MS 626: Peace Corps Performance Appraisal System |
Date: 9/25/91
Office:
M/PM
Supersedes: MS 626, 4/3/84
Table of Contents
Attachments
Table of Contents
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9.0 |
Techniques and Approaches for Developing Critical Elements and Performance Standards | ||||||||
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13.0 |
Reduction in Grade or Removal Based on Unacceptable Performance | ||||||||
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17.0 |
Relationship of Performance Appraisal to the Employee Counseling Program | ||||||||
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17.1 |
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18.0 |
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Attachments
IN PROGRESS OF OBTAINING
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Attachment A |
Employee Performance Planning And Appraisal Form: The Appraisal Process. |
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Form |
PC-1590 (part A) |
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Form |
PC-1590 (part B) |
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Form |
PC-1590 (part C) |
1.0 Purpose
This Manual Section establishes Peace Corps' Performance Appraisal System for all permanent employees who are not excluded by Paragraph 2.
2.0 Excluded From Coverage
- Senior Foreign Service Employees.
- Employees whose appointments were made at the advice and consent of the Senate.
- Foreign Service National Employees (see MS 602).
- Merit Pay Employees (see MS 629).
3.0 References
- Section 7(b) of the Peace Corps Act, as amended.
- Public Law 95-454, Civil Service Reform Act of 1978.
- Chapter 43, Title 5, United States Code.
- Federal Personnel Manual, Chapter 430.
- Volume 5, Code of Federal Regulations, Part 430.
- Negotiated Agreement with Peace Corps Employees Union.
- Inspector General Act of 1988, Sections 8E(g)(2) and 9(a)(2)
4.0 Purpose of the Performance Appraisal System
Peace Corps' Performance Appraisal System is designed to (1) provide for periodic appraisals of job performance; (2) encourage employee participation in establishing performance standards; and (3) use the results of performance appraisals as a basis for training, rewarding, reassigning, promoting, demoting, retaining and removing employees, where appropriate.
5.0 Policy
The performance appraisal system shall, to the maximum extent possible, permit the accurate and timely evaluation of job performance on the basis of objective criteria (which may include courtesy to the public) related to the job of an employee or position. In addition, it is the policy of the Peace Corps to use the performance appraisal system to enhance effective communications between the supervisor and the employee and to provide an opportunity for employees to develop to their maximum potential.
6.0 Definitions
6.1 Appraisal
The comparison of an employee's performance of duties and responsibilities to performance standards.
6.2 Appraisal Period
The period of time an employee's performance will be appraised.
6.3 Critical Element
A component of an employee's job in which below- standard performance requires remedial action and may be the basis for removing or reducing the grade level of that employee. Such action may be taken without regard to performance on other components of the job.
6.4 Days
Days as used in this manual section mean calendar days.
6.5 Office Directors
The Peace Corps Director, Deputy Director, Associate Directors, the General Counsel and heads of staff offices.
6.6 Performance
An employee's accomplishment of assigned duties and responsibilities.
6.7 Performance Appraisal
The continuous process by which an employee is informed of (1) the critical and non-critical elements of his or her position; (2) the performance standards established with respect to those elements; (3) how the employee's performance is viewed by the supervisor in relation to those standards; and (4) the means for improving performance where appropriate.
6.8 Performance Appraisal System
A system that establishes performance standards; identifies critical elements; communicates standards and critical elements to employees; and establishes performance appraisal methods and procedures based on previously established standards and critical elements, and appropriate use of appraisal results in making personnel decisions.
6.9 Performance Plans
Documents developed jointly by the supervisor and employee before the appraisal period that define the critical and non- critical elements against which an employee's performance will be appraised, and establish performance standards for those elements.
6.10 Performance Standards
Expressed measure of level of achievement.
6.11 Progress Review
The discussion of the employee's progress in relation to meeting the performance standards and goals.
6.12 Rating Official
The individual who is responsible for informing the employee of the performance elements (both critical and non-critical) of the position, establishing performance standards for those elements, appraising performance and assigning the recommended performance rating (after conferring with employee).
6.13 Reviewing Official
The immediate supervisor of the rating official, except for certain employees in the Inspector General's Office who are not subject to review by the Peace Corps Director.
