcement, he or she may elect to interview the
candidates referred. If any candidate is
interviewed, all candidates must be interviewed.
2. Local agency employee candidates will normally be
given a personal interview.
3. The selecting official is not required to
interview any candidate previously interviewed by
him/her within the past six months for a similar
vacancy. A similar vacancy is one with the same
title, series, and grade. However, this must be
documented in writing and sent to the servicing
Human Resources Office.
4. The interview requirement stated above is separate
for each Merit Promotion Certificate issued.
Therefore, when several certificates are issued
for one vacancy (e.g., multiple grade level), the
selecting official can elect to interview and
select from any one certificate.
5. For referrals which are not considered a part of
the competitive merit staffing process (e.g.,
employee candidates eligible for non-competitive
selection and referred on separate lists), the
selecting official may elect to interview all, or
none of the candidates referred.
Section 9. Action by Selecting Official. , _
A. The selecting official will indicate the selection or
other action on the Merit Promotion Certificate. The
selecting official may elect to non-select all
candidates. Final selection is subject to concurrence
by the servicing Human Resources Officer or designee
before the selection becomes official.
B. The selecting official should complete the selection or
other action by the deadline listed on the Merit
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Promotion Certificate and this Agreement. If there is
good reason for a delay in the action, the servicing
human resources office can approve an extension, if
necessary. Local human resources offices can establish
their own limits to ensure timeliness of merit
promotion actions.
C. The servicing Human Resources Office will arrange for
the release of the selectee from his or her current
position. Normally, an employee will be released not
later than one complete pay period after selection.
section 10. Dae of Existing Merit Promotion Certificate for
unanticipated Vacancies. When an additional vacancy occurs in
the same position (same title, series, grade and duties) and
organizational location as a previously announced position, the
selecting official may use the same merit promotion certificate
to select additional candidates, if he/she desires, provided no
more than 150 days have elapsed from the date of the original
merit promotion certificate.
Section 11. Notifying Candidates of Merit Promotion Results.
A. Written Notice. Each servicing Human Resources Office
is responsible for notifying all employee applicants of
the results of a Merit Promotion vacancy Announcement.
Any form can be used for this purpose, provided it
supplies the information shown below.
B. Information to be Provided. All employee applicants
under Merit Promotion will receive the following
information when a vacancy is concluded:
1. Whether he or she was found eligible for the
position;
2. Whether he or she was included in the group
referred to the selecting official from which the
selection could be made;
3. Who was selected; or
4. The vacancy was canceled.
C. Additional Information. In addition to the above
written information, any employee applicant can request
and receive information on:
1. Areas, if any, he or she should improve to
increase the chances for future promotion; and
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2. The employee applicant's own rating assigned in
the evaluation process.
Section 12. Maintaining Merit Promotion Records.
A. Responsibility. Each servicing Human Resources Office
is responsible for maintaining a complete record of
each merit promotion case. These records must be kept
for two (2) years after the closing of each case, or
until sixty (60) days after an OPM evaluation,
whichever occurs first.
B. Contents of Records. Each record should contain
sufficient information to allow reconstruction of the
promotion action, including documentation on how
employee candidates were rated and ranked.
C. Appropriate Regulations. These records are subject to
the provisions of both the Freedom of Information Act
and the Privacy Act.
Section 13. Information Request. Upon request, in connection
with a formal grievance and consistent with 5 USC 7114(B)(4), the
Union will be furnished procedural information on a specific
promotion action. It is understood by both parties that in the
interests of privacy, regulation or law; some information may be
precluded from release. The Union will treat any information
received with confidentiality.
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ARTICLE 27
MERIT PROMOTION COMPLAINTS
Section 1. General
This article discusses some of the criteria and the
preliminary steps concerning complaints involving promotion
actions; including rating and ranking procedures, postings, non-
selection, remedies, and all other matters relating to
promotions. It is a supplement to the negotiated grievance
procedure and is not intended to limit any employee from properly
filing grievances in any way.
Section 2. Employee Complaints
Mere non-selection for promotion from a group of properly
ranked and certified candidates is not grievable. Other merit
promotion-related complaints must be resolved through the
negotiated grievance procedures.
Section 3. Priority Consideration
Employees who were not afforded proper consideration in a
previous promotion actions (e.g., the candidate was not referred
and should have been, or a mistake in certification was made)
must be given priority consideration for the next appropriate
vacancy; i.e., the candidate's name shall be referred to the
selecting official before any candidates under a merit promotion
action are considered.
Section 4. Reconstruction of Improper Action
Where a promotion action is shown to have been flawed,
before any corrective actions are implemented, i.e., displacing,
demoting, etc., the promotion action will be audited and
reconstructed to determine if the corrected action would have
delivered a different result.
A. Each servicing Human Resources Office is responsible
for maintaining a complete record of each merit
promotion case. These records must be kept for 2 years
after the closing of each case or 60 days after an OPM
evaluation, whichever occurs first.
B. Contents of Records. Each record should contain
sufficient information to allow reconstruction of the
promotion action, including documentation on how
employee candidates were rated and ranked.
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If it can be determined that a grievant would have benefited
from the reconstructed action, the employee shall be made whole
to the extent consistent with law, rule and regulations.
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ARTICLE 28
CAREER LADDER PROMOTIONS
Section 1. It is the policy of the Agency to provide appropriate
opportunities for bargaining unit employees to develop and
advance in their careers.
Section 2. Employees in career ladder positions will be given
maximum opportunity to reach the full potential of their assigned
career ladders. Upon placing an employee in a career ladder
position, the supervisor will discuss the job requirements and
expectations for the employee to reach the next higher level.
The supervisor will hold these discussions at each level of the
employee's progression within the career ladder.
Section 3. Career ladders are not automatic, an acceptable level
of performance must be demonstrated for progression. Employees
in career ladders will clearly demonstrate the ability to perform
at the next higher grade level before being promoted to the next
grade in the career ladder. Once the promotion has been made,
supervisors will assign work at the new grade level.
Section 4. At the time an employee meets time-in-grade and any
other legal promotion requirements, the supervisor will make a
decision to promote or not promote. This decision will be made
in a timely manner.
Section 5. The supervisor will periodically provide feedback to
the employee about their performance in the career ladder
position.
Section 6. Employees not meeting the criteria for promotion will
be counselled by their supervisor regarding areas needing
improvement before the promotion can be effected in accordance
with applicable law, rules, or regulation.
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ARTICLE 29
EVALUATING CANDIDATES FOR PROMOTIONS
Section l. It is agreed that the Employer shall use the skills
and abilities of bargaining unit employees to the maximum extent
feasible consistent with mission requirements, merit principles,
and applicable laws and regulations.
Section 2. Qualification Standards
The minimum qualification standards for in service placement
prescribed by the Office of Personnel Management and appropriate
selective placement factors will be used to determine basic
eligibility of candidates for promotion consideration. All
qualification determinations shall be made by the servicing human
resources office and documented in the record.
section 3. Selective Placement Factors
Selective placement factors are knowledge, skills, or
abilities essential for satisfactory performance in the job to be
filled. They are considered to be part of the minimum
qualification standards and are substantiated by the position
description. Justification for use of selective placement
factors will be recorded in the merit promotion file and
announcements will identify the minimum qualification standards,
including selective placement factors, which apply to the
position being advertised.
Section 4. Legal and Regulatory Requirements
Applicants must meet time-in-grade and time-after
competitive appointment requirements within thirty (30) days of
the closing date of an announcement to be eligible for promotion
consideration (including temporary promotion). The only
exception is to allow for submitting a written request for a
time-in-grade waiver to the Director, Office of Human Resources
Management, EPA Headquarters or his/her designee, based on a
hardship to the Agency. However, the applicant must meet all X-
118 or X-118C qualification requirements and any selective
placement factors by the closing date of the announcement.
Section 5. Evaluation of Candidates
Candidates eligible for non-competitive selection will not
be rated along with promotional candidates but will be referred
to the selecting official on a separate list without evaluation.
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Section 6. Evaluating More than Ten (10) Candidates
When there are more than 10 basically eligible candidates
for a vacancy, they will be evaluated as to the degree to which
the candidates possess the knowledge, skills, and abilities
(KSAs) identified as ranking factors on the vacancy announcement,
in accordance with the following guidelines:
A. The knowledge, skill and ability evaluation (quality
ranking) factors are developed by a subject matter
expert, with the assistance and review of the servicing
Human Resources Office.
B. The KSA evaluation (ranking) factors are determined
through job analysis, which is the systematic process
of collecting and analyzing information about the
position to identify the most desirable job-related
KSAs required to perform the duties of the position.
C. Candidates are evaluated by a personnel specialist,
subject matter expert (SME) or rating panel. The use
of a rating panel in lieu of an SME is the discretion
of the selecting official. Panels will be selected in
accordance with the guidelines in Section 10 of this
Article.
D. The total background of the candidate is considered by
the evaluator in rating candidates, including
experience, training, performance, rating, outside
activities, awards, etc.
E. Approved rating criteria (often referred to as
crediting plans) is used by the evaluator(s) in
identifying the best qualified candidates. Any rating
criteria used must be consistent with the instructions
in Federal Personnel Manual Supplement 335-1,
Evaluation of Employees for Promotion and Internal
Placement.
F. Rating criteria is uniformly applied to all candidates
and provides for designation of a best qualified group
based on point scores reflecting candidates' relative
qualifications.
G. The ratings of all candidates will be documented.
Section 7. Evaluating 10 or Fewer Candidates. When there are 10
or fewer qualified candidates for a vacancy, management may
evaluate them without using precise distinctions, ratings,
subject matter experts (SME's), and panels. All candidates will
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be referred on a certificate to the selecting official as best
qualified.
Section 8. Candidate's Responsibility.
A. It is the candidate's responsibility to include all
relevant information regarding experience, education,
training, self-development, awards, commendations, and
outside activities in their application. In addition,
the law allows that the performance appraisal be used
as a factor in making personnel decisions.
B. Applicants must submit a copy of their most recent
performance appraisal with their applications. The
qualifications demonstrated by experience, training,
awards, performance ratings, and other information
submitted will be assessed in terms of their bearing on
the ranking factors.
C. Credit may be given when there is enough information to
indicate the job-relatedness and value of any
experience, training, awards, etc.; length of service,
length of experience, or level of formal education may
be used as an evaluation factor when there is a clear
and positive relationship with the requirements of the
position to be filled.
Section 9. Methods of Evaluation
A. A job analysis will be conducted by the office filling
the position to determine the ranking factors;
knowledge, skills, abilities, and other characteristics
(KSAOs) required from successful performance in the
position to be filled.
B. Ranking factors may be weighted equally. The weight is
based on the importance of the factor to the position
to be filled. The servicing Human Resources Office has
the responsibility to review the factors and weights
for relevance to the position.
C. For wage-grade jobs, the procedures contained in the
Office of Personnel Management's Job Qualification
Standard System for Trades and Labor Occupations (X-
118C) will be used.
D. Ranking of eligible candidates by the servicing Human
Resources Office, subject matter expert or rating panel
will be accomplished by comparing the candidate's
qualifications (e.g., all relevant information
regarding experience, training, awards, performance
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ratings, etc.) against the rating factors in order to
determine their relative merit for promotion.
Section 10. Use of Rating Panel. When rating panels are used,
they will consist of at least three members. At least one panel
member must be a subject matter expert in the occupational field
of the vacancy and at least one must be familiar with the work of
the organization. Panel members must be at a grade equal to or
above the grade level of the position being filled. The
selecting official will not serve on the rating panel for the
position. The servicing human resources office shall make every
effort to ensure that persons designated to serve on the panel
include women and men, as well as representatives from minority
groups and persons with disabilities to ensure cultural
diversity.
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ARTICLE 30
REASSIGNMENT
Section 1. The provisions of this Article apply solely to
reassignments within the bargaining unit(s).
Section 2. An employee who is reassigned will be given a
reasonable period of time to learn and satisfactorily perform the
functions of his/her new position in accordance with the
Agency's approved Performance Management System as incorporated
into this Agreement.
Section 3. Employees desiring reassignment within the Agency may
either apply for vacancies through the merit promotion process,
directly to the organization which they are interested in, or to
the appropriate Human Resources Office.
Section4. Reassignments to positions with promotion potential
higher than the employee's current position are processed under
the provisions of the Merit Promotion Article of this Agreement.
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ARTICLE 31
DETAILS
Section 1. The provisions of this article apply solely to the
assignment of bargaining unit employees within the unit. A
detail is the temporary assignment of an employee to a different
position or set of duties for a specified period of time. There
is no formal position change, officially, the employee continues
to hold the position from which detailed and keeps the same
status and pay; with the employee normally returning to his/her
regular duties at the end of the detail.
Section 2. Details shall be rotated equitably among those
employees who have been determined by management to have the
capacity and requisite skills for assuming the responsibilities
of the assignment unless competitive procedures are used.
Section 3. The Employer will provide a memorandum to the
employee documenting official details to higher level classified
positions of more than ten (10) consecutive workdays. Official
details in excess of thirty (30) calendar days will be recorded
on an SF-52 "Request for Personnel Action."
Section 4. An employee temporarily assigned to a classified
position at a higher level for more than thirty (30) calendar
days will receive a temporary promotion as soon as practicable,
but no later than the 31st day of the assignment. The employee
must meet any qualification and eligibility requirements to be
promoted.
Temporary promotions in excess of 120 calendar days shall be
filled through competitive procedures. Temporary promotions of
less than 120 days may be rotated equitably among those employees
who have been determined by management to have the capacity and
requisite skills for assuming the responsibilities of the
assignment unless competitive procedures are used.
Section 5. Details to a lower classified position shall not
affect the employee's classification or salary. - _
Section 6. Details to less physical, stressful or other
demanding positions may be used for employees undergoing or
completing medical treatment.
Section 7. Length of details will be in accordance with OPM
Regulations.
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Section 8. Management will keep details within the shortest
practicable time so that they will not promote any compromise of
the open-competitive principles of the Merit Promotion System.
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ARTICLE 32
SELECTIVE PLACEMENT PROGRAMS
Section 1. The Parties "hereby agree to support the Employer's
Selective Placement Programs established under the provisions of
the Rehabilitation Act of 1979 (P.L. 93-112), as amended by P.L.
93-516, and the Veterans' Readjustment Act of 1974 (P. L. 93-508)
and in accordance with regulations and policies.
Section 2. The Parties will work together in an effort to find
and make reasonable accommodations to known physical and mental
limitations of qualified employees.
Section 3. The Employer will work with Employees Vocational
Counselors in considering accommodations for known disabled
employees such as: making facilities accessible; possible job
restructuring; appropriate work equipment or devices; or
obtaining the services of readers or sign language interpreters
where appropriate.
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ARTICLE 33
POSITION CLASSIFICATION
Section 1. The parties agree that bargaining unit employees
shall be provided an adequate Position Description reflecting
their principal duties, responsibilities, and supervisory
relationships. When changes in the duties, responsibilities, or
supervisory relationship so warrant, the Position Description
will be amended or rewritten. The principal duties,
responsibilities, and supervisory relationships will be
adequately identified to permit proper classification and
expectations.
Section 2. Bargaining unit employee(s) will be given reasonable
advance notice of any position audit or review that may affect
the classification of the employee's position. If the audit or
review results in proposed changes to the Employee's Position
Description, the employee will be notified prior to effecting the
change. When a substantial change in duties requires relocation
of the employee or affects conditions of employment, the union
will be notified.
Section 3. An employee dissatisfied with the classification of
his/her position should first discuss the classification with
his/her supervisor, if the supervisor is unable to resolve the
issue to the employee's satisfaction, the appropriate human
resources official, will explain the basis for the
classification/job grading. The employee may request an on-site
job audit.
