1. T.O.P.S

2. Article 1: Performance Management Process
A. Purpose:
1. This Article established the performance management process that provides B.U.E.s with opportunities for feedback to keep them advised of performance expectations, their current performance and, when necessary, assistance in improving that performance, as more fully described with this Article.
2. The performance management system is called Transportation Officer Performance System (TOPS).
4. TOPS will emphasize:
Continuous communication;
B.U.E. development;
Administratively simplicity;
A role of the 1st line supervisor is coaching, mentoring, and providing feedback consistent with this Article;
B.U.E. input & co-worker input consistent with this Article;
B.U.E. contributions & performance;
Encouragement of individual & group achievement of TSA’s mission.

3. B. Definitions:
1. Performance Appraisal Period: October 1 through September 30 is the period of time for reviewing B.U.E.’s performance
9. Self Assessment: a B.U.E.’s voluntary written review of their performance of assigned duties & responsibilities.
C. General Principles:
2. Management will provide B.U.E.s with established benchmarks
4. All changes in working procedures will be published in writing & made available to the B.U.E. before it is used to evaluate performance.
6. Management shall not hold B.U.E.s accountable for factors that affect their performance ratings that are beyond the control of the B.U.E.
7. A B.U.E. is responsible for promptly notifying rating officials about factors that interfere with their with their ability to perform their duties at the level of performance required by the performance plan.
9. Approved leave will not negatively impact the B.U.E’s performance plan.

4. E. Performance Planning:
D. Rating Officials:
1. Every B.U.E. is assigned 1 Rating Official for the purpose of completing the mid-year and annual performance reviews, on-going reviews, any development plan, & any associated meetings.
E. Performance Planning:
2. The Rating Official must submit to the B.U.E. a written performance plan within 30 days of:
Completion of New Hire On-the-Job training (OJT);
The beginning of an appraisal period;
The beginning of a detail or promotion that is expected to last more than 90 days; or
A B.U.E.’s movement to a new position includes: promotion, reassignment, or demotion.
3. Management will inform the B.U.E. when progress review(s) will occur during the appraisal period.
4. Subsequent review of the B.U.E.’s performance plan should be held when there is a significant change in the B.U.E.’s work situation, such as:
change in the rating official;
when detailed to a special assignment;
a change in assignment;
when the B.U.E. returns from an extended absent of 90 calendar days or more.

5. F. Informal Discussions:
1. Informal discussions are standard part of supervision and should occur as needed throughout the performance period. Discussions may be initiated by supervisor, rating official, or B.U.E. A discussion will be scheduled as soon as practicable when a B.U.E. requests a discussion with their rating official to discuss the B.U.E.’s performance. Discussions may be held 1-on-1 or with supervisor and rating official.
2. Discussions should be candid, forthright dialogue between the rating official & the B.U.E. aimed to improve performance & to develop the B.U.E., as well as providing positive feedback where appropriate. Discussions will provide the B.U.E. the opportunity to seek further guidance & understanding of their performance & participate in their performance improvement.

6. G. Process Reviews:
2. Required mid-cycle review: the rating official & the BUE will discuss the BUE’s performance to date, opportunities for development, & performance experience for the remainder of the performance period during the mid-cycle review. A numeric value will be given to the BUE reflecting the performance to date. BUE will sign & date the form, signing does not mean the BUE agrees with the score just that the BUE received the information.
3. Additional progress reviews may be appropriate when the rating official notices:
1) a BUE’s downturn in performance
2) a BUE’s marked improvement in performance
Progress reviews will be performed in a timely manner.
4. A self-assessment is not required but higher recommended. It is only by voluntary basis. If a BUE provides a self-assessment, it will be addressed by the raring official during the performance review.
5. Documentation of progress review: rating official will document progress review & additional progress review when the rating is below Achieved Expectations, 3, & document that the discussion occurred on the summary of the review. A copy will be provided to the BUE or access to the electronic version within 5 days of the discussion.

7. I. Actions Affecting the Performance Management Process:
H. Communication
1. Management will bring observed deficiencies in the BUE’s performance to their attention in a timely matter.
3. Management will provide a copy or access to the electronic version of passenger or stakeholder compliments, & comments to the BUE. The BUE may submit a written rebuttal or explanations.
I. Actions Affecting the Performance Management Process:
1. Permanent changes in position such as transfer, reassignment, promotion, and/or reduction pay band
a) Within 30 days after the above permanent change has taken place a new performance agreement will be provided.

8. 1. Permanent changes in position such as transfer, reassignment, promotion, and/or reduction pay band
a) Within 30 days after the above permanent change has taken place a new performance agreement will be provided & discussed with the B.U.E. which had different standards from the previously held position whether or not the previous position was covered in TOPS). i.e. – TSO promoted to LTSO will be given new performance standards.
b.) B.U.E under new standards for at least 90 days will be rated on performance under the new standards. B.U.E. under new standards must be rated under previous performance standards.
C) Close-out Evaluations for Permanent Changes of Position.
B.U.E has been under the previous standards at least 90 days before the change in position, B.U.E. will receive a close-out evaluation when the B.U.E.: transferred, reassigned, promoted, or reduced in pay band to a new position that has different standards.
A close-out evaluation is just like a end-of-year performance review, assigning an interim performance rating & completed all required forms.
Close-out evaluation will be discussed & a copy will be provided to the B.U.E. The new rating official will given the close-out evaluation

