ARTICLE 30: PERFORMANCE MANAGEMENT PROCESS

Official CBA pages 149-158

Official CBA Page 149

ARTICLE 30: PERFORMANCE MANAGEMENT PROCESS

A. PURPOSE:

1. This Article establishes the performance management process for bargaining unit

employees.

2. In addition to this Article, the Parties understand that TSA MD 1100.43-4,

Transportation Officer Performance System, and the associated Handbook provide

TSA policy and procedures for the TSA Transportation Officer Performance System.

In the event of a conflict, the provisions of this Article shall govern.

3. The performance management system is called the “Transportation Officer

Performance System” (TOPS).

B. DEFINITIONS:

1. Critical Element: A work assignment or responsibility of such importance that

unacceptable performance in the element results in a determination that an employee’s

overall performance would be at the “Does Not Meet Standards” (or equivalent) level.

2. Performance Appraisal Period: The period of time established for reviewing

bargaining unit employee performance (generally October 1 to September 30). The

Performance Appraisal Period may be extended for up to ninety (90) days when

warranted as set forth in the Handbook to TSA MD 1100.43-4, Transportation Officer

Performance System.

3. Performance Plan: A written plan that describes the performance expectations (e.g.,

performance goals, core competencies, and associated performance standards) that are

to be met by the bargaining unit employee during the Performance Appraisal Period.

4. Performance Planning Meeting: A mandatory meeting generally conducted at the

beginning of the Performance Appraisal Period between a Rating Official and a

bargaining unit employee to discuss all elements of the bargaining unit employee’s

Performance Plan.

5. Progress Review: A formal, documented discussion between a bargaining unit

employee and their Rating Official about the bargaining unit employee’s actual

performance as compared to the performance expectations set forth in the bargaining

unit employee’s Performance Plan and expectations for the remainder of the

Performance Appraisal Period.

6. Rating of Record: The overall performance level rating (“Meets Standards” or “Does

Not Meet Standards” (or equivalent)) which is prepared at the end of the Performance

Appraisal Period by the Rating Official that evaluates an employee’s performance of

assigned duties and responsibilities against established Performance Plan

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requirements over the applicable Performance Appraisal Period.

7. Rating Official: The designated supervisory official with authority to observe and

evaluate a bargaining unit employee’s performance and prepare the employee’s Mid-

Cycle Progress Reviews, Progress Reviews (when appropriate), and the Rating of

Record.

8. Self-Assessment: A bargaining unit employee’s voluntary written review of their

performance of assigned duties and responsibilities, as applied to their established

Performance Plan requirements.

C. GENERAL PRINCIPLES:

1. When evaluating performance, management will not hold bargaining unit employees

accountable for factors which may affect their performance level or Rating of Record

that are beyond the control of the bargaining unit employee.

2. A bargaining unit employee is responsible for promptly notifying Rating Officials

about factors that interfere with their ability to perform their duties at the level of

performance required by the Performance Plan.

3. Approved leave will not negatively impact a bargaining unit employee’s performance

level or Rating of Record.

4. At the beginning of the Performance Appraisal Period, management will establish and

communicate performance standards and expectations that are related to the

bargaining unit employee’s position and duties. The Parties understand that

performance standards should be specific, measurable, achievable, realistic, and time-

bound.

5. Bargaining unit employee competencies and goals will be relevant and have a nexus

to the bargaining unit employee’s position and duties.

6. Upon request, a bargaining unit employee will be given a copy of performance related

documentation, including signed documentation, for the current Performance

Appraisal Period.

D. RATING OFFICIALS:

1. Each bargaining unit employee is assigned a Rating Official who will evaluate their

performance.

2. A bargaining unit employee’s Rating Official may change during the Performance

Appraisal Period as a result of their work schedule, and/or other factors (e.g.,

promotion, transfer). A bargaining unit employee will be promptly notified of any

changes to their Rating Official.

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3. Bargaining unit employees who are not officially assigned to an acting supervisory

position, in accordance with TSA MD 1100.30-1, Temporary Internal Assignments, and

associated Handbook, are prohibited from serving as Rating Officials and assigning

performance levels or Ratings of Record to other bargaining unit employees in TOPS

covered positions.