Section 4. A General Schedule employee, who still feels his/her
position is improperly classified may:
A. File an appeal at the agency level to the Director,
Office of Human Resources Management, who is the Agency
Appellate Authority; or
B. If dissatisfied with the agency's decision, the
employee may file a subsequent appeal with the Office
of Personnel Management; or
C. File an appeal with the Office of Personnel Management
through the agency; or
D. File an appeal directly with the Office of Personnel
Management.
Section 5. A Federal Wage System employee who still feels
his/her position is improperly classified may:
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A. File an appeal with the Director, Office of Human
Resources Management who is the Agency Appellate
Authority; and
B. Provide the name, address, and business telephone
number of the employee's representative, if a
representative has been selected; and
C. Provide information on other decided or pending
appeals, complaints, or administrative decisions where
the classification of the same position is or was an
issue; and
D. If dissatisfied with agency's decision the employee may
file an appeal with OPM within fifteen (15) calendar
days of the date of the receipt of the agency decision.
Section 6. The parties agree that at times an employee may be
required to perform duties which are incidental to the principal
duties and responsibilities of the position, as well as duties,
which may required in situations of emergency and consistent with
the agency's mission. When the phrase "other duties assigned" or
similar phrases are included in a Position Description, the
employer agrees that when assigning such duties to an employee
which are unrelated to his/her principal duties, the employee's
Position Description may be modified to reflect any continuous or
long term changes in the employee's duties.
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ARTICLE 34
EMPLOYEE PERFORMANCE EVALUATION
Section 1. The Agency's Performance Management System Plan, 3151
for non-SES/non-Merit Pay employees and the provisions concerning
the use of performance appraisals are hereby incorporated and
made a part of this agreement, and appended hereto .
Section 2. The Agency's performance appraisal and evaluation
determinations (as provided for in PMS), performance pay and cash
awards determinations will be so interlocked as to assure the
administration of a comprehensive pay-for-performance program in
the most objective, fair, consistent and equitable manner
possible.
Section 3. An employee will be held accountable only for those
performance standards, duties and responsibilities assigned by
management.
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ARTICLE 35
AWARDS
Section 1. Awards and quality step increases (QSI's) are one
method .used to recognize truly superior employee accomplishments.
Cash awards and QSI's may be used to reward superior performance
using the guidelines set forth in the Performance Management
System. Employees are also eligible for monetary and non-
monetary awards for suggestions, inventions, special acts of
service or heroism under the provisions of the Agency's Incentive
Awards Manual and policies.
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ARTICLE 36
TRANSFER OP FUNCTION
Section 1. The employer shall provide a written notice to an
employee whose position has been transferred outside the
competitive area sixty (60) days in advance of the effective
date.
Section 2. An employee will have the twenty-five days after
issuance of the written notice to accept or reject the offer of
transfer. Failure to respond within the twenty-five (25) day
period will act as a declination of the offer. Reasonable
extensions to the above time limits may be granted for good
cause.
Section 3. At the employee's request, the employer will assist
an employee who declines a transfer of function outside the
competitive area in attempting to locate employment with other
Federal agencies.
Section 4. Severance pay for those employees declining a
transfer of function will be in accordance with applicable law
and regulation.
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ARTICLE 37
EQUAL EMPLOYMENT OPPORTUNITY
Section 1. No employee will be denied a benefit of employment by
the Employer, or a benefit or right of Unit membership by the
Union because of the employee's race, color, creed, national
origin, sex, age, sexual preference, Union affiliation, lawful
political affiliation, marital status, or qualifying handicapping
condition. Both parties support the realization of a
representative work force within the Unit at all levels.
Section 2. The parties hereby affirm their support of
affirmative action.
Section 3. When the Employer at the local level utilizes an EEC
committee or councils, the Union will be given the opportunity to
have at least one bargaining unit employee at the location as its
representative to participate as a committee member on matters
affecting Unit employees.
Section 4. The Union will designate an authorized representative
for the Employer to deal with on all EEO matters which are beyond
local scope and impact.
Section 5. The Union may submit the names of bargaining unit
employees who are interested in serving as EEO counselors to the
appropriate management official. Employees who meet the criteria
for an EEO Counselor and are selected by the Employer will
receive appropriate training in accordance with the applicable
policies and regulations. No Union representative who handles
employee representation functions for the union may serve as an
EEO Counselor nor may an EEO Counselor serve in a representative
capacity for any employee.
Section 6. A bargaining unit employee may file an EEO complaint
under the negotiated grievance procedure or the administrative
procedure provided by statute and regulations but not both. An
employee filing a formal EEO complaint under the Agency's
procedure is entitled to a representative of personal choice
subject to Agency policies and regulations. An employee filing a
formal EEO complaint under the negotiated grievance procedure may
be represented only by an authorized Union representative.
Section 7. Upon request in accordance with the provisions of
7114 (b)(4) and this Agreement, the employer will provide any
prepared statistical EEO reports and EEO complaint summaries on
the Unit to the Union.
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Section 8. An employee shall be deemed to have exercised his or
her option in filing an EEO complaint at such time as the
employee timely initiates a formal written EEO complaint/notice
of appeal under the statutory procedures or timely initiates a
grievance in writing above the first step (informal) in
accordance with the Grievance Article.
Section 9. Employees are encouraged to discuss EEO allegations
with an EEO counselor. Discussions between an employee and an
EEO counselor do not preclude an employee from opting to select
the negotiated procedure.
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ARTICLE 38
CONTRACTING OUT
Section 1. When the Employer reaches a decision to study the
possibility of contracting out work being performed by bargaining
unit employees and notifies the Unifcr prior £o beginning the
study, both parties will then maintain the confidentiality of all
information concerning the study and contract process until a
decision is reached either not to contract out or to award a
contract.
Section 2. Both parties recognize the highly sensitive nature of
contracting out and the impact of such a possibility on the
morale and productivity of employees. To that end, they will
maintain the confidentiality of the information concerning any
part of the contracting process until a decision is reached. In
the same vein, the parties understand that rumors, misinformation
and undue concern are counterproductive. Therefore, the parties
agree to attempt to prevent such situations from developing
during the entire study and contract process.
Section 3. Upon request, the Employer will provide the Union
with a copy of a completed study of contracting out work being
performed by bargaining unit employees unless prohibited by law,
rule or regulation.
Section 4. Upon request, the Employer will provide the Union
with a copy of a Statement of Work which has been completed and
deals with work being performed by bargaining unit employees
unless prohibited by law, rule or regulation.
Section 5. In accordance with the provisions of the Agreement,
the Union will be afforded an opportunity to bargain over the
impact of a decision to contract out work being performed by
bargaining unit employees.
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ARTICLE 39
REDUCTION IN FORCE
Section 1. In the event of a reduction in force and/or transfer
of function (RIF, TOF), the Agency shall notify the Union. When
any decision is made to conduct a RIF or TOF, or when serious
consideration is given to implementing them, written notification
to the union shall be made at the earliest practicable date. The
employer shall satisfy all bargaining obligations.
Section 2. Before the Employer reaches a final decision in the
matter, a meeting will be held with the local Union
representatives as soon as possible to explore alternatives to
adverse affects contemplated as a result of Employer
considerations.
Section 3. When the Employer reaches a final decision which
involves a reduction in force, the Council President will be
informed in writing. The notification, in accordance with
Section 1, will include the reason for the RIF, approximate
number and types of positions, and anticipated date of the
planned action. The Agency shall provide the Union, upon
request, with information in accordance with 5 USC 7114(B)(4).
All further information from the Employer concerning the matter
will be sent to the Union representatives(s) with copies of
transmittals sent to the Council President.
Section 4. In the event of unforeseen unavailability of the
Council President of periods longer than two (2) days, the
Employer will then contact the Executive Vice President of the
Council, or if also unavailable, the First Vice President of the
Council. Communications will continue between the Employer and
the Council official contacted until otherwise notified by the
Council President.
Section 5. The Employer will meet with the Union representative
to discuss the reduction in force at a mutually agreeable time as
soon as possible but no later than one (1) week after
notification.
Section 6. After notification of the Union, the Employer may
hold general meetings with employees. General information
concerning the RIF will be provided by an all-employee notice,
individually disseminated, or by posting on official bulletin
boards at the location(s). Except with the prior approval of
Office of Personnel Management (OPM), the employer will give an
information notice prior to a specific notice of at least thirty
(30) days.
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Section 7. Employees receiving a specific RIF notice will be
advised of their entitlement to Union representation.
Section 8. In recognition of its access to information which is
normally considered private and personal to employees, the
Parties agree to maintain the confidentiality of the information.
Section 9. TIMING OF A SPECIFIC RIF NOTICE. The Employer shall
issue specific RIF notices to employees affected by a reduction
in force at least sixty (60) calendar days before the effective
date of the notice.
Section 10. In emergency situations, in accordance with
applicable Law and Regulations, the Employer will advise the
Union in advance of specific situations requiring less than the
normal notice period(s), set forth in sections 6 and 9 herein.
Section 11. Emergency situation in this context is defined as
circumstances arising requiring an immediate reduction in force.
Section 12. Employees on detail will not be released during a
reduction in force from the position to which they are detailed
but, rather, from the affected employee's permanent position.
Section 13. CONTENTS OF SPECIFIC NOTICES. A specific RIF notice
and any attachments must contain the following information:
A. What reduction in force action is being taken (e.g.,
separation, demotion, furlough for more than 30 days, etc.);
B. The reason for the reduction in force;
C. The effective date of the action;
D. The employee's competitive area, competitive level,
retention subgroup, service date, and annual performance ratings
of record received during the last 2 years;
E. The place where the employee may inspect the regulations
and records pertinenet to his/her case;
F. If applicable, the reasons for retaining, a_ lower
standing employee;
G. As applicable, the employee's right to appeal the
reduction in force action to the Merit Systems Protection Board
under the provisions of the Board's regulations, or to grieve the
action under the negotiated grievance procedure; and
H. Information on the Reemployment Priority List and the
Displaced Employee program, if the employee receives a notice of
separation because of the reduction in force. Along with the RIF
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notice of separation, the agency must also give the employee
information concerning how to apply for unemployment insurance
through his/her appropriate State office.
Section 14. ADDITIONAL NOTICE REQUIREMENTS. Before separating
any employee by RIF, an agency must notify 0PM in order to
register the employees in the Displaced Employee Program to
assist them in finding other positions. Also, when an agency
separates 50 or more employees from a competitive area, the
agency has additional notice requirements to OPM, and to other
Federal and nonfederal organizations.
Section IS. When a competitive service employee in Group I or II
is released from his/her competitive level, the employer offers
him or her an available position in another competitive level if
one exists; otherwise, the employee may be separated or
furloughed. If an employee refuses an offer, he/she may be
separated or furloughed. Group III employees have no assignment
rights.
Group I - Career
Group II - Career Conditional
Group III - Temporary or Indefinite Appointments
Section 16. An available position has all of the following
characteristics:
A. It is in the competitive service;
B. It is in the employee's present competitive area;
C. It will last at least three (3) months;
D. It is a position for which the employee being released
qualifies, unless the agency at its discretion, chooses
to waive qualifications.
E. It is held by an employee (1) in a lower retention
subgroup (who may be bumped) or (2) with lower
retention standing in the same subgroup and is a
position from which the competing employee was promoted
or an essentially identical position (subject to
Retreat Rights); and
F. It requires no reduction, or the least possible
reduction in the applicable representative rate. (The
Representative Rate is a method of comparing the annual
salary of employees under different pay systems.)
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Section 17. When more than one position is available, the Agency
will consider the employee's request for assignment to any one of
the available positions for which they qualify as allowed under
OPM regulations.
Section 18. Salary retention for affected employees will be in
accordance with applicable law and regulations.
Section 19. FACTORS CONSIDERED IN ESTABLISHING COMPETITIVE
LEVELS.
A competitive level consists of all the positions in the
competitive area that are in the same grade or occupational level
and that are so alike in qualification requirements, duties,
responsibilities, pay schedule, and working conditions, that the
Agency may readily assign an employee in one position to any of
the other positions without changing the terms of the employee's
appointment and without unduly interrupting the Agency's work
program.
Section 20. UNDUE INTERRUPTION.
Undue interruption is a degree of interruption that would
prevent the completion of required work within time and quality.
Depending upon the deadlines and other demands, the ordinary work
program probably would not be unduly interrupted if the optimum
quality and quantity of work were not regained within ninety (90)
days after a reduction in force. Lower priority programs might
tolerate even longer interruption.
Section 21. QUALIFICATION CONSIDERATIONS.
When the Employer considers the effect of qualifications on
the composition of a competitive level, the concern is not with
the qualifications an employee possesses but with the ability to
perform the duties and responsibilities of the position without
undue interruption to the agency and without any loss of
productivity beyond that normally expected of any new, but
qualified employee. Among competitive positions with different
examination requirements. Separate levels may be indicated
because the knowledge, technique and know how acquired on the job
may be distinctive enough from one job to another. The Agency
may assign an employee without regard to OPM's standards and
requirements for the position if, the employee meets any minimum
education requirement for the position and the agency determines
that the employee has the capacity, adaptability, and special
skills needed to perform the duties and responsibilities of the
position at an acceptable level.
Section 22. SEPARATE COMPETITIVE LEVELS.
The Employer may not assign a position to a separate
competitive level based on:
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A. The employee's sex, except where 0PM has established
that restricting the certification of eligible by sex
is justified;
B. The fact that the employee is serving a probationary
period required by 5 CFR 315 Subpart I upon initial
assignment to a supervisory or managerial position; or
C. Differences in work schedules among other-than-full-
time employees who would otherwise be assigned to the
same competitive level.
Section 23. In the event of a reduction-in-force action,
retention registers shall be established with employees listed in
order of their tenure group, veteran preference, subgroup, length
of service and performance ratings. The retention registers
shall be restricted for review and shown only to those who have a
need to review.
Section 24. Upon request, an employee who has received a
specific notice, or representative, will be given the opportunity
to review all necessary records pertaining to the action,
including regulations or law pertaining to RIF.
Section 25. An employee or representative will be given the
opportunity to review retention registers listing other employees
who may be entitled to displace the affected employee, as well as
specific employees who may be displaced by the affected employee
under the RIF procedures.
Section 26. An employee's current approved performance appraisal
on the date of issuance of a specific reduction-in-force notice
is the appraisal that determines retention standing under this
Agreement. Additional service credit is based on the last three
annual performance ratings of record which were received by the
employee during the three year period prior to the date of
issuance of specific RIF notices. To be creditable for RIF
purposes, rating must have been issued to the employee, including
all appropriate signatures and reviews, and must be on record.
Performance appraisals will not be given solely to improve an
employee's retention standing for RIF purposes. Assumed ratings
of fully successful will be used for RIF purposes,_in the absence
of actual annual rating of record.
Section 27. For the duration of a reduction-in-force process,
the Employer will provide the Union with up-to-date information
and keep them informed of significant action taken regarding
RIF's, transfers of function, and reorganizations.
Section 28. When repromotion eligibles are not selected for
repromotion, upon request, the selecting official shall furnish
the reasons in writing for the nonselection.
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Section 29. At the employee's request, the Employer will notify
the affected employee released as a result of a RIF of their
eligibility for outplacement training in accordance .with
applicable regulations and policies of higher authorities.
Section 30. The Employer will assist the employee in locating
other employment within the Federal Government, in accordance
with 5 U.S.C., 4103(b), the Employer may retrain employees for
placement within the Federal Government, subject to OPM approval.
Assistance will be given in locating the appropriate local state
employment security agency (employment office) that should have
the information to inform the employee of any benefits that may
be available to the affected employee.
