BONNEVILLE POWER ADMINISTRATION

**HUMAN CAPITAL MANAGEMENT**

**Portland, Oregon**

**PERSONNEL LETTER NO. 531-1 DATE:** March 27, 2008

**SUBJECT**: Requirements for Granting and Denying Within-Range
Increases (WRI)

# PURPOSE

# 

This Personnel Letter --

-   Provides procedures and guidance for processing WRIs of General
    Schedule employees.

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-   Updates definition of WRI and replaces PL 531-1 dated July 15, 1998.

## POLICY SUMMARY

The Bonneville Power Administration has established policies and
procedures that explain how eligible employees may receive a
Within-Range Increase (WRI), and when it's appropriate to delay a WRI.
This policy discusses the employee's appeal rights when the employee has
been denied a WRI and the time limitations for filing a grievance. All
WRI denials and reconsideration decisions must be reviewed by the Human
Capital Management Employee Relations staff.

These procedures apply to employees who occupy permanent positions
classified and paid under the General Schedule, and who are paid less
than the maximum rate of their grades.

## DEFINITIONS

> **Rating-of-Record**
>
> The summary rating required at the time specified by the performance
> appraisal system (normally at the end of an employee's annual rating
> period, i.e. the annual rating) or at such other times as the system
> specifies for special circumstances (e.g. to deny or process a WRI).
> (See Personnel Letter 430-1, Performance Appraisal).
>
> **Acceptable Level of Competence**
>
> The term used in pay regulations to describe the level of performance
> an employee must demonstrate in order to be granted a WRI. This
> equates to the "Meets Expectation" rating level under BPA's
> Performance Appraisal System (see Personnel Letter 430-1).
>
> **Rating Official**
>
> The individual, normally the immediate supervisor/manager, with the
> authority to appraise the performance of an employee.
>
> **Reviewing Official**
>
> A higher-level manager, normally the rated employee's second-level
> supervisor/manager, who reviews and approves performance plans,
> performance agreements, and performance ratings, when required.

## GENERAL REGULATORY REQUIREMENTS

To receive a WRI, an eligible employee must have completed the required
waiting period and there must be a determination by the Rating Official
that the employee's performance is at an acceptable level of competence.
As indicated in 5 CFR, Section 531.405, the waiting periods are as
follows:

-   52 calendar weeks of creditable service for employees in pay steps 1
    through 3;

-   104 calendar weeks of creditable service for employees in pay steps
    4 through 6;

-   156 calendar weeks of creditable service for employees in pay steps
    7 through 9.

An otherwise due WRI must be denied if an employee is not performing at
an acceptable level of competence. Employees must be informed of the
specific performance requirements that constitute an acceptable level of
competence at least 90 days in advance of being assigned a
rating-of-record based on the requirements. These requirements are
communicated to the employee in the form of written performance
standards for the "Meets Expectation" level of performance under the
performance appraisal system.

## DETERMINATION PROCESS

A.  **Notification of WRI Due Date:** Human Capital Management (HCM)
    will provide Rating Officials with computer printouts, with names of
    employees and their current rating of record, 120 days before they
    are due a WRI. WRI due dates correspond to completion of required
    waiting periods rather than the date of the appraisal period.

B.  **WRI Determination Based on Current Rating:** A determination
    regarding acceptable level of competence shall be based on a current
    rating-of-record. To be considered current, the rating must cover
    performance during the employee's most recently completed appraisal
    period as of the date that the employee is eligible for the WRI.

If the last rating-of-record was "Meets Expectations," HCM will
automatically process the WRI on the scheduled due date, unless advised
otherwise by the current Rating Official. If the last rating-of-record
was less than "Meets Expectations," HCM will not process the WRI unless
a new rating-of-record of "Meets Expectation" is completed and processed
by the current Rating Official. If the Rating Official believes that the
performance of the employee remains at a level less than "Meets
Expectations," the employee must be informed in writing that the WRI is
being withheld or denied. The written notice will also inform the
employee of the performance elements and standards that must be met to
receive the WRI (see Section V, below).

## WRI Determination Based on Changed Rating: If the Rating Official determines that the employee's performance is below an acceptable-level-of-competence (i.e., "Unacceptable"), the WRI must be delayed or denied. This is accomplished by completing and processing a new rating-of-record and providing written notice to the affected employee (with a copy to HCM) that the WRI will be delayed or denied. The notice will identify the performance elements and standards that must be met to receive the WRI (see Section V, below).