6.14 Supervisor
An individual employed by the agency who has authority to hire, direct,
assign, promote, reward, transfer, furlough, layoff, recall, suspend,
discipline, or remove an employee; to adjust grievances, or to recommend such
actions, if the exercise of the authority is not merely routine or clerical in
nature but requires the consistent exercise of independent judgment. If an
individual possesses the authority to perform just one of the functions above,
regardless of the number and type of employees supervised, that person is a
supervisor.
6.15 Unacceptable Performance
Performance of an employee who fails to meet established performance standards in one or more critical elements of the employee's position.
7.0 Appraisal Period
The appraisal period is one year, beginning February 1 of each year and ending January 31 of the following year. The first appraisal period under this revised system shall begin 60 days after the issuance of this Manual Section in order to allow adequate time for familiarization with the system and development of performance plans.
8.0 Responsibilities
8.1 Director of Personnel Management
The Director of Personnel Management is responsible for the following:
- Formulating policies and procedures for administering the performance appraisal system, and making them known to the employees;
- Coordinating the performance appraisal system with other personnel processes;
- Establishing controls to assure timely and continuous progress reviews and performance appraisals;
- Providing instructions for developing and identifying critical and non-critical elements and related performance standards;
- Assisting management in preparing warnings when an employee is considered to be performing below the satisfactory level;
- Providing managers, supervisors and employees with adequate training covering their duties and responsibilities;
- Encouraging the use of incentive awards, where appropriate, to motivate and reward employees for high quality performance;
- Conducting periodic evaluations of the effectiveness of the appraisal system and using the findings to refine, alter or improve the system; and
- Assisting managers with alternatives for helping employees to improve their performance.
8.2 Rating Official
A Rating Official is responsible for the following:
- Informing the employee of the overall mission, objectives, goals and long- range plans and activities of the organizational unit;
- Reviewing the employee's position description and ensuring that it accurately describes the duties and responsibilities;
- Encouraging employee participation in the development of specific critical and non-critical elements and performance standards before the appraisal period begins;
- Encouraging group discussions on setting elements and standards for positions with identical duties, when practical;
- Providing the employee with a written performance plan containing the critical and non-critical elements and performance standards before the appraisal period begins;
- Conducting the required progress review and other periodic progress reviews as needed or requested by the employee to discuss performance, adjust critical and non-critical elements and performance standards and communicate changes of objectives and priorities in writing;
- Rendering assistance when needed to improve employee performance and otherwise strengthen supervisor/employee relationships;
- Integrating management and employee goals to the greatest extent possible;
- Preparing a performance appraisal that includes determining, documenting and evaluating the employee's accomplishments in a fair, objective and timely manner;
- Recommending an overall rating for the employee based on job related accomplishments and other relevant criteria;
- Using performance appraisals as a basis for training, rewarding, reassigning, promoting, reducing in grade, retaining and removing employees; and
- Considering employee comments on the appraisal.
8.3 Employee
An employee is responsible for the following:
- Reviewing the position description to ensure that it reflects all of the assigned duties;
- Working with the rating official in establishing critical and non-critical elements and performance standards;
- Requesting and participating in progress reviews as required or as necessary;
- Informing the rating official of essential resources and support needed to meet performance standards, to accomplish goals and objectives; and
- Advising the rating official in a timely manner of any factors or circumstances that the employee believes should be considered in appraising performance; and
- Participating in the discussion and documentation of actual accomplishments during the appraisal period.
8.4 Reviewing Official
A Reviewing Official is responsible for the following:
- Reviewing performance elements and standards to ensure that they are integrated into the total management process and are consistent with overall organizational objectives;
- Reviewing performance plans to ensure equity and consistency in standards within the organization;
- Reviewing the performance appraisal, recommended rating, and any employee comments, only after the appraisal has been completed by rating official to ensure that the recommended rating is properly documented;
- Adjusting performance rating on individual elements of the summary rating if necessary. However, such changes must be based on specific information concerning the employee's performance or on the reviewing official's personal knowledge of such performance;
- Approving or disapproving the appraisal; and
- Reviewing and evaluating the effectiveness of the performance appraisal process within the organization.
9.0 Techniques and Approaches for Developing Critical Elements and Performance Standards
9.1 Sources
Critical and non-critical elements may be drawn from a number of sources,
including mission and function statements, position descriptions, planning
documents, operating budget justifications and affirmative action plans.