Section 31. Any career or career-conditional employee who is
separated because of reduction in force will be placed in a
reemployment priority list and such employees will be considered
for rehiring in accordance with applicable regulations.
Section 32. In accordance with applicable regulations, the
Employer will grant an excused absence to an employee moving
outside the competitive area as a result of RIF of transfer of
function to find new housing.
Section 33. The Employer will pay relocation expenses for all
employees affected by RIF and directed by the Employer to a
position within the Agency but outside of the commuting area in
accordance with applicable law and regulation.
Section 34. The Employer will provide information to the
affected employee and keep the employee informed on the reduction
in force as it affects the employee.
Section 35. The Employer agrees to assist and refer any Group I
or II displaced employee to the Office of Personnel Management
(OPM) for consideration for employment under OPM's Displaced
Employee Program.
Section 36. The Employer agrees to cooperate with OPM by
referring displaced employees to the Voluntary Interagency
Placement Program under applicable law and regulations.
Section 37. The Employer will maintain all lists, records and
information pertaining to the reduction-in-force for at least 1
year in accordance with applicable law, rules and regulations.
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ARTICLE 40
RIF COMPETITIVE AREAS
Section l. The competitive area for reduction in force shall be
within the local commuting area. Within that area, competitive
levels will be of positions that are interchangeable based on the
qualifications and abilities necessary to perform the assigned
duties and responsibilities of the position description.
Section 2. Exclusion of similar positions from a competitive
level shall be only upon establishment that movement would create
undue interruption to a degree that would prevent the completion
of required work within deadlines or other demands, or cause
impairment to the Agency's mission.
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ARTICLE 41
REDUCTIONS IN FORCE INVOLVING EXCEPTED SERVICE EMPLOYEES
Section 1. Reductions in force involving Excepted Service
employees will be in accordance with Law and Appropriate
Regulations:
A. Excepted Service employees do not compete with
Competitive Service employees but;
B. Only compete with other under the same appointing
authority and in the same competitive area;
C. Excepted Service employees have no assignment rights;
D. Excepted Service employees may not be placed on
reemployment priority lists; and
E. Excepted Service employees may not participate in OPM's
Displaced Employee Program unless the individual has
competitive status and was released from Group I or II.
Section 2. All terms shall have the same meaning given in 5 CFR
Part 351 and FPM Chapter 330 except as otherwise defined in this
Agreement.
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FAX COVER SHEET
U.S. ENVIRONMENTAL PROTECTION AGENCY
Office of Human Resources Management
LABOR RELATIONS
DATE:
: 0
TO:
HUMAN RESOURCES OFFICERS
Laurel Seneca, Reg. 1
John Henderson, Reg. 2
Andy Carlin, Reg. 3
Chuck Hornbacfc, Reg. 5
Linda Adams, Reg. 8
Sandy Bowman, Cincinnati
Randy Brady, RTF
Linda Wallace, HQ
Tom Harper, Ann Arbor
Art Sandoval, Las Vegas
COMMENTS: Attached ^ j^ CORRECT version of Article 42 en Discipline
of the Master Collective Bargaining Agreement between EPA & APGE, 1994.
When the contract was printed, the wrong version was inadvertently printed.
Please be sure to inform both you supervisors and bargaining unit srplcyees
of this change. Although I am sending the correct version to the local
union presidents, please make sure they receive a copy as well. Sorry
for the mishap.
FROM:
NUMBER OF PAGES INCLUDING THIS COVER SHEET 4
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JUBXCLB 42
DZ8CX9LXKB
•
flffl*ioa 1. The P«rti«« agree that the purpose of disciplinary
action is to correct or improve employee behavior and tb maintain
discipline within the work fore*. where applicable, the pertiM
agree to the philosophy of progressive discipline. *-*<•*••
••ation 2. Disciplinary actions consist of letters of warning;
letters of reprimand; suspensions; reductions in grade or pay for
a furlough of 30 days or less, and removals. Performance-based
actions and RIP actions are not disciplinary action*.
fleetioa a. All disciplinary actions will be taJcen only for just
and sufficient cause. ,
aeotien 4. Suspensions for more than fourteen (14) days*
removals, reductions in grade or pay and furloughs of thirty (30)
days or less will be taJcen for such cause as will promote the
efficiency of the service. • •
• »
Section s. Employees may grieve any disciplinary action through
the Negotiated Grievance Procedure (NGP). Actions described in
Section 4 may be appealed through the (HOP) or to the H8PB, bat
not both. " •
flection «. An employee has the right to request union
representation during the course of an investigating interview
conducted by Agency official(s) when the employee reasonably
believes the examination may result in disciplinary action
employee. The interview vill be stopped until union .. '
representation can be provided unless the employee choose* not'to
request union representation or the management official clearly
indicates that no disciplinary action vill be taJcen against the
employee.
r
flection 7. The employee shall be provided with an additional- .
copy of all disciplinary actions which the he/she may give; to the
union. • - -
fleotion •. employees shall be granted up to eight (•) hour* of.
official time to prepare their appeal.
'. :
Beetien f. The union has the right to be present at all formal
meetings, grievance meetings, and grievance settlement*.
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Supervisory Hotesi
A. If supervisory notes are leapt on employees, the not**
vill be maintained in a ••cur* fashion and not b« revealed to
anyone other than those who hav« a need to kriov.
B. Supervisory notes or th« applicable portion thereof us«d
to support a disciplinary or adverse action ar« to b« made
available to th« employe* upon request.
section 11. Th« parties recognize that th« age of any evidence
offered by any party may be a factor detracting from its
credibility and, that, as such, such evidence may lose its
probative value.
Beetion 12. Mitigation of Penalties
Where an employee appeals an adverse action through the
negotiated grievance procedure and the union proceeds to
arbitration, the arbitrator is bound by the same rules governing
the burden of proof and standard of proof that govern adverse
actions before the Merit Systems Protection Board.
The Douglas factors are: ;
(1) The nature and the seriousness of. the offenaev and: it*
relation to the employee's duties, position, and
responsibilities, including whether the offense vac intentional
or technical or inadvertent, or vas committed maliciously ox for
gain, or vas frequently repeated;
(2) the employee's job level and type of employment, including
supervisory or fiduciary role, contacts vith the public, and
prominence of the position;
(3) the employee's past disciplinary record;
»
(4) the employee's past work record, including length of .
service, performance on the job, ability to get along vith fellow
workers, and dependability;
(5) the effect of the offense upon the employee's ability to
perform at a satisfactory level and its effect upon supervisor••
confidence in the employee's ability to perform assigned duties*
(6) consistency of the penalty vith those imposed upon other
employees for the same or similar offenses;
(7) consistency of the penalty vith any applicable agency table
of penalties;
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(ft) the votoriety of the offense or its iapact
reputatioa eX that agency;
(») the clarity with which the eaployee was on notice of any
rule that were violated in committing the offense, or had
about the conduct in question;
(10) potential for th« aaployaa'a rehabilitation;
(11) Mitigating circuastancas surrounding th« offansa auch aa
\inuaual job tanaiona, paraonality problama, mantal iapainant,
naraaaaant, or bad faith, aalica or provocation on tha part of
others involved in tha matter; and -:'
(12) tha adequacy and affactivanaaa of alternative sanction* to
datar auch conduct in tha future by tha employee or others.
is. As appropriate, this Article will be administered as
required by law and in accordance with KSPB regulationa
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ARTICLE 43
GRIEVANCE PROCEDURE
Section 1. This Article constitutes the sole and exclusive
procedure for the resolution of grievances by employees of the
bargaining units and the Parties. This grievance procedure
replaces any other grievance procedure in its entirety for
employees in the bargaining units.
Section 2. A grievance shall mean any complaint:
A. By any employee concerning any matter relating to the
employment of any employee: or
B. By the union concerning any matter relating to the
employment of any employee; or
C. By any employee, the union or the employer concerning:
1. The effect or interpretation, or claim of breach
of the collective bargaining agreement; or
2. Any claimed violation, misinterpretation, or
misapplication of any law, rule or regulation
affecting conditions of employment.
Section 3. In addition to any other exclusions contained in this
agreement, the grievance procedure will not apply to:
A. Any claimed violation of subchapter III of chapter 73
of Title 5 (relating to prohibited political
activities):
B. Retirement, life insurance, or health insurance;
C. A suspension or removal under 7532 of Title 5 (relating
to national security matters);
D. Any examination, certification, or appointment; or
E. The classification of any position which does not
result in the reduction in grade or pay of an employee;
F. A management decision to (or refrain from making or
terminating a temporary promotion, detail or
reassignment) in accordance with this agreement;
G. The adoption or non-adoption of a suggestion or the
receipt or non-receipt of an honorary award;
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H. Separation of a probationary employee;
I. Separation of a term, trial, or excepted service
employee in accordance with applicable policy,
regulation, law or this agreement; or
J. The mere non-renewal or extension of a temporary
employee, termination of a temporary appointment due to
a reduction in force, and any other termination of the
appointment of a temporary employee in accordance with
applicable policy, regulation or law and this
agreement.
Section 4. Employees filing a grievance under this procedure
shall be represented only by the union's designated
representative or by themselves.
Section 5. The union will be given the opportunity to be present
during all grievance proceedings under this Article.
section 6. Employees who have sought informal EEO complaint
counseling may still file a grievance, provided that such
grievance is initiated within 45 days of the event or non-event
which caused the grievance to be filed, and no formal EEO
complaint has been filed.
Section 7, An employee complaint will first bs taken up by the
concerned employee or the employee's union representative if any,
with the employee's immediate supervisor or appropriate
management official in an attempt to settle the matter in an
informal manner. The supervisor or the appropriate management
official will reply to the employee or representative, normally
within three (3) working days, but not more than five (5) working
days. If the matter is not resolved, the employee may file a
grievance in accordance with the procedure described below.
Employee Grievance Procedure
Step 1
A. Employees will present their grievance in. writing to
the immediate supervisor, unless the immediate
supervisor does not have the authority over the matter
grieved. In that case, the employee will present
his/her grievance to the management official at the
level having the necessary authority.
B. The employee must state specifically that he/she is
presenting a grievance; the personal relief sought; and
the name, organizational unit and location of the
aggrieved, a statement of the items, regulations or
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agreement alleged to have been violated, citing
specific paragraphs or articles, the corrective
actions desired, designation by name of the Union
representative or statement of self-representation.
The grievance roust be signed and dated.
C. An employee must present a grievance concerning a
specific act or occurrence within thirty (30) calendar
days of the date of the event or non-event being
grieved.
D. Within fifteen (15) calendar days of initially
receiving the grievance, the immediate supervisor or
management official will answer the grievance.
Step 2
A. If the matter is not satisfactorily settled following
Step 1, the aggrieved employee and/or his/her
representative, if any, may within seven (7) calendar
days of the notification of denial present the matter
in writing to the next level supervisor over the
supervisor who heard Step 1. The grievance will
contain the information submitted in Step l plus the
disposition at Step 1. The grievance will be signed
and dated.
B. The supervisor shall send the employee and union
representative, if any, or the union a written decision
on the grievance within thirty (30) calendar days. If
the grievance is not satisfactorily settled, the union
may refer the matter to arbitration in accordance with
the procedures set forth in the Arbitration Article.
Grievance of the Parties
A. Should either Party have a grievance over any matter
covered by this procedure, it shall inform the
designated representative of the other Party of the
specific nature of the complaint in writing within
thirty (30) calendar days of the date of the act being
grieved:
1. A local matter will be filed with the
designated local representative of the other
Party.
2. A national matter will be filed with the
designated national level representative.
B. Within thirty (30) calendar days after receipt of the
written grievance, the receiving party will send a
written response stating its position regarding the
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grievance. If the matter is not resolved, it may be
referred to arbitration in accordance with the
Arbitration Article.
Section 7. By mutual consent of the Parties, the time limits set
forth in this Article may be extended.
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ARTICLE 44
ARBITRATION
Section 1. If a grievance processed under this Agreement is not
resolved, such grievance may be submitted to arbitration by
either the EMPLOYER or the UNION within thirty (30) days after
issuance of the final decision.
Section 2. The party desiring to submit the grievance to
arbitration shall request the Federal Mediation and Conciliation
Service to provide a list of seven (7) impartial persons
qualified to act as arbitrators. The parties shall meet within
five (5) days after receipt by both parties of the list of
arbitrators. If they cannot mutually agree upon one of the
listed arbitrators, the parties will each strike three (3) names,
and the remaining person will be the duly selected arbitrator.
The flipping of a coin or other mutual agreeable means will be
used to determine which party will strike the first three (3)
names.
Section 3. Issues and charges raised before the arbitrator shall
only be those raised at the last stage of the applicable
grievance procedure. The arbitrator shall have no authority to
alter in any way the terms and conditions of this Agreement, any
supplemental agreement or any other condition of employment not
properly before him/her.
Section 4. The UNION and the EMPLOYER agrees to share equally
the arbitrator's fee and expenses.
Section 5. Except in disciplinary and adverse action cases, the
party requesting arbitration will make its presentation first in
the arbitration proceeding. No later than five (5) work days
prior to the arbitration, the parties will make available all
evidence and proposed witnesses then within its knowledge to the
other party. On the last work day prior to the arbitration, the
parties will meet to exchange all evidence and proposed witnesses
which they intend to enter into the proceeding. If evidence or
information becomes available to a party prior to the start of
the proceeding which has not been made available to the other
party and it is intended to enter that evidence or information in
the arbitration, the other party will be provided the evidence or
information immediately. At its discretion, the other party may
obtain a postponement of the arbitration for one (1) workday or
until the arbitrator's next available date, whichever is less.
Prior to the arbitration hearing, the PARTIES will attempt
to stipulate the issue(s) to be arbitrated and any factual
matters which would expedite the arbitration. In the event no
89
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questions of fact exist, the PARTIES may by mutual consent forego
a formal hearing and present the grievance directly to the
arbitrator by individual written submission. The arbitrator is
empowered to make a finding and award based on those submissions.
Section 6. The arbitrator will be requested to render his/her
decision as quickly as possible, but in any event not later than
thirty (30) days after the conclusion of the hearing unless the
PARTIES agree to extend the time limit.
Section 7. When the PARTIES mutually agree to an expedited
arbitration, the arbitrator may render a decision at the close of
the proceedings. Such "bench" decisions will have no
precedential value with regard to future grievances or
arbitrations.
Section 8. Local level arbitration decisions will have effect
only at the location where the arbitration was held and may not
apply to other parts of the Unit unless the parties to this
agreement expressly agree in writing,
Section 9. The arbitrator's award shall be binding on the
parties; however, either party may file an exception with the
Federal Labor Relations Authority under regulations prescribed by
the Authority. The filing of an exception to the Authority will
serve to automatically stay the implementation of the award until1
the exception is disposed of under the terms of this section.
Section 10. If a party requesting arbitration should withdraw
anytime prior to a decision being rendered by an arbitrator, it
shall bear the full cost of any charges and expenses imposed by
the selected arbitrator.
Section 11. The arbitration hearings will be held on the
Employers's premises.
Section 12. The grievant(s), the representative (if a bargaining
unit employee) and all bargaining unit employees who are called
as witnesses will receive excused time when they would otherwise
be in a duty status to the extent necessary to participate in the
arbitration proceedings.