## DELAYED ACCEPTABLE LEVEL OF COMPETENCE DETERMINATION 

If a current rating of record has not been assigned, a determination
regarding the employee's acceptable level of competence for WRI purposes
shall be delayed. If an employee is due to receive his/her WRI during an
opportunity period for improving "Unacceptable" performance, the
acceptable level of competence determination may be postponed until the
end of the opportunity period (see Personnel Letters 430-1 and 432-1).
Once a qualifying rating is received by HCM, the WRI shall be processed
retroactively to the date that the waiting period was completed. When a
WRI must be delayed under these provisions, the affected employee shall
be informed of the reasons for the delay and the action that will be
taken. The explanation for the delayed WRI may be communicated in a
Performance Improvement Plan, if one is to be issued.

## WAIVER OF REQUIREMENT FOR DETERMINATION

An acceptable level of competence determination will be waived and a WRI
granted when an employee has not served in any position for the minimum
appraisal period (i.e. 90 days) for reasons specified in 5 CFR, Part
531, Subpart D, Section 531.409(d).

## NOTICE OF FAVORABLE DETERMINATION

The SF-50 that implements the pay increase serves as the employee's
official notice of favorable determination regarding acceptable level of
competence and granting of a WRI.

## NOTICE OF NEGATIVE DETERMINATION AND DENIAL OF WRI

When the Rating Official determines that an employee's performance is
not at an acceptable level of competence and the Reviewing Official
concurs with this determination, the negative determination (prepared in
coordination with Employee Relations staff) will be communicated to the
employee in writing and will:

A.  Lay out the reasons for any negative determination and what the
    employee must do to improve his/her performance in order to be
    granted a WRI.

B.  Inform the employee of his/her reconsideration rights.

## RECONSIDERATION OF NEGATIVE DETERMINATION

The employee or his/her representative may request reconsideration of a
negative determination in writing within 15 calendar days after
receiving the written WRI denial notice. BPAM Chapter 400/700, Appendix
B, Employee Relations Delegations, specifies the managerial level that
has been delegated the authority to reconsider WRI denials. If the
result of the reconsideration is positive, the WRI will be granted
retroactively to the date on which it would otherwise have been
realized. If the reconsideration result is negative, the employee must
be informed in writing of the applicable avenue for appealing the WRI
denial. Reconsideration decisions must be coordinated with and reviewed
by the Employee Relations staff.

## APPEAL RIGHTS

An employee may appeal the denial of a WRI only after receiving a
negative reconsideration response. Bargaining-unit employees may appeal
only through the negotiated grievance procedure applicable to them.
Employees whose positions are not included in a bargaining unit may
appeal to the Merit Systems Protection Board (MSPB). An appeal to the
MSPB must be filed within 30 calendar days of receiving the negative
reconsideration response. The time limits for filing a grievance through
a negotiated procedure varies according to which procedure is
applicable.

## SUBSEQUENT DETERMINATIONS AND CONTINUED UNACCEPTABLE PERFORMANCE

After withholding a WRI, the WRI will be granted when the employee's
performance reaches an acceptable level of competence. The effective
date of the increase will be the first day of the first pay period
following the date of the decision. At a minimum, an acceptable level of
competence determination must be made after each 52 calendar weeks
following the original due date for the within-range increase. However,
an employee will not be retained in a position in which performance
continues at the "Unacceptable" level. See Personnel Letter 432-1 and
Chapter 4 of the MAS Handbook for guidance on dealing with unacceptable
performance.

## ADDITIONAL GUIDANCE

All WRI denials and reconsideration decisions must be reviewed by the
Employee Relations staff in HCM for appropriateness and technical
accuracy before being given to the employee. Additional guidance on
these and other performance-based issues can be obtained from the
Employee Relations staff.

## WRI RECONSIDERATION FILES

Reconsideration files shall be established in agreement with 5 CFR,
Section 531.410.

# REFERENCES AND RELATED INFORMATION

C.  **Authorities**

-   5 U.S.C., Chapter 53, Pay Rates and Systems

-   5 CFR, Part 531, Subpart D, Within-range increases

-   BPAM Chapter 400/500, Compensation, Position and Organizational
    Management

-   BPAM Chapter 400/700, Employee Relations Program

    A.  **Related Information**

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-   Personnel Letter 430-1, Performance Appraisal

-   Personnel Letter 432-1, Taking Action Based on Unacceptable
    Performance

-   Management Assistance Services (MAS) Handbook, Chapter 4

Roy Fox

Acting Chief Human Capital Officer