Managerial and supervisory duties such as recommending or making personnel
decisions, developing and appraising subordinates and fulfilling equal
opportunity and affirmative action responsibilities must be addressed, where
appropriate.
Critical elements include only those aspects controlled by
the employee and must be consistent with the duties and responsibilities covered
in the employee's position description. Critical elements must cover individual
aspects of a non-supervisory employee's position and both individual and
organizational aspects of an employee's position if that employee supervises a
work unit. Examples of critical elements that reflect individual performance
include those related to administrative responsibilities such as human resources
management, work management, financial management and communication. Examples of
critical elements that reflect organizational performance include program
implementation and program planning.
Performance standards may be
identified from the same sources used to develop critical elements. In addition,
the supervisor's knowledge of program emphasis and resource availability should
be considered. Standards should define performance in terms of product
(what is to be accomplished) and process (how it is to be accomplished).
Standards should be as specific and measurable as possible and, where
applicable, expressed in terms of quality, quantity and timeliness.
Performance standards should be realistic in terms of what is possible
to achieve, and yet challenging enough to stimulate growth. They should take
into account factors such as: available resources, the environment in which the
program operates, and any external factors affecting organizational or
individual capacity to perform. Since these factors may change from year to year
or even within the same year, performance standards should never be viewed as
absolutes. They should be reviewed periodically to assess their validity under
existing circumstances and revised promptly when necessary.
9.2 Number of Critical Elements
The number of critical elements contained in a performance plan will vary from position to position and may change yearly or even within a given year for a specific position. Although most aspects of a position are important, not all are critical. Therefore, if the number of critical elements exceeds eight or nine, the rating official and the employee should discuss the feasibility or grouping elements into broader categories. Common sense should be the guiding principle in making the determination.
9.3 Required Critical Element for Supervisors
A required critical element for all supervisors will be the completion of
performance appraisals by required dates.
10.0 The Appraisal Process
The appraisal process involves three distinct stages: performance planning, progress review and appraisal. This process takes place based on a cycle starting February 1 and ending the following January 31.
10.1 Performance Planning
At least four weeks before the start of the appraisal period, rating
officials and employees, or groups of employees, when practical, shall begin
developing written performance plans for the coming appraisal period. These
plans must include the following:
- Critical and non-critical elements which reflect the employee's major duties and responsibilities; and
- Performance standards which will be used to evaluate levels of accomplishment for these elements. Standards for each element must be set at the Satisfactory and Outstanding levels.
Upon request, rating officials will meet with any employee or group of
employees affected by a particular element or standard to discuss the rating
official's proposals. None of the discussions will constitute negotiations over
the substance of the performance standards. The rating officials shall make the
Agency decision on this matter, consistent with the criteria established in the
law, regulations, contract and this Manual Section. Information used by a rating
official in proposing any standard will be available to all participants prior
to the discussion.
If the rating official and the employee disagree over
the content of any performance plan items, they should attempt to resolve the
disagreements informally with the assistance of the reviewing official. If not
resolved at this level, the higher reviewing official shall make the final
decision.
The employee shall sign the performance plan to indicate that
the plan has been discussed. The employee's signature on the plan does not
indicate agreement with the plan. All performance plans must be completed and
signed by all parties before the appraisal period begins.
For an
employee entering a position after the start of the appraisal period, a
performance plan must be developed within two (2) weeks of the date the employee
entered the position. Such performance plans will cover the period of time
remaining until the end of the appraisal period or 120 days, whichever is
greater.
During the development and review, performance plans should be
considered in terms of the following factors:
- Criticality/Relevance identified?
Have appropriate critical elements been
- Comprehensiveness Does the plan cover all of the employee's significant duties and responsibilities?
- Clarity Are performance elements and standards clearly and fully described?
- Measurability Can achievements be quantitatively and qualitatively measured using established standards?
10.2 Progress Review
At a minimum, the rating official must conduct at least one progress review
with each employee approximately halfway through the appraisal period. An
employee may request additional progress reviews as necessary. The progress
review must include discussion of the following:
- The employee's progress toward meeting the goals and standards included in the performance plan;
- The need for changes in the plan based on changes in responsibilities, priorities or resources; and
- Identification of performance deficiencies, if any, and recommendations on how to improve.