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ARTICLE 45
SUPPLEMENTAL AGREEMENTS AND OTHER
NEGOTIATIONS DURING THE LIFE AND TERM OF THIS AGREEMENT
AND DESIGNATED REPRESENTATIVES OF THE PARTIES
Section 1. The parties agree that the circumstances under which
negotiations are appropriate during the life and term of this
agreement are included and described below:
A. At the Union's option, when the Employer, at any level,
proposes a change in the substance of an otherwise
negotiable personnel policy, practice or working
condition not part of this agreement;
B. At the Union's option, when the Employer, at any level,
exercises a management right and the impact of that
decision creates adverse impact on bargaining unit
employees;
C. At either option, local level negotiations on matters
delegated to the local level by this agreement;
D. By mutual consent, a reopening of this agreement; and
E. At a local level, a single supplemental agreement; on
matters not set forth in (A) through (D) above by
mutual consent of the parties at that local level.
Section 2. In situations (A) and (B) described in Section 1, the
Employer will notify the authorized agent of the Union in advance
in writing of the proposed change or management decision and its
impact. (It is understood that the Agency is not required to
negotiate on its decisions which do not adversely affect the
bargaining unit.) Employer will notify the authorized agent of
its decision and date of implementation. When negotiation is
desired, the authorized agent will indicate his/her desire to
enter into negotiations by advising the authorized Agency
representative in writing within ten (10) days from receipt
followed by written proposals within fourteen (14) days from
receipt. Upon request, the Employer will explain the proposed
change or the management decision and its impact to the
designated union representative.
Section 3. in situations (C) and (D), the party desiring
negotiations will so indicate by presenting written proposals to
the authorized representative of the other party.
Section 4. In situation (E) the party desiring to negotiate will
present its proposals in their entirety to the other party.
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Within fifteen (15) working days, the other party will present
any proposals on subjects not covered by the initiating party's
proposals. Within ten (10) working days after presentation of
those proposals each party will indicate in writing whether it
desires to enter into negotiations. If both parties agree, a
written signed document to that effect will be sent to the
respective national level representatives and negotiations may
proceed. Supplemental agreements must conform to the provisions
of Section 5 of the Duration Article.
Section 5. The parties agree to recognize each other's duly
authorized representatives. At each location, the parties shall
designate an authorized agent. At the Agency and national
levels, the parties shall designate an authorized representative.
All dealings between the parties will take place between the
appropriate authorized representatives unless an authorized
representative designates another individual to act in his or her
place. Understandings reached by unauthorized individuals will
have no force and effect unless approved by the authorized
representative of the parties. The parties will advise each
other of their respective authorized representatives at the local
levels at least annually. The parties will notify each other of
their authorized Agency or national level representative in
writing and such authorization will remain in effect until
revoked.
Section 6. Nothing in this Agreement precludes the Employer, at
its explicit election, from negotiating on the numbers, types,
and grades of employees or positions assigned to any
organizational subdivision, work project, or tour of duty, or on
the technology, methods, and means of performing work.
Section 7. Where appropriate, the parties will negotiate ground
rules for bargaining of issues arising from the operation of this
Article which are at the national level. Where an employee/union
representative's travel would be in the primary interest of the
Government, the payment of those travel expenses may be
negotiated by the parties in ground rules bargaining.
Section 8. In all preparations, negotiations and other
activities arising under this Agreement, the parties will be
aware of their obligation to the public to conduct such
activities in the most efficient and cost effective manner.
Section 9. Existing conditions of employment not in conflict
with law or provision of this agreement will remain in effect.
Section 10. An equal number of local union representatives as
management representatives shall be authorized official time
while engaged in local negotiations.
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ARTICLE 46
DURATION
Section 1. This Agreement shall remain in full force and effect
for three (3) years from the date of approval by the Agency Head
or designee and may be extended in one (I) year increments
thereafter.
Section 2. Either party may reopen this agreement after eighteen
(18) months from approval by the Agency Head or designee. The
parties desiring to reopen the Agreement will notify the other
party in writing not less than sixty (60) days but not more than
ninety (90) days in advance by presenting written proposals. The
reopening will be limited to six (6) articles in this agreement
by each party [a total of twelve (12) articles].
Section 3. If either party desires to renegotiate this agreement
upon termination, it will notify the other party in writing not
less than sixty (60) days but not more than ninety (90) days
prior to the expiration date of the agreement (or anniversary
date if the agreement has been extended). In the event neither
party request negotiations, the agreement will be automatically
extended for one (l) year.
Section 4. The Employer will provide a copy of this Agreement to
all bargaining unit employees. Employees entering on duty after
the initial distribution will be informed of the Union's
exclusive recognition and provided a copy of this agreement.
Section 5. It is understood that any local level supplemental
agreement, understanding, or condition of employment must comply
to the terms and conditions of this agreement and may not
conflict with this agreement except by the express, written
consent of the parties to this agreement. Local level
supplemental agreements, understanding or conditions of
employment will have the same duration as this agreement and will
expire on the expiration date of this agreement unless this
agreement is extended under the provisions of this article.
Section 6. The Union will be provided copies of the Agreement as
follows: ten (10) copies to the National Office; one hundred
(100) copies to the National Level Representatives; and fifty
(50) copies to each Local. The Union will provide the Employer
with the names and mailing address of the individuals authorized
to receive the copies.
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APPENDIX
PERFORMANCE MANAGEMENT SYSTEM (PMS)
FOR GENERAL SCHEDULE (GS)/PREVAILING RATE EMPLOYEES
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United States
Environmental Protection 1991
Agency
Administration and Resources Management (PM-224)
Performance
Management 3151
PERFORMANCE MANAGEMENT SYSTEM (PMS)
FOR GENERAL SCHEDULE (GSyPREVAUJNG RATE
EMPLOYEES
THIS ISSUANCE SUPERCEDES THE
JULY 31, 1981 VERSION
PREPARED BY THE POLICY, RESEARCH AND
DEVELOPMENT DIVISION
OFFICE OF HUMAN RESOURCES MANAGEMENT
WASHINGTON. DC 20460
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PMS MANUAL FOR OS/PREVAILING RATE EMPLOYEES 3151
TABLE OF CONTENTS
CHAPTER I - Introduction
PAGE
NUMBER
Background 1-1
Definition of Performance Management 1-2
Purpose of the Performance Management System 1-2
General Policy T,,,T 1-3
Evaluation Strategy T ........ 1-3
Coverage 1-4
Definitions __.« „ ...„.„. . 1-4
Timetable 1-8
CHAPTER n - Performance Management System
Performance Planning 2-1
Requirement for Establishing Performance Agreements 2-1
Performance Evaluation 2-2
Performance Reinforcement. .~........ . ... . _^_.. . . 2-9
CHAPTER in • Performance Management System Compensation
Compensation Principles 3-1
Funding Compensation 3-1
General Increase Decisions , 3-1
Within Grade Increase Decisions . ..^... .... 3-1
Quality Step Increases 3.4
Performance Awards 3.4
Superior Accomplishment Awards 3-5
Special Act Awards 3.5
CHAPTER IV - Linkages Between PMS and Other Personnel Marten
Linkages Between PMS and Other Personnel Decisions 4-1
Privacy Protections 4-1
Employee Appeal and Grievance Rights 4-2
Documentation and Records Maintenance 4.3
APPENDDC A - EPA Performance Agreement, Appraisal and Certification
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PMS MANUAL FOR OS/PREVAILING RATE EMPLOYEES 3151
(3/31)
CONTENTS OF CHAPTERS
CHAFiEK TITLES CHAPTER
NUMBERS
INTRODUCTION TO THE EPA PERFORMANCE MANAGEMENT SYSTEM
FOR OS/PREVAILING RATE EMPLOYEES 1
PERFORMANCE MANAGEMENT SYSTEM-
PERFORMANCE MANAGEMENT SYSTEM COMPENSATION 3
LINKAGES TO OTHER PERSONNEL DECISIONS AND
OTHER PERSONNEL MATTERS
APPENDIX A - EPA Performance Agreement
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PMS MANUAL FOR OS/PREVAILING RATE EMPLOYEES 3151
(3/91)
CHAPTER I - INTRODUCTION TO THE EPA PERFORMANCE MANAGEMENT SYSTEM
FOR GS/PREVAILING RATE EMPLOYEES
L BACKGROUND.
a. On March 11,1986, the Office of Personnel Management (OPM) issued final regulations changing
the Performance Management System (PMS) for General Schedule (GS) and Prevailing Rate employees.
b. Agencies are required to develop Performance Management Plans which meet the requirements
of the following statutory authorities, regulatory citations, and other appropriate authorities:
Performance Appraisal 5 U.S.C, Chapter 43, and 5 CFR,
Part 430
Performance Awards 5 U.S.C, Chapter 45, and 5 CFR,
Part 430, Subpart E
Superior Accomplishment Awards 5 U.S.C, Chapter 45, and 5 CFR,
Pan 451, Subpart A
Within-Grade Increases 5 U.S.C 5335 and 5304, and 5 CFR,
Pan 531, Subpart D
Quality Step Increases 5 U.S.C 5336 and 5 CFR, Pan 531,
Subpan E
Reduction in Force 5 U.S.C 3502 and 5 CFR 351.504
Employee Performance Records 5 U.S.C. 552a, and 5 CFR, Pan 293,
Subpan D
c To meet these requirements and to strengthen its overall management of human resources, the
Environmental1 Protection Agency built its Performance Management System on the belief that people are
most likely to perform effectively when:
(I) They clearly understand what is expected of them;
(2) They participate in setting their own performance objectives; and
(3) They know how their objectives relate to unit project plans and Agency goals and
objectives.
d. The benefits of this system include:
(1) Increased communication between supervisor and employee;
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PMS MANUAL FOR GS/PREVAILING RATE EMPLOYEES 3151
(3,9:
(2) Greater individual effectiveness
(3) Greater organizational effectiveness; and
(4) An established basis for making personnel decisions and rewarding effective performance.
2. DEFINITION OF PERFORMANCE MANAGEMENT. Performance management is a systematic
process by which managers at all levels of an organization blend together basic management functions, such
as program planning or management-by-objectives systems, with performance, pay, and awards systems, for
the purpose of improving individual and organizational effectiveness in the accomplishment of the Agency's
mission or goals.
3. PURPOSE OF THE PERFORMANCE MANAGEMENT SYSTEM.
a. EPA's Performance Management System for GS/Prevailing Rate employees (also referred to as
PMS employees in this guidance) consists of three inter-locked stages:
(1) Performance planning;
(2) Performance evaluation; and
/
(3) Performance reinforcement.
The System is designed to evaluate performance in relation to performance standards v.-.
are set by first-level supervisors with input from employees, and to provide a basis for making pcrsonnc.
decisions.
b. The purpose of the System is to provide management with a positive, continuous Human
Resources Management system which includes:
(1) Communicating and clarifying performance expectations through effective performance
planning;
(2) Identifying individual accountability for the accomplishment of organizational goals and
objectives;
(3) Integrating performance planning with other management processes of the Agency,
(4) Evaluating individual and organizational accomplishments;
(5) Providing support for performance improvement and the opportunity for greater tangible
rewards for high quality performance; and
(6) Building individual development and performance improvement objectives back into the
performance planning cycle.
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PMS MANUAL FOR GS/PREVAUJNG RATE EMPLOYEES 3151
(3/91)
c. This document provides operating guidance on using performance appraisal decisions as a basis
for adjusting base pay and determining performance awards and training, and for reassigning, promoting,
reducing in grade, retaining and removing employees. Clear linkages between performance appraisal results
and individual personnel actions are discussed in detail in Chapter IV.
4. GENERAL POLICY.
a. It is the policy of the Environmental Protection Agency to establish a comprehensive Performance
Management System which will link step increases and performance awards directly to performance appraisal
decisions in accordance with Federal law and OPM regulations. All aspects of the Performance Management
System will be applied consistent with this policy.
b. All Agency managers, supervisors, and PMS employees will receive intensive training and updated
information on the Performance Management System as it is implemented. Thereafter, they will be kept
informed of the operation of the system by way of general orientation sessions for new employees,
incorporation of PMS information into formal training courses for new employees, and by newsletters and
other Agency communications.
5. EVALUATION STRATEGY.
a. The overall operation and effectiveness of PMS will be assessed at least annually. Specifically,
each Human Resources Office will complete three types of evaluation reviews in a three year period, one
type per year. The purpose of the PMS portion of each review will be to assess the effectiveness of the
Performance Management System and to obtain evaluative data which will be used to determine its
effectiveness, the need for refinement, modification, or other improvements in the System.
b. The type, purpose, and reporting requirement for each review are as follows:
TYPE SUBJECT COVERED REPORTING
REQUIREMENT
HRME On-Site Review On-site review of PMS Summary of findings with
actions and processes recommendations for
including payfrang actions, improvements transmitted
review of performance from Director of OHRM to
agreements, performance Human Resources Officers
appraisals, and performance- (HRO's). HROs review
based personnel actions. summary and respond to
Director of OHRM with
follow-up action plan.
Personnel Program HRO reviews effectrvness of Report of findings developed
Self-Evaluation the PMS program based on by HRO and submitted to
evaluation guide issued by director of OHRM for
the Agency Personnel appropriate follow-up action.
Management Evaluation
Staff.
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PMS MANUAL FOR GS/PREVAILING RATE EMPLOYEES 3151
(3/91)
(Confd)
TYPE SUBJECT COVERED REPORTING
REQUIREMENT
Personnel Office HRO completes self- HRO reports findings with
Effectiveness; Self-Assessment assessment review to recommendations for
Review determine effectiveness of improvements to Director,
Humsn Resources Offices OHRM.
functions based on standards
established by EPA's
Personnel (Management
Evaluation Staff.
& COVERAGE This guidance covers all employees whose positions are not included in the Senior
Executive Service (SES) or covered under the Performance Management and Recognition System (PMRS),
except for employees who are reasonably expected to serve with the Agency for less than 120 days irx^a
consecutive twelve-month period; and employees occupying positions filled by Noncareer Executive
Assignments.
7. DEFINITIONS.
a. ACCEPTABLE LEVEL OF COMPETENCE, fully Successful' performance by an employee
of the duties and responsibilities of his or her assigned position. Performance at this level warrants
advancement in the employee's rate of basic pay to the next higher step of the grade of his or her position.
The employee's most recent rating of record must be at least "Fully Successful.*
b. APPRAISAL The act or process of reviewing and evaluating the performance of an employee
against written performance standard(s). This includes oral and written progress reviews.
c. APPRAISAL PERIOD. The period of time established by this appraisal system for which an
employee's performance will be reviewed, and or which a rating of record will be given. The appraisal
period is generally the fiscal year, except as specified elsewhere in this guidance.
d. APPROVING OFFICIAL The individual with the authority to approve the contents of the
performance agreement, the performance appraisal and rating of record, appropriate rewards and other
personnel decisions. The approving official is generally the second level supervisor.
e. ASSUMPTION. A known factor over which an employee has little, if any, control, but which
might exert a significant impact on the employee's performance or ability to achieve an objective. These
factors, which might legitimately and significantly influence the employee's ability to perform, should be
considered by the rating official in assessing performance. They are listed under the Assumption heading
on Section E of the Performance Agreement, Appraisal, and Certification form.
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t CONTRIBUTION. An accomplishment achieved through an individual or group effort in the
form of a suggestion, an invention, or a special act or service in the public interest connected with or
related to official employment, which contributes to the efficiency, economy, or other improvement of
Government operations, or achieves a significant reduction in paperwork.
|- CRITICAL JOB ELEMENT fCJEV A component of a job consisting of one or more duties and
responsibilities which contribute toward accomplishing organizational goals and objectives and which is of
such importance that "Unsatisfactory* performance on the element would result in "Unsatisfactory*
performance in the position.
h, INTANGIBLE BENEFITS. Benefits to the Government which cannot be measured in terms of
dollar savings.
i MEASURE That pan of the performance standard which expresses how a stated performance
objective is to be achieved at each level of performance, in terms of quantity, quality, timeliness, and/or
manner of performance.
j. MIDYEAR REVIEW. A review of the employee's progress toward achieving performance
objectives. The purpose of the review is to discuss performance accomplishments to date, to determine
the need for adjusting the Performance Agreement, to develop a plan of action for improving performance
levels where appropriate, and to discuss career development The midyear review occurs in April.
k. MINIMUM APPRAISAL PERIOD. The minimum appraisal period consists of 90 calendar days
under the same approved performance agreement
L OPPORTUNITY PERIOD. The period of time given by management to an employee whose
performance is "Unsatisfactory* to provide the employee with a reasonable opportunity to demonstrate
acceptable performance as required in 5 U.S.C 4302 a.(b)(6).
m. PERFORMANCE An employee's accomplishment of assigned duties as specified in the Critical
Job Elements of the employee's position.