E. PERFORMANCE PLANNING:

1. The Performance Planning Meeting must be completed within 30 calendar days of:

a. The beginning of the Performance Appraisal Period;

b. The beginning of a temporary internal assignment (detail) or temporary promotion that

is expected to last more than ninety (90) days;

c. A bargaining unit employee’s change to a new position title including promotion,

demotion, or reassignment; or

d. A bargaining unit employee’s completion of the locally delivered TSO Phase 1

basic training, including associated on-the-job training (OJT) and examinations.

2. The Rating Official will ensure that the signed and dated Performance Plan is

maintained in the bargaining unit employee’s performance file.

3. Subsequent review of the bargaining unit employee’s Performance Plan should be held

when there is a significant change in the bargaining unit employee’s work situation,

such as:

a. A change in the Rating Official;

b. When assigned to Special Assignment;

c. When a bargaining unit employee returns from an extended absence of ninety (90)

calendar days or more.

4. When a bargaining unit employee remains in their current position under the same

performance standards but experiences a change in Rating Official, a new Rating

Official will be assigned within thirty (30) calendar days. A new Performance Plan is

not required. The new Rating Official will review and discuss the Performance Plan

with the bargaining unit employee. The bargaining unit employee may ask questions

at this meeting about the Performance Plan.

F. INFORMAL DISCUSSIONS:

1. Informal discussions are a standard part of supervision and should occur as needed

throughout the Performance Appraisal Period.

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2. Informal discussions may be initiated by the supervisor, Rating Official (if not the

supervisor), or the bargaining unit employee.

3. Discussions will provide the bargaining unit employee with the opportunity to seek

further guidance and understanding of their work performance and participate in their

performance improvement.

4. Bargaining unit employees will take ownership and proactively engage with their

Rating Officials in these discussions to anticipate, identify, and obtain support on work

issues that will help them successfully perform their work.

5. The Rating Official will hold informal discussions, when needed as determined by the

Rating Official, with bargaining unit employees to review and discuss performance.

6. If a bargaining unit employee requests a discussion with their Rating Official to

discuss their performance, it will be conducted as soon as practicable. Discussions

may be held one-on-one or with a supervisor and Rating Official. Discussions may be

documented via supervisory notes of a Progress Review, depending on the format of

the discussion.

G. PROGRESS REVIEWS:

1. The Rating Official will monitor the bargaining unit employee’s performance

throughout the Performance Appraisal Period and communicate with the bargaining

unit employee about their performance. Progress Reviews will outline measures to

recognize high-level performance, improve performance that is otherwise acceptable,

and correct any performance deficiencies. Progress Reviews will be performed in a

timely manner and may take place at any time during the Performance Appraisal

Period.

2. Required Mid-Cycle Progress Review: A mandatory Mid-Cycle Progress Review is

conducted at approximately the mid-point of the Performance Appraisal Period.

During the Mid-Cycle Progress Review, the Rating Official and the bargaining unit

employee will discuss the bargaining unit employee’s performance to date,

opportunities for development, and performance expectations for the remainder of the

Performance Appraisal Period. The bargaining unit employee will be provided a

performance level indicator reflecting the bargaining unit employee’s performance to

date based on the elements of their Performance Plan. Both the bargaining unit

employee and the Rating Official will sign and date the applicable Mid-Cycle Progress

Review documents or TSA-approved electronic version.

3. A Progress Review must be conducted when a bargaining unit employee’s

performance falls below the “Meets Standards” (or equivalent) level.

4. Progress Reviews also are required when there are ninety (90) or more days left in the

current Performance Appraisal Period, and:

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a. The bargaining unit employee has a permanent change in position (i.e. reassignment,

promotion, or reduction in pay band) that has different performance standards from

their original position, and the bargaining unit employee has been under the

previous performance standards for a minimum of ninety (90) days before the

effective date of the change in position; or

b. The Rating Official’s evaluation of a bargaining unit employee ends prior to the

end of the Performance Appraisal Period, and the bargaining unit employee has

performed on a Performance Plan for a minimum of ninety (90) days. The losing

Rating Official will issue a Progress Review that will be factored into the gaining

Rating Official’s evaluation of the bargaining unit employee to ensure an accurate

and complete review of the bargaining unit employee at the end of the Performance

Appraisal Period; or

c. The bargaining unit employee completes a detail or temporary promotion, different

from the bargaining unit employee’s original position of record, and the bargaining

unit employee has been under a Performance Plan with performance standards

specific to the detail or temporary promotion for at least ninety (90) days before

returning to their original position.

5. Progress Reviews also may be conducted when the Rating Official notices a marked

improvement in performance.