There must be a record of the progress review that will consist of the rating official's and the employee's signatures and dates affixed to the performance plan in the appropriate place. Progress reviews must also be scheduled and conducted for employees who enter positions after the start of the appraisal period and must be completed near the midpoint of the shortened appraisal period.
10.3 Appraisal
Appraisals shall be completed at the end of the appraisal period for all
employees who have occupied their positions for 120 days or more during the
appraisal period, except:
- If an employee is reassigned or promoted within the last 120 days of the appraisal period, the current supervisor will complete an appraisal (within 30 days of the reassignment or promotion) covering the period of time through the employee's last date in that position.
- If an employee has been in a position for less than 120 days at the end of the appraisal period, an appraisal will be completed after the employee has served in the position for 120 days.
The rating official shall initiate the appraisal before the end of the
appraisal period by providing advance notice to the employee of the date and
time for an appraisal meeting. The employee shall be given the option of having
a pre-appraisal meeting with the rating official to:
¿ Present his or
her assessment of results achieved against the standards in the performance
plan;
- Inform the rating official of aspects of the work that the rating official may not be aware; and
- Identify objectives he or she would like to include in the performance plan for the next period.
After the pre-appraisal meeting, if any, the rating official shall prepare
and discuss with the employee a draft of the performance appraisal. This
appraisal must be based on an assessment of the employee's performance against
the set standards in the performance plan and must include a recommended rating
of one of the levels of achievement defined in paragraph 11.1. The employee will
have at least one week to review and comment on the proposed rating. The rating
official and the employee shall try to resolve any disagreement on the
appraisal. If a disagreement still exists, the rating official shall submit the
proposed appraisal and rating, along with the employee's comments, to the
reviewing official who shall try to resolve the conflicting issues in the
appraisal. If changes are introduced by the reviewing official, he or she will
discuss the proposed changes with the rating official and the employee before
making them final. The office director shall have final authority for resolving
any remaining conflicts. All parties shall sign the appraisal form as evidence
of discussion, but the employee's signature does not imply agreement with the
rating nor does it constitute a waiver of the employee's rights.
All
appraisals must be completed and submitted to the Personnel Director (M/PM) no
later than thirty (30) days after the end of the appraisal period.
10.3.1 Appraising Performance While on Detail
When an employee is officially detailed to another position for a period of
120 days or longer, the employee's performance in that position must be
appraised by the supervisor who has jurisdiction over the position within 30
days after the end of the detail. This appraisal will be based on
pre-established critical elements and performance standards that were prepared
and discussed with the employee when he or she entered the position. Appropriate
revision of the original performance plan should be made so that the appraisal
of the employee's performance while on detail can be given appropriate
consideration in the overall appraisal.
11.0 Performance Ratings
11.1 Rating Performance Elements
Official performance ratings for each element must use the adjective (from the following list of four) that is most descriptive of the performance.
11.1.1 Outstanding
Performance on an element that meets or exceeds standards set at the beginning of the rating period for outstanding performance. Standards set at this level must show that the overall performance is expected to be of such exceptional quality that the level of performance substantially exceeds what is necessary to accomplish the work. An adjective rating at this level must be supported by a detailed explanation of how the performance met the standards set at this level and must be approved by the Director (M/PM) before the rating becomes official.
11.1.2 Excellent
Performance on an element that exceeds the standards set at the satisfactory level but less than the outstanding level. Such a rating must be justified with a description of how the performance exceeded the satisfactory standards.
11.1.3 Satisfactory
Performance on an element that meets the standards set for satisfactory performance.
11.1.4 Unsatisfactory
Performance on an element that does not meet the standards set for satisfactory performance. A rating at this level must be fully documented and must be approved by the Director (M/PM).
11.2 Element Rating Point Values
An adjective rating for each element shall carry the following numerical point values:
| Outstanding | 3 points |
| Excellent | 2 points |
| Satisfactory | 1 point |
| Unsatisfactory | 0 point |
Critical elements shall be given a weight of two; non-critical elements
shall be given a weight of one.