B, PERFORMANCE AGREEMENT. That pan of the Performance Agreement, Appraisal, and
Certification document that contains the employee's Critical Job Elements and performance standards.
o. PERFORMANCE AGREEMENT. APPRAISAL. AND CERTIFICATION. The document which
is used to record the events of the appraisal period. It includes the employee's Critical Job Elements,
performance standards and signatures indicating that CJEs and standards have been approved and
communicated to the employee, signatures indicating that the midyear review and annual appraisal discussion
have taken place; and the calculation, record, and approval of the rating of record.
p. PERFORMANCE AWARD. A performance-based cash payment to an employee based on the
employee's rating of record. A performance award does not increase base pay.
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q. PERFORMANCE IMPROVEMENT PLAN fPIPl A written document prepared by the first
level supervisor to help an employee improve performance that is below the "Fully Successful* level. The
PIP identifies areas of Minimally Satisfactory or Unsatisfactory performance and provides information on
how the supervisor will help the employee improve performance to a satisfactory level.
r. PERFORMANCE MANAGEMENT PLAN. The description of the Agency's methods to integrate
performance, pay, and awards with its basic management functions for the purpose of improving individual
and organizational effectiveness in the accomplishment of the Agency's mission and goals.
s. PERFORMANCE OBJECTIVE. That part of the performance standard which states a specific
result expected of an employee in the performance of job responsibilities.
L PERFORMANCE STANDARD. A statement of the expectations or requirements established
by management for a Critical Job Element A performance standard includes a statement of the objective
or output and a measure, which includes, but is not limited to, factors such as quality, quantity, timeliness,
and manner of performance.
u. PROGRESS REVIEW. A review of the employee's progress toward achieving the performance
standards. It is not in itself a rating. A midyear review is a progress review.
v. RECOMMENDING OFFICIAL. The immediate supervisor who prepares the performance
agreement with input from the employee and initially recommends the proposed appraisal and summary
rating to the approving official. A Recommending Official may also make recommendations to t-r
Approving Official about performance awards and other personnel actions.
w. RATING OF RECORD. The summary rating, under 5 U.S.C 4302; required at the end of the
appraisal period. This guidance also specifies other special circumstances requiring a rating of record, e.g.,
the rating required at the end of an opportunity period.
x. SPECIAL ACT OR SERVICE A contribution or accomplishment in the public interest which
is:
(1) A non-recurring contribution either within or outside of an employee's job responsibilities;
(2) A scientific achievement; or
(3) An act of heroism.
y. SUMMARY RATING. The written record of the appraisal of each Critical Job Element and
the assignment of a summary rating level. A summary rating is prepared as pan of the annual appraisal
process. The rating of record is a combination of the final summary rating and any other summary ratings
prepared during the appraisal period. A summary rating is prepared during the year when an employee or
supervisor changes jobs, or the employee completes a detail These interim summary ratings do not
supersede the previous rating of record.
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z. TANGIBLE BENEFITS. Benefits or savings to the Government that can be measured in terms
of dollars.
aa. UNSATISFACTORY PERFORMANCE. The term in EPA's System that equates to
'Unacceptable' performance as defined in 5 U.S.C 4301(3). When an employee's performance is rated
'Unsatisfactory* on one or more Critical Job Elements, the rating of record must be 'Unsatisfactory,'
regardless of the rating on other elements or total numerical rating. An employee is erven an opportunity
to improve Unsatisfaaorv performance to at least the "Minimally Satisfaaorv' level. If performance does
not improve, the employee may be reassigned, demoted, or removed unless the opportunity period is
extended.
ab. WEIGHT. A number of points assigned to each objective that reflects .its relative imponance
to the whole. When added together, the weights for all objectives must equal 100 points.
8. TIMING OF EVENTS IN THE APPRAISAL PERIOD. The Agency appraisal period begins
October 1 and ends September 30:
CHANGES IN PERFORMANCE EXPECTATIONS
• Communicated to employee
,-
PERFORMANCE AGREEMENT
• Drafted by the employee
* Reviewed and revised by the supervisor
• Approved by second level supervisor
4 Copy provided to employee
MIDYEAR PROGRESS REVIEW
4 Supervisor/employee discussion of employee's performance
and career development and review/update of employee's
performance agreement.
PERFORMANCE APPRAISAL
4 Annual appraisal of employee's performance agarst
performance standards and assignment of a rating of record
by the Approving Official
4 Supervisor communicates approved rating of record to
employee during appraisal interview
ORIGINAL, COMPLETED PERFORMANCE AGREEMENT,
APPRAISAL AND CERTIFICATION FORM SUBMITTED TO
HUMAN RESOURCES OFFICE.
TIMEFRAME
By October 31 (in the
appraisal interview)
Within 30 days of the
appraisal interview but
no later than
November 30
April 1 - April 30
By October 31
By November 30
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CHAPTER II - THE PERFORMANCE MANAGEMENT SYSTEM
EPA's Performance Management System consists of three interlocked stages:
(1) Performance planning;
(2) Performance evaluation; and
(3) Performance reinforcement.
L PERFORMANCE PLANNING. The performance planning phase occurs at the beginning of the annual
performance period and normally coincides with the beginning of a fiscal year. During this time, employees
and their immediate supervisors develop the official Performance Agreement.
2. REQUIREMENT FOR ESTABLISHING PERFORMANCE Afi^fPMHNTS. As a general rule,
employees covered by this plan must have approved Performance Agreements within 30 days of the previous
year's annual appraisal interview, but no later than November 30, or within 30 calendar days of appointment
or other position change. Generally, employees draft Performance Agreements, although supervisors are
responsible for seeing that the Agreement is prepared and approved within the 30 day limit. Performance
Agreements must be approved by management In cases where an official position change does not occur,
or does occur, but for a period of less than 120 calendar days, (i.e., details or temporary promotions of less
than 120 calendar days), employees and their supervisors should not develop new Performance Agreements,
but should modify present Performance Agreements to include temporary work assignments.
Performance planning includes the following basic steps:
a. The supervisor communicates organizational goals and objectives, as well as his/her performance
expectations to employees when they come on-board and during the annual appraisal interview. These
organizational goals/objectives and performance expectations will establish and shape the scope, direction,
and emphasis for the subsequent performance period.
b. Before drafting the Performance Agreement, the employee should consider the supervisor's
Performance Agreement and stated organizational goals and objectives, the supervisor's performance
expectations, the employee's own position description, the organization's functional statements, and other
relevant sources to draft the Critical Job Elements. The Performance Agreement contains Critical Job
Elements (CJEs) and performance standards, which are work results that flow logically from each CJE. The
CJEs define the major functions and responsibilities of the position that are so important that unsatisfactory
performance on any CJE requires an employee to improve immediately in order to be retained in the
position. Normally, positions will have 4-7 CJEs. Performance standards are results-oriented. Standards
consist of an objective specifying the commitment or accomplishment to be achieved during the performance
period and written measures, or indicators of "Outstanding," "Fully Successful," and "Unsatisfactory"
performance of the objective. The measures are written in terms of quality, quantity, timeliness and manner
of performance. Normally, employees will have 6-10 performance standards. Employees assign a weight to
each standard to reflect its relative priority. Weights should have a value no less than 10. All weights must
total 100.
c. The employee and the supervisor discuss the content of the performance agreement and make
necessary changes to clarify expectations. The agreement must be thoroughly understood by both parties.
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Supervisors are responsible for final approval of all Critical Job Elements, performance standards and
weights. When inconsistencies are identified between proposed Critical Job Elements and the duties and
responsibilities of the employee's position description, the supervisor requests assistance from the Human
Resources Office to resolve those inconsistencies while proceeding with the performance planning process.
d. The approving official, normally the employee's second-level supervisor, reviews the final
Performance Agreement for fairness, equity and consistency across the overall organization and approves it
in Section A. of the Performance Agreement, Appraisal and Certification Form (EPA 3115-24). The
supervisor and the employee also sign in Section A. to indicate the agreement has been discussed. The
immediate supervisor maintains the original of the agreement in the Employee Working File and gives the
employee a copy.
e. The Administrator, the Deputy Administrator, Associate Administrators, Assistant Administrators,
the General Counsel, the Inspector General, and Regional Administrators shall be the Approving Officials
on Performance Agreements of employees reporting directly to them.
3. PERFORMANCE EVALUATION. The performance evaluation phase consists of two major parts:
performance tracking and performance appraisal.
a. Performance tracking is the on-going, informal observation and assessment of performance during
the performance period. The assessment begins the day the objectives are set and continued throughout the
year. Tracking is done by both the employee and the supervisor against the performance objectives.
Tracking provides an opportunity to: discuss progress toward objectives; provide for supervisory feedback;
and add, delete or modify standards as required. It provides time for discussion and feedback of
performance achievement, or lack of it, and suggestions for improvement During this phase the following
aspects must be considered:
(1) Since performance objectives are totally results-oriented, in progress tracking during the
course of the year is extremely difficult unless an on-going vehicle is available to assist the supervisor and
the employee in predicting achievement of the objective, adjusting to or planning for unfavorable situations,
and identifying the need for supervisory guidance and assistance in overcoming barriers to success. One such
vehicle already available to the supervisor and employee is the organization's existing work planning process.
The concept is the same whether the process calls for work plans, action plans, or progress review plans.
By adapting these plans to provide for identification of individual employee assignments where necessary,
the employee can identify those action steps needed to achieve the end objective and the guideline
completion dates, or checkpoints, related to those individual action steps. Using this process, the employee
receives built-in motivation and feedback from the action plan itself, as action steps are completed on time,
early, or late. Furthermore, the supervisor can quickly and regularly assess the employee's degree of
progress toward objectives and can easily record observations or significant circumstances in the
'performance highlights* section of the performance standards forms. These notations may be used at the
end of the performance year as justification for the rating assigned to the performance objective. Lastly,
the action plan process will quickly assist both the supervisor and the employee in determining when and
how to change the Performance Agreement
(2) Continuous face-to-face communication between the supervisor and the employee is an
essential pan of supervising and almost always occurs in some fashion during the daily work routine.
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Performance tracking, however, demands a more structured approach to periodic progress reviews which
focus on the employee's Performance Agreement and action plans, rather than on daily task assignments and
recent crisis situations. For this reason, employee progress reviews should be incorporated in other
organizational program review processes. Although quarterly progress reviews are strongly encouraged
because they are the most beneficial and timely, supervisors unable to condua quarterly reviews must, ai
the minimum, condua a midyear progress review with each employee in April The purpose of the midyear
progress review is to discuss performance highlights to date, to determine the need for adjusting action plans
and/or the Performance Agreement itself, to develop a plan of action for improving performance levels
where appropriate, and to discuss career development needs. Since midyear progress reviews are required
for each employee, supervisors and employees must sign and date the space designated 'Midyear Review"
located in Section A of the Performance Agreement, Appraisal and Certification Form (EPA Form 3115-24).
The signatures only indicate that the performance standards have been reviewed and discussed by both the
employee and supervisor. The midyear review is an in-progress tracking review and it does not result in
a rating of record.
(3) The Performance Agreement is meant to be a "living document,* subject to change in order
to remain meaningful; but at the same time, it must represent a firm commitment to achieving results.
Therefore, changes should be made in cases of: organizational and/or job changes affecting Critical Job
Dements; major changes in operating plans, reprogramming, legislative, and/or court mandates; or
unforeseen, uncontrollable events preventing successful performance. These changes may require: adding,
deleting, or revising Critical Job Elements, performance objectives, and measurement criteria; revising
weights to reflect changes in priorities; or decreasing or extending measures of quantity, quality, timeliness
or manner of performance. Pen and ink changes are acceptable but the change must be signed and dated
by the employee and the immediate supervisor. The supervisor is responsible for notifying the Approving
Official of the change and the reasons for it.
b. Performance Appraisal is the aa or process of reviewing and evaluating the performance of an
employee against the performance standards, which results in the assignment of a rating of record. The
Agency's minimum appraisal period is 90 calendar days in a position covered by this plan.
(1) Performance Period.
(a) The official performance appraisal covers the performance period
Oaober 1 - September 30 and normally occurs annually in October for all employees. The official rating
of record given in October serves as the basis for determining performance awards and subsequent
adjustments to base pay throughout the year, e.g., within-grade increases, quality step increases.
1 Generally, only those employees who have completed the minimum appraisal
period in a position covered by this plan and have approved CJE's and standards, will be evaluated in
Oaober. If this basic acquirement is not met for the current position, the rating of record must be based
on "split appraisals' for all covered positions held during the performance period. [See (b) below.]
2 Employees who have not served the minimum appraisal period by October,
can be evaluated at the end of 90 days in a covered position.
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3. During the appraisal year, supervisors must prepare summary ratings in
'special circumstance* situations. Summary ratings provide information on performance achievements.
These ratings do not supersede the previous year's rating of record given in October, however they are
factored into the preparation of the rating of record in the coming year.
(b) Employees who have served in several jobs covered by this plan or under several
different supervisors during the performance period receive "split appraisals." The supervisor of record at
the time of the annual appraisal is ultimately responsible for evaluating the employee's performance during
the entire performance period. The supervisor is responsible for using any appropriate means to keep
performance agreements current and accurate and to obtain the performance data required to accurately
assess the employee's performance. Supervisors must follow the guidelines below for split appraisals.
1 When an employee permanently changes positions, the losing supervisor
must prepare a summary rating of the employee's performance if the employee has served in the position
for 90 days or longer under an approved performance agreement. A summary rating of performance consists
of narrative highlights and a numerical rating for each standard and a completed Appraisal Worksr.tr.
(Section C of EPA Form 3115-24, Performance Agreement, Appraisal and Certification). This should be
done within 30 days of the employee's departure. The original summary rating goes to the new supervisor
with a copy to the employee. (See specific instructions in Chapter IV.) Summary ratings do not require
an employee self-assessment or higher level review and approval For periods of performance less than the
%-day minimum appraisal period the supervisor should provide narrative performance highlights only. At
the conclusion of the appraisal cycle, the supervisor of record should factor the summary rating into the
annual rating of record. This rating should reflect the relative amount of time spent under each diffc-tr
set of elements and standards during the year.
2 Supervisors can modify the employee's existing Performance Agreement to
incorporate the elements and standards of both the previous and the present positions, making the necessary
related changes in weights. If this approach is used, the changes must be communicated to the employee
and the employee must have a reasonable amount of time to perform under the new agreement before any
appraisal occurs.
3 When supervisors permanently change jobs, they should prepare summary
ratings for their employees following the guidelines in 1 above. Since preparation of a summary rating is
not always possible when a supervisor leaves, higher-level management should provide for contingencies by
assuring that all supervisors maintain adequate supervisory notes of performance to allow compilation by
a new supervisor of a rating of record.
4 The supervisor may gather performance data from the employee and from
other appropriate sources such as operating plans, tracking systems, etc This data serves as supporting
information for the supervisor's official assessment of performance,
(2) Requirements for Appraising "Special Circumstance" Employees.