9. 2. Change of Rating Official (No Change in Bargaining Unit Employee’s Performance Plan)
a) When a rating official’s supervision of a bargaining unit employee ends during a performance period, the losing rating official will issue an interim review, if such rating official is available, that will be factored into the gaining rating official’s rating to ensure an accurate and complete review of the bargaining unit employee. Bargaining unit employees completing a detail or temporary promotion will also receive an interim review at the conclusion of the detail or temporary promotion.
If the temporary assignment is to a TOPS-covered position, the rating official of the temporary assignment will provide written performance feedback concerning the performance components and/or sub-components under which the bargaining unit employee is performing. This feedback will be given to the bargaining unit employee and rating official for consideration in assigning the end-of-year evaluation.
If the temporary assignment is to a non-TOPS-covered position, the rating official for the temporary assignment must provide written performance feedback to the bargaining unit employee and rating official on the major duties the bargaining unit employee performed while on temporary assignment.

10. 3. B.U.E.s that were on extended absence during the appraisal period but on a performance plan for at least 90 days will be rated based on their performance during the period they were present at work.
4. Not Performing Under a Performance Plan for at Least Ninety (90) Days
a) B.U.E.s who have not performed under a performance plan for at least 90 days due to military duty, union representation, and/or a work related injury will be presumed to have attained the same performance level they earned in the most recent rating of record which was not presumed.
b) B.U.E.s who has not performed at least 90 days during the performance period and are not covered under Section I.4.a above, will not receive a presumed rating. B.U.E.s will receive a performance rating after performing 90 days under a performance plan.

11. J. END OF YEAR REVIEW AND RATING:
1. End-of-year reviews should generally be conducted within 30 days following the end of the performance period.
2. B.U.E.s are encouraged to provide input on their performance prior to completion of their rating.
3. The rating official will consider their own observations, B.U.E.’s voluntary self-assessment, written input from others familiar with the B.U.E’s work, written B.U.E.’s input on key results or major accomplishments, progress reviews, and interim reviews regarding the B.U.E.’s performance. Such information considered in the B.U.E.’s performance review will be made available to the B.U.E.
4. Both the rating official & the B.U.E. will sign $ date the end-of-year review. A copy will be provided to the B.U.E.

12. K. DOCUMENTATION:
1. Standard forms or TSA-approved electronic version will be used to document the B.U.E.’s performance & ratings.
2. Rating forms or TSA-approved electronic version will have comment sections for both the rating official and the B.U.E.
3. A rating official will provide constructive, individualized comments that assist a B.U.E.’s understanding of their performance ratings, & recognize strengths & areas for improvement.
4. B.U.E.s may provide written documentation at any time to the rating official, to facilitate the rating official’s mid-cycle review & final end-of-year review.
5. B.U.E.s may provide information or documentation to rebut, clarify, or comment on performance matters, & such information or documentation will be placed in their Employee Performance File (EPF) or TOPS file or TSA-approved electronic version, if applicable.
6. Upon request, a B.U.E. will be provided timely access to his/her EPF and TOPS file and/or TSA-approved electronic version maintained by management. The current official copies of the performance plan, discussion record & signature page on the appropriate TSA form, & any supporting or related documentation concerning performance shall be maintained in the local EPF or TOPS file or TSA-approved electronic version.

13. L.. IMPROVING PERFORMANCE:
3. This process is not intended to address misconduct.
4. Performance deficiencies should be addressed as soon as they become evident. Many deficiencies may be addressed through interactions between the B.U.E. & rating official.
5. A Performance Improvement Plan (PIP) is designed to assist B.U.E. in achieving expectations. A PIP may be issued at any time during the performance period & not only at the mid-cycle or end-of- year review.
6. Management will hold a meeting with the B.U.E. to issue and discuss the PIP. As part of the PIP discussion process, the B.U.E. will be afforded the opportunity to make verbal or written comments. The B.U.E. & management official will sign & date the PIP, indicating that the B.U.E. has received a copy. Upon request, a B.U.E. may have a personal representative present during a meeting at which the PIP is issued, provided that securing such representative does not unreasonably delay the issuance of the PIP.
7. PIPs issued to B.U.E.s will, at a minimum, contain the following elements:
a) Identification of the area(s) in which the B.U.E.’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 B.U.E. to demonstrate satisfactory performance;
d) A statement that the B.U.E. will be given a minimum of 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);
f) A warning of the possible consequences of unimproved performance.

14. 8. For a B. U. E. on a PIP, the rating official will keep the B. U. E
8. For a B.U.E. on a PIP, the rating official will keep the B.U.E. informed of their progress by means of written or oral counseling. At the end of the PIP period, the B.U.E.’s performance will be reviewed by the rating official. If the rating official determines that the B.U.E. satisfied the requirements of the PIP & improved performance to an acceptable level, the rating official may end the PIP at that time.
9. One rating official will issue & monitor the PIP. This rating official should have direct knowledge of the B.U.E.’s deficiencies. However, in the case of rotating B.U.E.s and/or rating officials, the rating official issuing the PIP may, subsequent to issuing the PIP, consult with, & be provided with input from, other rating officials who will directly supervise the B.U.E.'s work during the PIP period.
M. REPORTING:
2. Management will provide AFGE Council 100 with a copy of any job aids, training and/or guidance provided by the TOPS program office to B.U.E.s regarding TOPS.