11.3 Summary Rating
Each element rated should be assigned the appropriate number of rating
points. Performance points are determined by multiplying the rating points for
each element by the weight of the element. The final summary rating for the
performance appraisal is determined by dividing the sum of all the performance
points by the sum of all the weights.
The overall adjective rating that
accompanies the final summary rating will be based on the following table,
except that an unsatisfactory rating for any critical element will
automatically require an overall adjective rating of unsatisfactory.
|
SUMMARY RATING POINTS RATING |
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| ADJECTIVE | ADJECTIVE RATING | ||
| 0-.50 | Unsatisfactory | ||
| 51-1.50 | Satisfactory | ||
| 1.51-2.50 | Excellent | ||
| 2.51-3.00 | Outstanding | ||
An overall rating cannot be appealed. Bargaining unit employees may
grieve the overall rating under the Negotiated Agreement. All other employees
may grieve the overall rating under the Agency Grievance Procedure.
12.0 Warning Prior to Issuing an Unsatisfactory Rating
12.1 General
Prior to assigning an overall unsatisfactory rating, the supervisor is
required to issue a 90-day warning and make a reasonable effort to help the
employee during the warning period. A notice of warning must be issued in time
to allow for a 90-day period to expire on or before the end of the appraisal
period; otherwise, the assignment of a rating for each element and an overall
rating of unsatisfactory must be deferred until the end of the 90-days.
NOTE: An employee may be removed or demoted at any time during
the appraisal cycle when his or her performance becomes unacceptable. No formal
overall appraisal is required (see paragraph 13).
12.2 Procedure
The warning must be made in writing and must inform the employee of the
following:
- Which critical element(s) the employee failed to meet satisfactorily and how he or she failed to meet it;
- What the employee must do to bring the performance to an acceptable level within the 90-day period; and
- What efforts the rating official will make to help the employee to overcome the deficiencies and meet the performance standards.
Rating and reviewing officials are required to seek guidance from the Employee Relations Specialist, Office of Personnel Management, in each case where a 90-day warning is being contemplated.
12.3 Following the Warning
At the end of the 90-day warning period, if the employee's performance has
not reached a satisfactory level, an unsatisfactory rating must be given and
must be accompanied by a written statement that justifies the rating and
compares the employee's performance with the established standards cited in the
initial warning. The statement must also specify the following:
- The facts stated in the prior warning;
- The efforts made to help the employee improve performance during the warning period;
- Specific examples of the employee's failure to improve sufficiently during the warning period; and
- The employee's appeal and/or grievance rights.
12.4 Corrective Action Following Unsatisfactory Performance
Corrective action must be taken when performance has been determined to be
less than satisfactory. The corrective action may be formal or on the job
training, reassignment, reduction in grade or removal from the position.
13.0 Reduction in Grade or Removal Based on Unacceptable Performance
Employees may be reduced in grade or removed from their positions at any time
for unacceptable performance. Unacceptable performance is defined as failure to
meet established satisfactory performance standards for any one critical element
of the employee's official position. In cases where it is apparent to a
supervisor that an employee is performing at an unacceptable level, the
supervisor may propose to have the employee reduced in grade or removed before
the end of the normal appraisal period. However, if the proposal is initiated
within the last 90-days of the appraisal cycle, the procedures in MS 626,
paragraph 12. must be used. In all other cases, the supervisor shall inform the
employee of his or her performance deficiencies and give the employee at least
sixty (60) days to demonstrate acceptable performance.
Supervisors are
required by law to communicate performance standards and critical elements to
employees. Good supervision includes informing and assisting employees in
improving unacceptable performance. Employees should be encouraged to discuss
factors that may cause unacceptable performance. Appraising performance is an
ongoing process. Supervisors monitor job performance on a daily basis. At the
first signs of a performance problem, supervisors should consider whether
counseling would help an employee overcome the problem.
An employee must
be given the opportunity to demonstrate acceptable performance. Thus, the
employee must be afforded a reasonable time to show whether he or she can
perform acceptably before a notice of proposed demotion or removal can be
issued. During this period, more intensive supervision and training may be
necessary or appropriate.