(a) Details and Temporary Promotions of 120 Days or More. When an employee
is detailed or temporarily promoted within the Agency for a period which is expected to last 120 calendar
days or longer, Critical Job Elements and performance standards covering the temporary work assignment
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must be developed and included in the employee's Performance Agreement The supervisor for the detail
or temporary promotion is required to set Critical Job Elements and performance standards covering the
temporary work assignment in place as soon as possible, but no later than thirty calendar days after the
beginning of the assignment. The supervisor for the detail or temporary promotion is responsible for (1)
evaluating the employee's performance against these Critical Job Elements and performance standards; and
(2)providing a summary rating to the employee's supervisor of record at the end of the temporary
assignment. At the conclusion of the appraisal period, the supervisor of record bases the recommended
rating of record on summary ratings and/Or information on performance in all covered positions held during
the appraisal period. The rating of record should reflect the relative period of time spent in each position.
(b) Transfers to a New Agency. When an employee moves to a new agency after
having served the 90-day minimum appraisal period in positions covered by this Plan, the losing supervisor
must evaluate the employee's performance, prepare a summary rating, and forward it to the Human
Resources Office. Among other requirements, the Human Resources Office then files the summary rating
in the employee's Employee Performance File (EPF) before transferring it to the new agency [refer to
Chapter IV, para. 4.d.(3)].
(c) Transfers to EPA. When an employee transfers to an EPA position from a
position in another agency, and the employee has served in the other agency for the 90-day minimum
appraisal period, that agency normally prepares and transfers a summary rating. When the summary rating
is present, the EPA supervisor will consider it in the employee's final rating of record. When the EPA
supervisor cannot give the employee a rating of record as required by this plan (i.e., the employee has not
served the 90-day minimum appraisal period in an EPA position), the supervisor will extend the rating
period for the period of time necessary to allow the employee to complete the 90-day minimum appraisal
period. After the employee has completed the 90-day minimum appraisal period in the EPA position, the
supervisor prepares a rating of record based on EPA service and the transferred summary rating. The rating
of record should reflect the relative period of time spent in each position during the appraisal period. If
the summary rating is not transferred to EPA, the EPA Human Resources Office shall contact the losing
organization in an attempt to obtain it
(d) Details Outside of EPA - In cases where employees are detailed, EPA must make
a reasonable effort to obtain performance information from the outside organization. This information
shall be considered in deriving the employee's next rating of record.
1 If the employee has served in EPA for the 90-day minimum appraisal
period at any time during the appraisal year, the employee must be rated by the supervisor of record at the
end of the appraisal period. The rating of record shall take into consideration performance appraisal
information obtained from the outside organizations.
2 If the employee has not served in the Agency for the 90-day minimum
appraisal period, but has served for the 90-day minimum appraisal period outside of EPA, the EPA
supervisor must make a reasonable effort to prepare a rating of record based on performance information
obtained from the outside organization.
(e) EPA Employees on I.P.A Assignment EPA employees on Intergovernmental
Personnel Act (LP.A.) assignments may receive a rating of record based on a combination of their I.P.A,
and EPA service or solely on the basis of their LP-A. performance if they did not work at EPA during the
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appraisal year, provided that certain conditions are met. If all of the following conditions are not met by
the eod of the appraisal period, the I.P-A. assignee can be rated at the end of 90 days under an approved
agreement:
1 Critical Job Elements and performance standards for the LP.A. assignment
were approved by the EPA supervisor-of-record and the appropriate EPA approving official;
2 The employee has had an opportunity to perform under the approved
performance agreement for at least 90 calendar days during the appraisal period; and
3 The I.PA. supervisor supplies a list of accomplishments or performance
highlights, but does not assign a numerical value to any standard or an overall value for the performance.
The EPA supervisor-of-record evaluates the performance information, assigns a value to each performance
standard, and recommends an overall adjective rating of record, which is reviewed and approved by the
appropriate EPA officials.
(f) Appraising Disabled Veterans. The performance appraisal and resulting rating of
a disabled veteran may not be lowered because the veteran has been absent from work to seek medical
treatment.
(3) The Appraisal Process.
(a) The performance appraisal is a process where the employee and the supervisor
independently review the employee's accomplishments against those planned in the Performance Agreemen;
The evaluation will result in a rating on each Critical Job Element and an overall adjective rating. The
supervisor begins the process by asking the employee for either an oral or written self-assessment of specific
accomplishments in relation to the performance objectives and measures. There is no prescribed format for
the employee's self-assessment Supervisors should encourage employees to keep a record of their
performance highlights to prepare for the self-assessment.
(b) The supervisor considers the employee's self assessment as well as his or her own
assessment of the employee's performance in arriving at a recommended value for each performance
standard.
(c) There are five element rating levels used in evaluating accomplishments on each
performance standard and for determining the element rating for each critical element The absence of a
written measure will not preclude the assignment of a rating at any one of the following levels.
1 'Outstanding* represents performance that not only exceeds requirements,
but is exceptional and deserves special commendation. It would be difficult to think of ways in which
performance could have been better. Objectives accomplished at the "Outstanding* level are valued at five
(5).
2 "Exceeds Expectations* signifies that the results achieved are clearly beyond
those that could reasonably be expected, even though it may be possible to think of areas in which
performance could have been even better. Objectives accomplished at the *Exceeds Expectations* level are
valued at four (4).
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2 "Fully Successful' represents that performance which can reasonably be
expected of any employee on the job in order to fully and adequately achieve assigned responsibilities.
Objectives accomplished at the Fully Successful* level have a value of three (3).
4 "Minimally Satisfactory* indicates that perfonnance is less than 'Fully
Successful* and improvement is expected. Objectives accomplished at the "Minimally Satisfactory" level are
valued at two (2). When performance is rated at this level a Perfonnance Improvement Plan (PIP) should
be implemented to help the employee improve performance to the Fully Successful level. Supervisors should
contact the Human Resources Office for assistance.
£ "Unsatisfactory* is the term in EPA's system that equates to "Unacceptable'
performance as defined by law. When perfonnance is rated at this level a Perfonnance Improvement Plan
(PIP) must be implemented to help the employee improve performance to the Fully Successful level.
Supervisors should contact the Human Resources Office for assistance. Objectives rated at the
'Unsatisfactory* level are assigned one (1) point
(d) When there is more than one performance standard for a GTE the rating official
must assign a performance value for each standard and calculate the overall rating for the CJE Using the
Perfonnance Appraisal Worksheet to determine the rating of the CJE, the supervisor: \
i Adds the weights assigned to the performance standards, pertaining to the
Critical Job Element;
2 Adds the values for the component standards (weight times the numerical
rating assigned to each standard);
3 Divides the values by the weights to arrive at an average numerical rating
of 1 through 5; and
4 Converts the numerical rating for the Critical Job Elements to a summary
rating according to the following scale:
4.5 up to and including 5.0 = "Outstanding"
4.0 but less than 4.5 « "Exceeds Expectations"
3.0 but less than 4.0 « "Fully Successful"
2.0 but less than 3.0 - "Minimally Satisfactory"
1.0 but less than 2.0 - "Unsatisfactory"
If the Critical Job Element rating is "I" (Unsatisfactory), overall performance is Unsatisfactory, regardless
of the value of the other performance standards or the total performance value.
5. For example, an employee has two standards under a particular Critical
Job Element. On the first standard, the employee receives an "Unsatisfactory" rating which has a value of
1. That standard has a weight of IS points, which results in a value for that standard of 15 points. On the
second standard, which has a weight of 10, the employee is rated "Fully Successful" with a rating of 3. The
value of this standard is 30. The total weights for the two standards under this Critical Job Element equal
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25; the total point value assigned is 45. Next, 45 is divided by 25 to arrive at the Critical Job Element value
of 1.8. Using the scale outlined above, this converts to a rating of •Unsatisfactory'1 for that particular
Critical Job Element, and an overall rating of record of 'Unsatisfactory.*
(e) The supervisor uses the following table to convert the total performance value for
all performance standards to a recommended rating of record. A prescribed distribution of rating levels for
employees is prohibited by OPM regulation.
450 up to and including 500 = 'Outstanding*
400 but less than 450 * 'Exceeds Expectations*
300 but less than 400 - 'Fully Successful*
200 but less than 300 « 'Minimally Satisfactory*
100 but less than 200 - "Unsatisfactory*
(f) The supervisor sends the entire Performance Agreement, Appraisal and
Certification package for each rated employee to the Approving Official. The Approving Official reviews
the basis for the recommended rating and any recommended personnel actions or rewards and concurs in
Section B.III of the Overall Performance Appraisal Certification Section. Any change to the total
performance value or the recommended adjective rating must be based on the content of the Performs nee
Agreement. The Administrator, Deputy Administrator, the Inspector General, the Genera! Counsel,
Associate Administrators, Assistant Administrators, Regional Administrators, and Staff Office Directors shall
be the Rating and Approving Officials for employees reporting directly to them.
(g) If the Approving Official changes the recommended rating, he/she must adju^,
tbe rating on individual performance standards and on the Appraisal Worksheet and recalculate the total
value of all of the standards and change the adjective rating, if necessary. Any change must be based on
the content of the performance agreement.
(h) Once the rating is approved, the entire Performance Agreement, Appraisal and
Certification Form is returned to the immediate supervisor. The supervisor schedules and conducts the
appraisal interview with the employee, and communicates the rating of record. The supervisor and employee
also discuss performance expectations in the coming year. Following the interview, the employee signs in
Section B.V. of the Performance Agreement, Appraisal and Certification Form. The signature of the
employee does not indicate concurrence with the rating of record nor does it preclude an employee from
using the Agency's Administration Grievance System or negotiated grievance procedure, to submit objection
to the rating of record.
(i) The supervisor sends the original Performance Agreement, Appraisal and
Certification Form, including the performance standards and any employee comments to the Human
Resources Office for inclusion in the Employee Performance File. The supervisor retains a copy of the form
along with supervisory notes or supporting documentation in the Employee Working File [See Chapter IV,
Section 4.b.(l)(b)J and gives a copy of the form to the employee.
(j) A written rating of record must be given to each employee within 30 days of the
appraisal interview but no later than November 30.
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4. PERFORMANCE REINFORCEMENT.
a. Performance reinforcement begins with the employee's own assessment of performance and
continues throughout the evaluation process. It(inciudes four aspects:
(1) The supervisor's appraisal of the employee's performance, resulting from the supervisor's
consideration of both the employee's own assessment and the supervisor's assessment of the employee's
performance achievements.
(2) The performance appraisal interview between the supervisor and the employee which
communicates the rating of record, the proposed pay and other personnel decisions, (if any), and any
requirements of a Performance Improvement Plan.
(3) Pay and other personnel decisions, which are based directly on the rating of record.
(4) Assistance in helping employees improve performance to the Fully Successful level. Such
assistance may include, but is not limited to: formal training, on-the-job training, counseling and closer
supervision. A Performance Improvement Plan (PIP) and a reasonable opportunity to improve is required
if employee performance falls to the 'Unsatisfactory* level on any Critical Job Element.
Joyce's
b. Performance Improvement Plan fPIP^. A PIP is a document intended to identify an employee's
performance deficiencies, the actions that must be taken by the employee to improve performance, and
provisions for counseling, framing, or other assistance needed to bring performance up to a fully successful
performance level. Placement on a PIP for unsatisfactory performance triggers a formal opportunity period
as required by 5 U.S.C 4302(b)(6). A PIP implemented on the basis of Minimally Satisfactory performance
does not trigger an opportunity period. Employees serving a probationary or trial period following initial
appointment in the competitive service or employees serving temporary limited appointments of one year
or less may be removed from the Federal service without an opportunity period.
(1) A supervisor must initiate a written Performance Improvement Plan as soon as employee
performance on a Critical Job Element and consequently, overall performance, becomes 'Unsatisfactory.'
A supervisor may also implement a PIP when an employee's performance becomes 'Minimally Satisfactory.'
The employee's performance rating must be based on 90 days under the CJE that is rated less than "Fully
Successful'. Generally, PIP's must be in place within IS working days after the employee is informed of
performance that is less than fully successful. A PIP may be initiated at any time during the appraisal year.
A rating of record is not required to implement a PIP if performance falls below the Fully Successful level
in the middle of the appraisal year. The Human Resources Office must be consulted before a PIP is
implemented.
(2) Format of a PIP. A PIP should be in the form of a memorandum from the immediate
supervisor to the employee. A specified beginning and ending date should designate the length of time the
PIP will be in effect (generally a 60 calendar day period); however, the length of the period will depend on
the nature of the position, the performance deficiencies involved, and how long it will take to demonstrate
"Fully Successful* performance.
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(3) Content of a PIP. Each PIP should be geared to the needs and circumstances of the
situation. The tone of the PIP should be factual and constructive. The following information should be
included:
(a) The employee's name, position title, series, grade, and organization location;
(b) The basis for the PIP, e.g., unsatisfactory performance on one or more Critical Job
Elements;
(c) Restatement of the CJE(s) the employee is failing to perform satisfactorily and
a description of how performance was determined to be deficient in relation to the measures of performance.
(d) Reference to previous counselling sessions, if the supervisor has documented
these meetings.
(e) A specific description of the requirements that must be met, in terms of quality,
quantity, timeliness or manner of performance, for work to be judged 'Fully Successful." Numerical criteria
or benchmarks used by the supervisor to interpret the performance standard must also be stated.
(0 A similar explanation of what will be considered 'Minimally Satisfactory" and
"Unsatisfactory* level of work.
(g) Examples of ways the employee can improve performance and a description c
the assistance the employee will receive from the supervisor.
(h) A complete schedule of periodic performance reviews that will be held during
the performance improvement period.
(i) A list of assignments with due dates, or completion dates, if appropriate, and an
indication of the priority of the assignments.
(j) A statement that the employee is expected to maintain at least 'Fully Successful*
performance on the remainder of the CJE's.
(k) Notification that failure to improve performance to at least the 'Minimally
Satisfactory* level on the CJE may result in a change to a lower grade, removal or reassignment, if
applicable.
(4) Implementation of a PIP.
(a) The immediate supervisor signs and dates the PIP and sends it to the second
level supervisor for approval The supervisor notes that a PIP is recommended in the 'Other Personnel
Decisions' section of the Appraisal Worksheet should the implementation of a PIP follow the annual
appraisal.
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(b) The immediate supervisor discusses the approved PIP with the employee. The
employee signs the PIP and is given a copy. The employee's signature on the PIP indicates that he/she
received a copy, and does not signify concurrence. If the employee refuses to sign, the supervisor should
so note on the PIP and date the statement
(c) The immediate supervisor sends a copy of the PIP to the Human Resources Office
along with the original Performance Agreement, Appraisal and Certification package. The PIP will be filed
in the Employee Performance File, and will be destroyed if the employee's performance improves to the
"Fully Successful' level.
(5) Withdrawing or Extending a PIP. A PIP may be withdrawn or extended in situations
such as those described below. In each case, the action should be documented by a memorandum. The
memorandum should be sent to the Human Resources Office to provide notification of the withdrawal or
extension. If the PIP is withdrawn, it will be removed from the Employee Performance File and destroyed.
If extended, the memorandum will be added to the Employee Performance File and will become pan of the
PIP.
(a) A PIP should be withdrawn if the employee is reassigned to a different position
at the same or different grade. The PIP is not continued in effect in the new position.
(b) A PIP may be withdrawn if the employee's perform?nee improves to the Fully
Successful level or above prior to the expiration of the PIP.
(c) A PIP should be removed from the Employee Performance File, if the employee
leaves the Agency.
(d) A PIP may be extended at any time with the approval of the second-level
supervisor.