6. Documentation of Progress Reviews: The Rating Official will document Progress

Reviews, including any additional Progress Reviews held when the rating is at or

below “Meets Standards” (or equivalent), reflecting that a discussion took place on the

bargaining unit employee’s performance summarizing the review. The Rating Official

will provide the bargaining unit employee with a copy of or access to the documentation

generally within five (5) business days of the discussion. The Rating Official will

ensure that the signed and dated applicable Progress Review documents are

maintained in the bargaining unit employee’s performance file.

H. ACTIONS AFFECTING THE PERFORMANCE MANAGEMENT PROCESS:

1. Temporary Changes in Position (Temporary Internal Assignment):

a. A bargaining unit employee who is expected to be on a temporary internal

assignment (i.e., detail) or temporary promotion for more than ninety (90) days

that has different performance standards may be placed on an applicable

Performance Plan by the supervisor of the detail or temporary promotion, if the

supervisor is different from the bargaining unit employee’s Rating Official.

b. If a bargaining unit employee is placed on a new Performance Plan for a temporary

internal assignment or temporary promotion, the new plan will be provided to, and

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discussed with, a bargaining unit employee within thirty (30) calendar days after

the start of the temporary internal assignment or temporary promotion.

2. Permanent Changes in Position (Reassignment/Promotion/Reduction in Pay Band):

a. A new Performance Plan will be provided to, and discussed with, a bargaining unit

employee within thirty (30) calendar days after a reassignment, promotion, or

reduction in pay band into a covered position which has different performance

standards from the previously held position (whether or not the previous position

was covered by TOPS). For example, a TSO promoted to a LTSO will be given

new performance standards.

b. A bargaining unit employee who is under the new performance standards for at

least ninety (90) days will be rated based on performance under the new

performance standards. A bargaining unit employee who is under the new

performance standards for less than ninety (90) days will be rated based on their

performance standards and performance in their prior position.

3. Bargaining unit employees who are on extended absences but performed under a

performance plan for at least ninety (90) days will be rated consistent with TSA MD

1100.43-4, Transportation Officer Performance System, and the associated Handbook.

4. Presumed Ratings:

a. Bargaining unit employees who have not performed under a Performance Plan for

at least ninety (90) days due to absence associated with military duty, official time

related to union representation, and/or a work-related injury (whether in a paid,

unpaid, or combination leave status) will be presumed to have attained the same

performance level they earned in the most recent Rating of Record which was not

presumed.

i. Presumed ratings for official time service are addressed in Article 6: Union

Representatives and Official Time, Section A.3.b.

b. Bargaining unit employees who have not performed at least 90 days during the

Performance Appraisal Period and are not covered under Section H.4.a above, will

not receive a presumed rating. Bargaining unit employees will receive a

performance rating consistent with TSA MD 1100.43-4, Transportation Officer

Performance System, and the associated Handbook.

I. ANNUAL APPRAISAL:

1. Each bargaining unit employee who has performed on a Performance Plan for a

minimum of ninety (90) days during the Performance Appraisal Period will receive an

Annual Appraisal, which consists of:

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a. A performance level Rating for each performance goal and core competency

established on their Performance Plan; and

b. A Rating of Record.

2. The Rating Official generally will conduct the Annual Appraisal meeting within thirty

(30) calendar days of the end of the Performance Appraisal Period.

3. Rating Officials may perform all of the steps in the Annual Appraisal process when

there are fewer than ninety (90) days remaining in the Performance Appraisal Period,

when warranted by special circumstances (e.g., the bargaining unit employee has a

permanent change in position, transfers from one airport to another, or completes a

detail or temporary promotion).

4. Both the Rating Official and the bargaining unit employee will sign and date the

Annual Appraisal. A copy will be provided to the bargaining unit employee.

J. SELF-ASSESSMENTS:

1. Bargaining unit employees are encouraged to complete Self-Assessments of their

performance of assigned duties and responsibilities as measured against their

Performance Plan at any time during the Performance Appraisal Period, including but

not limited to for Progress Reviews and prior to the Annual Appraisal.

2. Completion of a Self-Assessment is voluntary on the part of the bargaining unit

employee, and Rating Officials will not require a bargaining unit employee to

complete a Self-Assessment or provide information regarding their performance.

3. Bargaining unit employees may complete their Self-Assessments on TSA Form

1106C, Employee Self-Assessment (Performance Management), or in any other format

the bargaining unit employee wishes.

K. DOCUMENTATION:

1. Performance appraisal forms, documents, and supporting documentation will be

maintained in the bargaining unit employee’s performance file.