13.1 Procedure
An employee whose reduction in grade or removal is proposed shall be provided
with a 30 day advance written notice of the proposed action which:
- Identifies specific instances of the unacceptable performance on which the proposed action is based;
- Identifies the critical elements involved in each instance of unacceptable performance;
- Allows the employee 7 to 14 days from date of receipt of notice to furnish affidavits and other documentary evidence in support of the employee's response;
- Indicates that the employee may be represented by an attorney or other representative; and
- Provides for careful consideration of the employee's answer and for a written decision that will specify the reasons for disciplinary action. The supervisor or reviewing official may extend the notice period for not more than 30 days.
Within 30 days after the expiration of the notice period, the employee shall be given a written decision concerning the proposed action. Unless proposed by the head of the Agency, the decision must be concurred on by the next higher level of supervision over the supervisor who proposed the action.
13.2 Appeals
If the proposed reduction in grade or removal is made final, competitive
service employees may make a formal appeal to the Merit Systems Protection Board
in accordance with 5 U.S.C. 7701. Foreign Service employees may appeal under the
appropriate grievance procedure.
Employees who believe they have been
subjected to any prohibited personnel practice, as defined in 5 U.S.C. 2302, may
initiate a complaint with the Merit Systems Protection Board (MSPB).
The
supervisor shall maintain the following: copies of the notice proposing to
remove or reduce the employee in grade for unacceptable performance; the
employee's written response or a written summary if the response was made
orally; and the notice of decision with supporting justification. These shall be
furnished to the Merit Systems Protection Board (MSPB) or other appropriate
officials and to the affected employee upon request.
14.0 Evaluation of Effectiveness of the System
Annually the Office of Personnel Management (M/PM) will conduct an effectiveness evaluation of the performance appraisal system to determine its effectiveness and compliance with laws and regulations. These evaluations will generally be conducted in conjunction with periodic evaluations of other personnel management programs.
15.0 Records Maintenance
Summary appraisals, as well as all supporting documents, are considered part
of the overall Employee Performance File system established by the U.S. Office
of Personnel Management (U.S. OPM). Maintenance of these records shall be
consistent with the U.S. OPM's regulations of records management, implementation
of the Privacy Act and any other applicable regulations and instructions.
16.0 Orientation for Supervisors and Employees
Personnel Management will provide supervisors and employees orientation on the appraisal process, particularly on the development of performance standards and critical elements and how they serve as a basis for making personnel decisions.
17.0 Relationship of Performance Appraisal to the Employee Counseling Program
The primary purposes of the performance appraisal process are to provide management with information on the employee's performance and employees with information on improving their performance. It is through the process of appraisal that supervisors can identify employee performance deficiencies at an early stage and explore the options for correcting deficiencies. One of the options considered should be the employee counseling program which is covered in MS 658 "Employee Assistance Program". Performance appraisals, in identifying unacceptable performance, serve as an important source of information in making referrals to the Agency counseling program. Counseling programs help pinpoint the causes of performance problems and, in many cases, can successfully assist employees to get help and eventually correct problems. Referrals can be made at any time. Even when an employee is formally being given the opportunity to demonstrate acceptable performance, supervisors may still make a referral to the Agency counseling program as part of that opportunity. Any supervisor wishing to make such a referral should contact the Employee Relations Specialist, Office of Personnel Management.
17.1 Suggested Steps when a Performance Deficiency is Identified
The following steps suggest how the counseling program can assist when a
performance deficiency is identified:
- The supervisor monitors performance on a continuous basis.
- The supervisor identifies and discusses with the employee work that fails to meet performance standards.
- The supervisor may discuss the situation at this point with the counseling program coordinator in the Office of Personnel Management. The supervisor should not try to ascertain the nature of any personal problem.
- The supervisor offers the employee referral to the counseling program, if appropriate, and may continue to discuss the situation with the counseling program coordinator.
- If formal action is decided upon, the supervisor advises the employee of the opportunity to demonstrate acceptable performance and provides additional assistance as appropriate.
- If the employee, either prior to or during the formal opportunity period for improving performance, agrees to seek counseling, further action may take into account whether the employee is cooperating with a recommended plan of counseling, treatment and/or rehabilitation.
- If acceptable performance does not result, other remedial action or, if necessary, demotion or removal may be appropriate.
Further guidance regarding the Agency's counseling program may be found in MS 658 or by contacting Personnel Management's Employee Relations Specialist.
18.0 Effective Date
This Manual Section takes effect on the date of issuance.