(6) Expiration of a PIP. If a PIP is not extended or withdrawn by the designated expiration
date, the supervisor must notify the employee in writing the status of his or her performance and take any
of the following applicable steps.
(a) If the employee's performance has improved to a 'Fully Successful' level the
supervisor may prepare a new rating of record if the opportunity period was triggered by an annual
performance rating of 'Unsatisfactory.' The new rating should be sent to the Servicing Human Resources
Office. The supervisor and the employee each keep a copy. The Servicing Human Resources Office will
substitute the new appraisal for the previous rating of record.
(b) If the employee's performance has improved only to the "Minimally Satisfactory*
level the supervisor should continue to provide close supervision and monitor progress to encourage
continued improvement to the "Fully Successful* level
(c) If the employee's performance is 'Unsatisfactory* the supervisor may take action
to reduce-in-grade, reassign, or remove the employee from the present position. The Human Resources
Office must be consulted before taking any action based on unsatisfactory performance.
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(d) An employee will be reduced in grade or removed based on unsatisfactory
performance in accordance with the procedures contained in EPA Order 3110.16, Reduaion in Grade and
Removal Based on Unacceptable Performance, 5 CFR Pan 432, and 5 U.S.C 4303.
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CHAPTER III - PERFORMANCE MANAGEMENT SYSTEM COMPENSATION
I. COMPENSATION PRINCIPLES. Excellence in performance will be recognized by appropriate
incentives, and perfonnance distinctions will serve as the basis for pay decisions. Specifically, an employee's
rating of record will serve as the basis for performance awards as well as all compensation decisions affecting
base pay, except for the general increase.
2. FUNDING COMPENSATION. Funds for general increases, step increases, and performance awards will
be provided from the Agency's budget for Personnel Compensation and Benefits (PC&B).
3- CENmAL INCREASE DECISIONS Employees will automatically receive general increases, as
prescribed by law and regulation.
4. WITHIN-GRADE INCREASE rWIGI/STEP INCREASED DECISIONS.
»• Genera! Schedule Employees.
(I) Eligibility. Employees who occupy permanent positions that are classified and paid under
the General Schedule and who have not reached the maximum step of their grade.
(2) Requirements. General Schedule employees earn a within-grade increase when they meet
the following requirements:
(a) The employee is performing at an acceptable level of competence, i.e., the
employee's most recent rating of record is "Fully Successful' or higher,
(b) The employee has completed the required waiting period for advancement to the
next higher step of the grade for the employee's position; and
(c) The employee has not received an equivalent increase during the waiting period.
(3) Basis for an Acceptable Level of Competence Determination.
(a) An acceptable level of competence determination shall be based on the most recent
rating of record. This determination must have been based on the most recently completed appraisal
(b) When a within-grade increase decision is not consistent with the employee's most
recent rating of record, the supervisor must prepare a new rating of record. The new rating must be
reviewed, approved, and communicated to the employee. The performance period for the new ratine must
be at least 90 days.
(c) If an employee has been reduced in grade because of "Unsatisfactory* performance
and has served in the position at the lower grade with an approved perfonnance agreement for at least 90
days, a rating of record at the lower grade shall be used as the basis for an acceptable level of competence
determination.
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(d) When a current rating of record is unavailable because of transfer from another
Agency or similar circumstances, the supervisor must prepare a rating of record once the employee
completes 90 days of service under an approved performance agreement. The rating must be reviewed,
approved and communicated to the employee and will be the basis of the wjthin-grade decision.
(4) Notice of a Level of Competence Determination.
(a) An acceptable level of competence determination shall be communicated to the
employee in writing as soon as possible after completion of the waiting period or other period upon which
it was based.
(b) When it is determined that an employee's performance is not at an acceptable level
of competence, the negative determination shalhbe communicated to the employee in writing and shall:
i Set forth the reasons for the negative determination and the tasks in which
the employee must improve performance in order to be granted a within-grade increase; and
2 Inform the employee of the right to request a reconsideration of the
.determination.
(5) Delay of an Acceptable Level of Competence Determination.
(a) dause of Delay. An acceptable level of competence determination must be delayed
when either of the following applies:
1 An employee has not performed under an approved performance agreement
in his/her current position for 90 days and has not been given a rating of record for any position within 90
days before the end of the waiting period; or
2 An employee was reduced in grade because of "Unsatisfactory" performance
and has not served in the lower-graded position for at least 90 days.
(b) Actions Following a Decision to Delay. When an acceptable level of competence
determination has been delayed under these circumstances, the following actions apply.
i The employee shall be informed that the determination has been postponed
and that the rating period has been extended to a date 90 days after the date the employee was first told
of the specific requirements for performance at an acceptable level of competence, i.e., placed under an
approved performance agreement
2 An acceptable level of competence determination shall be made upon the
rating of record prepared at the completion of the 90-day appraisal period.
3 If the employee's performance is determined to be at an acceptable level
of competence, the within-grade increase will be granted retroactively to the beginning of the pay period
following completion of the applicable waiting period.
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(6) Withholding a Wiihin-Grade Increase.
(a) An employee whose most recent rating of record is it the Minimally Satisfactory
or Unsatisfactory level, cannot receive i within-grade increase.
(b) If an employee's performance has dropped to the Minimally Satisfactory or
Unsatisfactory level since the last performance rating, then a more current rating of record must be prepared
in order to deny the within-grade increase.
(7) Requests for Reconsideration. When it has been determined that an employee is not
performing at an acceptable level of competence, and is thus not awarded a within-grade increase, the
employee will be afforded access to the procedures established under 5 U.S.C 5335(c) and 5 CFR 531.410
for reconsideration and appeal of a negative determination.
(8) Continuing Evaluation. When a within-grade increase has been withheld, a new raring of
record may be prepared at any time it is to determined that the employee has demonstrated sustained
performance at the fully successful level This new rating will serve as the basis for granting the within-grade
increase. The original of the approved rating is filed in the Employee Performance File in the Human
Resources Office. Whenever a within-grade increase is denied, a new WIGI determination must be made
within 52 weeks following the original eligibility date. A new WIGI determination must be made within
every 52 week period, thereafter, as long as the within-grade increase continues to be denied.
If an acceptable level of competence is achieved at some time after a negative determination.
the within-grade increase will be granted the first day of the first pay period after the acceptable
determination has been made.
(9) Waiver of an Acceptable Level of Competence Determination.
(a) An acceptable level of competence determination shall be waived and a
within-grade increase granted, when an employee has not served in any position for 90 days under an
applicable Agency performance appraisal system during the final 52 calendar weeks of the waiting period
for one or more of the following reasons: 1) Absences that are creditable service in the computation of
a waiting period or periods under 5 CFR 531.406; 2) Paid leave; 3) Receipt of service credit under the
back pay provisions of 5 CFR, Pan 550, Subpart H; 4) Details to another agency or employer for which
no rating has been prepared; or 5) Long-term training.
(b) In such situations, it is presumed that the employee would have performed at an
acceptable level of competence had the employee been performing the duties of the position of record for
90 days under an applicable Agency performance appraisal system.
b. Prevailing Rate System Employees. Prevailing Rate System employees advance automatically to
the next higher step when their ratings of record are 'Fully Successful' or better and they have completed
the applicable waiting period.
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5. QUALITY STEP INCREASES fOSTX
a. Purpose. To recognize outstanding performance by granting faster than normal step increases
b. Coverage. All OS employees.
c. Rating Requirement. A Quality Step Increase may be granted only to an employee whose most
current approved rating of record is 'Outstanding* and whose performance on each critical job eiemeni is
at least at the Fully Successful level
d. Restriction. A Quality Step Increase may not be granted to an employee who has received a
Quality Step Increase within the preceding 52 consecutive calendar weeks.
e. Policy.
(1) A Quality Step Increase shall be based on the employee's most current approved rating
of record. In roost cases this will be the annual October rating.
(2) Quality Step Increases will be processed in accordance with Chapter 4 of the EPA Awards
Manual and approved by the designated Approving Official;
(3) Supervisors should initiate QSI nominations as soon as possible after the rating of record
is approved; and
(4) All employees will be informed, at least annually, of the number of Quality Step Increases
granted during the preceding 12 months.
6. PERFORMANCE AWARDS.
a. Purpose. To recognize and reward high level performance.
b. Coverage. These awards apply to employees defined by 5 U.S.C 2105, except those included in
the Senior Executive Service or covered under the Performance Management and Recognition System.
c. Policy.
(1) A performance award shall be based on the employee's most current approved rating of
record.
(2) Performance awards must be approved by an Approving Official designated in the agency's
Awards Manual
(3) Performance awards will be considered when employees are being rated and ranked under
the Agency's Merit Promotion Plan.
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7. SUPERIOR ACCOMPLISHMENT AWARDS. (Also called Sustained Superior Performance Awards.)
a. Purpose.
(1) To recognize and reward contributions resulting in savings andyor tangible/Intangible
benefits to the Government; and
(2) To motivate employees toward increased productivity and creativity, and to support and
enhance benefits for the Government.
b. Coverage. All employees as defined under 5 U.S.C 2105.
c. Policy.
(1) Superior Accomplishment Awards will be commensurate with employee performance levels
and achievements;
(2) Awards will be justified in writing and approved in accordance with the EPA Awards
Manual;
(3) Superior Accomplishment Awards will be considered when employees are being rated and
ranked under the Agency's Merit Promotion Plan; and
(4) Superior Accomplishment Awards will not be used as a substitute for personnel actions,
pay decisions or any other form of monetary recognition.
d. Program Effectiveness.
(1) All supervisors will be encouraged to identify employee contributions and recommend
awards for them; and
(2) Within the exisitng Personnel, Compensation and Benefits budget, funds will be made
available to grant appropriate monetary awards.
8. SPECIAL ACT AWARDS.
a. Purpose. To recognize a non-recurring contribution either within or outside of job responsibilities,
a scientific achievement, or an act of heroism.
b. Coverage. All employees as defined under 5 U.S.C 2105.
c Policy.
(1) Special Act Awards may be initiated it any time during the year using EPA Form 3130-1,
Recommendation for Monetary Award;
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(2) Special Act Awards will be processed in accordance with Chapter 3 of the EPA Awards
Manual;
(3) Special Act Awards will be considered when employees are being rated and ranked under
the Agency Merit Promotion Plan; and
(4) Special Act Awards will not be used as a substitute for personnel aaions, pay decisions
or any other form of monetary recognition.
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CHAPTER IV - LINKAGES BETWEEN PMS AND OTHER PERSONNEL MATTERS
I
L LINKAGES Bh'l'Wl-'PN PMS AND OTHER PERSONNEL DECISIONS.
a. Training and Career Development. Training and development needs identified through the
appraisal or midyear review process should be considered in determining employee training and career
development opportunities.
b. Rewards. The rating of record will be the significant determinant in granting sustained superior
performance awards and Quality Step Increases. Special Act or Service Awards may be granted for
achievements not covered by the Critical Job Elements and performance standards in the performance
agreement
c Reassignment. Management may reassign employees at any time to meet the operational needs
of the Agency. Reassignment is also an option if an employee's performance on Critical Job Elemem(s)
covered by a PIP, continues to be unsatisfactory at the end of the opportunity period.
d. Promotion. Where a PMS employee occupies a position having promotion potential, jhe
employee's rating of record will play a major role in career promotion decisions. Operational needs of Ihe
Agency must also be taken into account. Employees must have a rating of record of "Fully Successful' or
better, and be rated as "Fully Successful" or better on each Critical Job Element to be recommended for
career promotion. EPA's' merit promotion policy requires that selecting officials consider an applicant's
rating of record in making promotion decisions. Due weight shall be given to awards when rating and
ranking an employee for merit promotion.
e. Reduction in Grade. An 'Unsatisfactory' rating on a Critical Job Element may be a basis for
reduction in grade if an employee fails to improve performance to the "Minimally Satisfactory" level during
an opportunity period. More detailed information is available from the Human Resources Office. See EPA
Order 3110.16, Reduction in Grade and Removal Based on Unacceptable Performance.
f. Reduction in Force CRIFY Linkages between RIF actions and other personnel decisions will be
done in accordance with 5 CFR, Pan 351 and EPA Order 3110.10, Reduction in Force Procedures.
g. Retention During Probationary Period. Reduction in grade or removal of an employee in the
competitive service during the initial probationary or trial period should be processed in accordance with
FPM Chapter 315.
h. Removal. An "Unsatisfactory" rating on a Critical Job Element may be a basis for removal if the
employee fails to improve performance to the "Minimally Satisfactory* level during an opportunity period.
Employees serving under temporary appointments limited to one year or less, and excepted service employees
who have not completed one year of current continuous service, can be removed from the Federal Service
without regard to the provisions of 5 CFR Pan 432.
2. PRIVACY PROTECTIONS
a. As a general rule, an employee's name, present and past position titles and occupational series,
present and past duty stations, present and past grades, and present and past annual salary rates are public
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information and, therefore, are subject to disclosure under the Freedom of Information Act (FO1A). Since
within grade increases, quality step increases, and incentive awards are additional forms of compensation,
the amounts of each are subject to disclosure under FOIA. A list of names, present or past position titles,
present or past duty stations, grades and/oi salaries will not be disclosed if disclosure would reveal other
protectable personal information or where the information is otherwise protected from mandatory disclosure
under FOIA.
b. As a general rule, position descriptions, Critical Job Elements, performance standards, weights,
tnd similar position specific information may be disclosed under FOIA if release would not interfere with
taw enforcement programs or severely inhibit Agency effectiveness. Performance appraisals are generally not
available to the public, and when Critical Job Elements and performance standards are so intertwined with
an individual's performance appraisal, that their disclosure would reveal the appraisal, the Critical Job
Elements and performance standards may be withheld. A list of Critical Job Elements and/or performance
standards may also be withheld if disclosure would reveal other protectable personal information.
c As a general rule, written performance appraisals, including performance highlights, ratings on
individual standards, ratings of record, notifications to the employee that their performance has become
"Unsatisfactory" on a Critical Job Element, employee comments on the rating, performance improvement
plans and supervisory notes on counseling sessions are personal information that is not subject to disclosure
under the Freedom of Information Act
d. Questions on the application of these rules should be addressed to the EPA Office of General
Counsel, Contracts and Information Law Branch or the Office of Information and Resources Management,
Information Management and Services Division.
3. EMPLOYEE APPEAL AND GRIEVANCE RIGHTS.
a. Critical job elements, performance standards, a rating of record, or the granting or withholding
of a cash award or Quality Step Increase may not be appealed to the Merit Systems
Protection Board. However, an employee may file an allegation with the Special Counsel of the Merit
Systems Protection Board if the employee believes a decision or other action taken under this system was
the result of a prohibited personnel practice as defined in 5 U.S.C 2302.
b. The withholding of within-grade increases may be appealed under special appeal procedures,
unless otherwise covered by a negotiated grievance procedure.
c The final determination of Critical Job Elements and performance standards and the awarding or
withholding of a Quality Step Increase, cash award, or honorary recognition are specifically excluded from
coverage by the Agency administrative grievance procedures. See EPA Order 3110.8, EPA Administrative
Grievance System or applicable negotiated agreements.
d. Final performance appraisals and ratings of record are grievable under the Agency's administrative
grievance system, unless covered by a negotiated grievance procedure.
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4. DOCUMENTATION AND RECORDS MAINTENANCE.
a. Documentation.
(1) Chapter II describes the process for assigning a rating of record. Chapter III describes
PMS performance pay and reward processes. This section describes the process for documenting these
decisions.