2. Bargaining unit employees may provide information and/or documentation at any time

to the Rating Official, to inform the Mid-Cycle Progress Review, annual appraisal, or

other performance-based meeting.

3. Upon request, a bargaining unit employee will be provided timely access to their

performance file.

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4. When a bargaining unit employee transfers from one TSA office or airport to another,

the bargaining unit employee’s performance file will be forwarded by the “losing”

location to the “gaining” TSA office or airport.

L. IMPROVING PERFORMANCE:

1. The objective of the performance improvement process is to improve the bargaining

unit employee’s performance to achieve the performance level of “Meets Standards”

(or equivalent).

2. This process does not address misconduct.

3. Performance deficiencies should be addressed as soon as they become evident. Many

deficiencies may be addressed through informal interactions between the bargaining

unit employee and Rating Official.

4. A Performance Improvement Plan (PIP) is designed to assist bargaining unit

employees to achieve a “Meets Standards” (or equivalent) level of performance. A PIP

may be issued at any time during the Performance Appraisal Period when the

bargaining unit employee’s performance falls below the level of “Meets Standards”

(or equivalent).

5. Management will hold a meeting with the bargaining unit employee to issue and

discuss the PIP. As part of the PIP discussion process, the bargaining unit employee

will be afforded the opportunity to make verbal or written comments. The bargaining

unit employee and Rating Official will sign and date the PIP, indicating that the

bargaining unit employee has received a copy.

6. PIPs issued to bargaining unit employees will, at a minimum, contain the following

elements:

a. Identification of the area(s) in which the bargaining unit employee’s performance

is in need of improvement;

b. An explanation and/or examples of the specific duties which are not being

performed adequately;

c. Actions required for the bargaining unit employee to demonstrate satisfactory

performance;

d. A statement that the bargaining unit employee will be given a minimum of sixty

(60) calendar days to demonstrate improvement in performance;

e. A description of the type(s) of assistance TSA will make available (e.g., formal

and/or on-the-job training, increased supervision); and

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f. A warning of the possible consequences of unimproved performance.

7. For a bargaining unit employee on a PIP, the Rating Official will:

a. Keep the bargaining unit employee informed of their progress by means of written

and oral counseling;

b. Review the bargaining unit employee’s performance during the PIP and meet with

the bargaining unit employee as set forth in the PIP;

c. Review the bargaining unit employee’s performance at the end of the PIP period.

The Rating Official will make the determination of whether or not the bargaining

unit employee satisfied the requirements of the PIP and improved their

performance to the performance level of “Meets Standards” (or equivalent).

8. The Parties understand that the Rating Official, at the end of the PIP period, will

determine to close out the PIP as successful or unsuccessful or extend the PIP. The

Rating Official will provide written notification to the bargaining unit employee of

whether the PIP was closed out or extended at the end of the PIP period.

M. PERFORMANCE-BASED ACTIONS:

1. If the employee does not improve to the “Meets Standards” (or equivalent) level, the

Parties understand that the Agency may extend the PIP, initiate a reassignment,

demotion, or removal, as deemed appropriate by management.

2. If a demotion or removal is proposed as a performance-based action, the following

apply:

a. The notice of proposed action should be issued as soon as practicable after the PIP

has been closed out as unsuccessful.

b. [Blank] The Parties did not reach agreement on this provision.

c. The bargaining unit employee can present an oral and/or written reply to the

proposal within seven (7) calendar days. This time limit may be extended for good

cause shown.

d. A bargaining unit employee may be represented by an individual of their choosing

consistent with TSA MD 1100.63-3, Employee Representation, in preparing and

presenting any reply.

e. The bargaining unit employee will be provided a copy of the material relied upon

with the proposal letter.

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f. The bargaining unit employee will be advised of the name of the Deciding Official

and the individual the employee may contact to make arrangements for a reply or

to ask any questions.

g. Action will not be taken until after any timely reply is received and considered; or,

if no reply is received, after the reply period expires.

h. [Blank] The Parties did not reach agreement on this provision.

3. Decisions on proposed demotions or removals as performance-based actions:

a. After considering the employee’s response (if provided), the Agency will issue a

written decision. The decision will comply with the requirements of TSA policy

and this Agreement.

b. If the decision is unfavorable to the employee, the employee will be informed of

the applicable grievance procedures and/or appeal rights as outlined in Article 28:

Grievance Processes.