Performance Management for Exempt Personnel, provides the performance review policy for exempt personnel (i.e., SR personnel). Section II: Performance Information provides more information on the AOC’s performance management system.
Program Highlight:
Performance Management Program. The AOC convened an agencywide working group to develop enhancements for the performance management program. The enhancements will increase accountability, fairness and communication between supervisors and employees and reduce the administrative burden in the performance appraisal process. Specific enhancements include changes to the midyear review process with a focus on regular performance discussions between supervisors and employees, restructuring the performance rating system from three to five tiers, updating performance evaluation documents to improve user-friendliness and identifying an automated performance management system. The AOC expects to implement the new performance management program in FY 2020.
Fair and Equitable System to Address Misconduct and Performance
The HR Act requires the AOC to have a fair and equitable system in place to address unacceptable conduct and performance by AOC employees, including a general statement of violations, sanctions and procedures, and a formal grievance system. The AOC has a progressive discipline policy that aligns with OPM’s Managing Federal Employees’ Performance Issues or Misconduct reference materials but is tailored to the AOC’s unique mission. AOC Order 752-1, Discipline, and applicable collective bargaining agreements (CBAs) specify uniform procedures for disciplinary actions designed to address and correct inappropriate conduct of employees.11
AOC Order 430-1, Performance, Communication
and Evaluation System, provides the AOC’s policy to address unacceptable performance. Like the discipline policy, applicable CBAs include the AOC’s policy for unacceptable performance. All AOC employees have access to both policies.
AOC Order 752-1, Discipline, provides a table of typical penalties for infractions. A formal grievance procedure is available to all AOC employees. If a union represents an employee, then the AOC affords the employee formal grievance procedures under the appropriate CBA. Otherwise, the AOC affords the employee the formal grievance procedures under AOC Order 771-1, Grievances.
11
The AOC’s current CBAs include: American Federation of State, County and Municipal Employees (AFSCME) Council 20, Local 626; AFSCME Council 20, Local 658; International Brotherhood of Electrical Workers (IBEW), Local 121; Sheet Metal, Air, Rail and Transportation (SMART) Workers, Local 100; United Association of Journeymen and Apprentices of the Plumbing and Pipefitting Industry of the United States and Canada (“Plumbers”), Local 5.
2019 PERFORMANCE AND ACCOUNTABILIT Y REPORT Other Information • Section IV 157
The AOC evaluates each instance of misconduct against the “Douglas Factors,” established criteria espoused by OPM to ensure that agencies impose an appropriate penalty for employee misconduct. The AOC also reviews comparable disciplinary cases to ensure consistency. Likewise, the AOC is consistent in how it handles performance deficiencies. Regular reporting to the Architect of the Capitol and Chief Operating Officer ensures further consistency. Appropriate coaching and accountability are important principles in addressing misconduct and performance issues.
Program Highlight:
Fair and Equitable System to Address Misconduct and Performance. The AOC procured a new employee and labor relations database that will improve lifecycle management of discipline cases and related documentation and information. The cloud-based, FedRAMP certified database will assist the AOC in standardizing discipline agencywide. It provides an electronic platform to securely manage personally identifiable information, track discipline cases, identify and report trends and case outcomes. The database enhances transparency, provides real-time information and eliminates the manual and labor-intensive process that occurs in managing casework.
Employee Assistance Program
The HR Act requires the AOC to provide services dealing with mental health, alcohol abuse, drug abuse and other employee problems, while ensuring employee confidentiality. AOC Order 792-1, Employee Assistance Program (EAP), defines the agency’s program to meet this requirement. The program helps employees define the problem, develop a plan of action, develop new or strengthen existing skills and identify resources for problem resolution. Program services include initial assessment, short-term problem resolution, consultation, referral to community services and follow-up services. Participation in the EAP is voluntary and the AOC provides the program to employees and their immediate families free of charge (although employees are responsible for outside services). The AOC maintains confidentiality for employee participants and does not share employee personal information without a signed release.
The EAP seeks to address the whole person as AOC recognizes that employee wellness fosters a safe and healthy work environment. The AOC’s low injuries and illnesses rate reflects this as shown in Section II: Performance Information.
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