(2) Official documentation of the rating of record usually consists of the completed
Performance Agreement, Appraisal, and Certification form [EPA Form 3115-24 (Rev. 8-87)] including the
rating of record, the performance elements and standards, any performance highlights and employee
comments. Also included in the official documentation are performance improvement plans prepared as
a result of "Unsatisfactory," performance on a Critical Job Element, and evaluations of performance following
an opportunity period.
(3) The supervisor is responsible for informing the employee of the approved rating of record
at the time of the performance appraisal interview. The Approving Official is responsible for providing
written notification of the rating of record and any resulting personnel and compensation decisions no later
than 30 working days from the appraisal interview. At the minimum, the Approving Official will post, the
rating of record, in Section B. of the Performance Agreement, Appraisal, and Certification form, ^ny
performance pay increase (i.e., WIGI or QSI), and the amount of any performance award in the
•Compensation Decisions' section of the Appraisal Worksheet, Section C of the form/ The Approving
Official is responsible for signing the form and for providing a copy to the employee. A form must be
completed for each employee. All sections of the signed, original form, including the performance standards
on which the rating of record is based, are submitted to the Human Resources Office for inclusion in the
Employee Performance File (EPF).
(4) Approving Officials are responsible for ensuring that the Performance Agreement,
Appraisal, and Certification is documented sufficiently to clarify the basis for the rating. The documentation
requirement may be satisfied by using highly explicit measures in performance standards, by including
performance highlights, by attaching work plans, or by some combination of these. The performance
highlights section must be completed to support ratings of Outstanding performance. This section of the
appraisal should also be completed to supplement documentation that is used to support ratings at other
performance levels.
(5) Normally, sustained superior accomplishment awards and quality step increases are granted
in conjunction with the employee's annual performance appraisal. In this case, the original, completed
Performance Agreement, Appraisal, and Certification form is the only justification needed to support the
award. The Approving Official indicates the amount of the award in the Compensation Decisions section
of the Appraisal Worksheet, and the entire form goes forward for final concurrence and processing in
accordance with local personnel office procedures. If QSI's or performance awards are initiated at other
times during the year, supervisors must submit relevant portions of the employee's current performance
standards and a written justification along with EPA Form 3130-1.
(6) For Special Act or Service Awards, which, by definition, are not based on the current
performance agreement, supervisors and Approving Officials should follow the procedures in the Agency
Awards Manual
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(1) Performance records generated during and at the end of the appraisal cycle will be
maintained in files as defined below.
(a) An Employee Performance File (EPF), will be established in the Human Resources
Office. This file may be in an envelope maintained on the left (temporary) side of the Official Personnel
Folder (OFF), or in a separate file in the Human Resources Office. If the EPF is located in the OFF, it
is withdrawn whenever the remaining contents of the OPF are disclosed. The information maintained in the
EPF is covered by OPM's Government-wide Privacy Act system of records.
(b) Supervisors and managers should maintain an Employee Working File containing
performance-related information on each employee under their supervision. This file is considered pan of
the Employee Performance File System, but may be physically located outside the Human Resources Office.
The information maintained in this file is also covered by OPM's Government-wide Privacy Act system of
records. This file may contain any performance-related material, such as:
I Forms or documents which record the performance appraisal, forms or
documents used by Recommending Officials to recommend personnel actions affecting an employee when
the basis of that action is performance-related;
2 Recommendations for training that are performance-related;
2 Any documentation furnished to support recommended actions and the
Agency's final decision on the matters;
4 Any document used by the Rating Official during the appraisal period
(such as workplans, production records, or other tracking plans);
5 Appraisals of performance and employee potential used for merit promotion
procedures;
6 Copies of Performance Improvement Plans (PIP); and
7 Copies of licenses, certificates of proficiency, or similar documents required
for the position, and any general information about the employee (identification data, experience and
training).
The PMS system does not require that all of the above information be maintained by the supervisor.
However, it does require that, if maintained, it be maintained solely in the Employee Working File.
of one yean
(2) Responsibilities for Record-Keeping.
(a) Supervisors should keep the following in the Employee Working File for a period
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1 The original copy of the signed Perfonnance Agreemem, Appraisal, and
Certification form from the point where the Agreement is signed and approved by all panics. After the
rating of record is approved and communicated to the employee at the end of the year, the supervisor
submits the original of the entire form to the Human Resources Office. The supervisor retains a copy of
the completed Performance Agreement, Appraisal, and Certification form in the Working File for cne year
from the date of the appraisal interview.
2 Any PIP prepared as a result of •Unsatisfactory* performance; and
3. Copies of other performance-related documents described in Section b.(l)(b)
above, which are necessary in the official performance of supervisory duties.
(b) Human Resources Officers officially maintain: The original of the signed and
completed Performance Agreement, Appraisal, and Certification form. This is maintained in the EPF for
a period of three years.
(c) Performance-related information may be retained for longer than the prescribed
retention period when needed for purposes such as responding to grievances, Merit Systems Protection
Board (MSPB) appeals, litigation, or similar processes.
(3) Transfer of Records.
(a) When an employee is reassigned within EPA, transfers to another agency or
leaves government during the appraisal period, the supervisor prepares an interim summary rating {See
Chapter II, Section 3.b.(l)(b)jJ and forwards it to the Human Resources Office with appropriate
documentation supporting the rating.
i When the employee is reassigned within EPA, the losing Human Resources
Office forwards the EPF, the OFF and the interim summary rating to the gaining Human Resources Office.
That office maintains the EPF and OPF and sends the. interim summary rating to the new supervisor for
use in the employee's next appraisal
2 When the employee transfers to another agency or leaves government, their
records are sent to the Human Resources Office in the new agency or the National Records Center,
respectively. All ratings of record three years old or less are removed from the EPF and placed in the OPF
along with the interim summary rating for transfer. The entire Performance, Agreement, Appraisal, and
Certification for the most recent rating of record is included. For all other ratings of record in the three
year period only Sections A and B of the Performance Agreement, Appraisal, and Certification are required.
The remaining EPF documents are purged from Agency files.
(b) EPA Human Resources Offices must ensure that the records of PMS employees
transferring to EPA from other government agencies include ratings of record three years old or less, the
performance agreement on which the most recent rating of record was based, and the employee's interim
summary rating. If these records are missing, the Human Resources Office shall contact the losing
organization in an attempt to obtain them.
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(4) Destruction of Records. Records in the Employee Working File and the Employee
Performance File must be destroyed in accordance with the schedule provided under (3) above. Records
must be destroyed by shredding or burning. See the EPA Records Management Manual for guidance.
(5) Management Access to the Employee Performance File System.
(a) The records maintained in the Employee Performance File system are pan of
the Government-wide Privacy Art system of records and shall be maintained in accordance with the Privacy
Act requirements of the Agency and the Office of Personnel Management Access shall be provided to the
employee and the employee's designated representative. Records may also be disclosed to Agency officials
who have a need for the information in the official performance of their duties. See the Privacy Act
Manual, the Records Management Manual, and personnel management guidance for further information.
(b) All other requests for access to performance-related information will be handled
in accordance with the procedures of the Freedom of Information Aa.
(6) Authority. In accordance with OPM regulations, the Director of OHRM is responsible
for the proper maintenance of the Employee Performance File System. This authority is redelegated to
Human Resources Officers. Human Resources Officers are responsible for ensuring the maintenance of
Employee Performance Files in accordance with the requirements described in this guidance.
4-6
•O US GOVERNMENT PRINTING OFFICE- 1994— 522-761 /81285
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APPENDIX A
Performance Agreement, Appraisal, and Certification
Instructions: Us* Sections A. B. C and D of this form for all performance agreement! beginning
October 1.1987. You need not retype all existing performance standards in the new format, Secnon E
Instead, you can continue to use the existing format for standards that will remain the same. Use the
new format. Section E, when new standards are developed or significant changes are made in existing
standards.
This form is available in automated format. Contact your Servicing Personnel Office for more informa-
tion,
Do Not Remove This Cover Sheet Until the Entire Form Is Placed in the Employee
Performance File in the Servicing Personnel Office.
Security Provisions: Personal information entered on this form, such as performance high*
lights, ratings on individual performance standards, and the overall performance appraisal, is
protected by the Privacy Act. Protected records maintained in office files, on floppy disks, or
in any other manner, must be secured in accordance with the safeguards specified for perfor-
mance records (See 49 FR 36930).
EPA Form 3115*24 (Rev. 8-87) Previous editions are obsolete.
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wEPA
uS environmental Protection Agency
Washington. DC 20460
Performance Agreement
Appraisal and Certification
- _ Name
(Last. First Ml)
"me, Pay Plan, Senes, Graae. Step*
Organization (AA. Olc. Div. Br)
From
rt. sea .
Privacy Act Statement •
Authority; The Information en this term la collected under the Authority of the Civil Servtca Reform Act of 197B. 5 U.S.C. Sec 1101
and ExecutNe Order 12107. CoUactton of your Social Securtty Number M authorized by Executive Oroer 9397.
Effects of Not Providing the Information Requested: Your disclosure of the information is voluntary, but your failure to oo so means mat
management will provide the information without input from you.
Purposes and Routine Uses: This Information is used to define the critical job elements, performance standards and measures directly
related to your job. It will be used to document your midyear review and final performance appraisal. The information may also D« usto in
connection with selection for and publicizing of cash and honor swards; ether personnel actions based on performance sucn as
reductions-force actions: training decisions; the hmng or retention of an individual or issuance of otner benefits: relevant judicial or
administrative proceedings or law enforcement purposes; personnel research or survey purposes: and negotiated gnevance proceoures
Disclosures may also be made to the MSPB. EEOC. and other Federal agencies for purposes authorized bylaw; to a Congressional ottce
at your request; and to officials of labor organizations when relevant and necessary to their duties of exclusive representation o( f eotrai
employees. This is a summary of the routine uses tor these records. For a tuB description of the routine uses, see 49 PR 36936 (1964).
Confidentiality- Certifications, critical job elements, performance standards. Dtrformanci measures and similar position specific information
may be made available under the Freedom of information Act. Performance highlights, ratings en standards, the rating of record personnel
decisions and otner personal information are prelected by the Privacy Act. This information will be available only to your tmmeciate and
higher level supervisors and to other Agency officials in the exercise of their official duties, for a routine use as set forth m this statement or
as otherwise authorized by the Privacy Act
Security Provisions
Personal information entered on this form, such as performance highlights, ratings on Individual performance standards, and the overall
performance appraisal, is protected by the Privacy Act. Protected records maintained m office files, on floppy disks, or n any oPier manner
must be secured in accordance with the safeguards specified for performance records (See 49 FR 36930).
Section A.
Performance Agreement and Midyear Review Certification*
Sign and date the appropnate block below to certify completion of the events.
. Discussion and/or
approval of the
performance agreement
II. Midyear performance
review and career
development
Oiscussion
' Employee
Signature
Date
Signature
Cua
Supervisor
Signature
Date
Signature
Date
Approving Official
Signature
Date
-
Section B.
Overall Performance Appraisal and Certification
Supervisor i have appraised this employee's performance and prepared a recommended rating.
Name and Title (type or pnnt)
Signature
Date
u. Reviewing Official (SES and PMRS Only) The recommended rating reflects my assessment of the employee's
performance.
Name and Title (type or pnnt)
Signature
Date
111. Approving Official (Al Employees)
I approve the rating of record and related personnel
decisions for this employee.
Name and Tme (Type or pnnt)
Signature
Data
IV. Rating of Record
Outstanding
Exceeds
Expectations
Puffy
Successful
Minimally
Satisfactory
Unsatisfactory
V. Employee
My supervisor and I have discussed my performance for this period in relation to my performance
standards and measures, and mv supervisor h«^ informed me of mv rating of record.
Signature
Data
Comments Attached?
n v« n
Social Security Number
'reviou*
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| section c Appraisal Worksn*. _ .
Emptoyea'a Name
»
Till*. Pay pjan. Oraoe
from A-
Vo
Instructions to Supervisors
1. Calculate • value for each standard by multiplying its weight by the recommended rating.*
2. Add the values for each performance standard to get a totaJ value.*
3. Use the table below to convert the total value to a recommended rating of record.
4. Sign the Appraisal form in Section 8, Overall Performance Appraisal and Certification. Send thi
recommendation on for higher level review and approval.
5. After review and approval by higher level management, conduct the appraisal discussion with the employee.
• if the rating on any standard is "I" (Unsatisfactory), use the columns on the right hand side of the Worksheet
to calculate the overall rating for the CJE to which the standard belongs. To do this, add the values of the
standards in the CJE, and divide by the sum of the weights of the standards for that CJE. H the resulting CJi
rating is below 2.0, overall performance must be "Unsatisfactory" regardless of the total value for all pertormanct
standards. Following approval of an Unsatisfactory rating, supervisors should put a Performance Improvement
Plan in place within 15 working days from the date the rating is communicated to the employee.
Instructions to Reviewing and Approving Officials
1. Review the recommended rating and the performance agreement on which It is based.
2. If you do not agree with the rating for a standard, adjust the rating and value on the individual performance
standard and on the Appraisal Worksheet and recalculate the total value of all of the standards. Change thi
adjective rating on the Worksheet if necessary.
3. Sign in the appropriate block in Section B, Overall Performance Appraisal and Certification.
4. Approving officials assign the rating of record by checking the appropriate adjective rating in Section B.IV.
5. Approving officials are also the final authority on other personnel decisions related to the rating. (For PMRS
employees, rating and other personnel decisions (except for performance awards) may be delegated to Otfici
Directors. Performance award decisions remain with the AA, RA, IG, or GC and are certified by them through the
PMRS AOP Support System.)
CJE No.
Standard No
Weight x Rating » Value
'"•'•' ' '. • •- *.< "'"<•'• ".. "^"V*?%%s»3ap^*i*iA*--*'<'*>-v'-i s
•-:=•• -^±."--. ;:•-•. .Z-*?*i%X&&: **:-•
Total Value
Conviction of Total Value to M«cemm«nd*d Rating ol Record
Range of Total Values
100-199
200-299
300-399
400-449
450.500
"--' Recommended Ratine of Record DC one)
___ Unsatisiactofy
Minimally Sttisfactory
Fu«y Successful
Exceeds Expectations
Required Only When Rating on a Standard Is *1*
CJE Values / CJE Weights . CJERitmo
•> " ... - " "• '.'•",'' .--'.''•"'
Compensation Decisions
Other Personnel Decisions
EPA Form 3
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Section o Performance Agreement Summary '
Employ**'* N*«*
f
_. - B«-=TT1|ns* Priss
Prom To
List 4-7 critical job elements and the performance objectives/standards related to each element. There should
be no more than 10 performance objectives or standards in the antire performance agreement. Weight each
objective according to its relative importance. Tha sum of tha weights must be 100.
Example:
w«0ht» CJE1. Develop policies and programs to implement the Performance Management System.
20 OBJ 1. Revise performance management plans
1Q OBJ 2. issue guidance on Performance Standards Review Boards
Weightt
Crrtietl Job Element! tod Performine* Obi«ct*»s/Stindifdi
arc ob»o'
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Section E
Performance Sta,
Fill in the performance objective for the standard and the weight asi jned to the standard Add
assumptions if external factors should be considered in the final *rr'*'S» Performance measures may
include quality, quanftty, timeliness, and manner of performance.
EmpteyM • Nama
Cntical Jeo
Element No.
Stanearo No.
weight
I Rating
Vtiui
__^_^_ _^ , , ^ I
Rating System for Quality, Quantity, Timeliness, and Manner of Performance fuse tvno^e nu/noeri only):
Outstanding « 5: Exceeds Expectations * 4; Fully Successful * 3; Minimally Satisfactory * 2: Unsatisfactory s ^
Objacuvc
Asiunpuont
M«aaur«a
Outstanding
Unuuslactory
Performance Highlight*
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