GENERAL SERVICES ADMINISTRATION
Washington, DC 20405
HRM 9430.3
November 27, 2018
GSA ORDER
SUBJECT: Supervisory and Managerial Probationary Period
1. Purpose. The success of GSA programs depends on the quality of supervision from GSA supervisors and managers. The probationary period gives new supervisors and managers a chance to develop the unique skills and abilities that cannot readily be taught or developed in other kinds of positions. The probationary period provides the opportunity to assess the new supervisor’s or manager’s performance (not technical ability or program knowledge) and ascertain their success or return them to a non-supervisory or non-managerial position if warranted.
2. Background. This Order is updated to reflect current Federal regulations, guidance and business practices.
3. Scope and applicability. Upon initial appointment to a permanent supervisory or managerial position, an employee is required to complete a supervisory or managerial probationary period probationary period of one year.
a. Coverage: This Order applies to appointments and positions with or without time limitation in the competitive service and excepted service. This requirement must be met whether the appointment results from lateral reassignment, promotion, or demotion.
b. Exclusions: This Order does not apply to members of the Senior Executive Service, or employees serving on temporary limited positions of one year or less..
c. The Office of Inspector General (OIG) has independent personnel authority. See Section 6 of the Inspector General Act of 1978, (5 U.S.C. App.3), as amended (Inspector General is authorized “to select, appoint, and employ such officers and employees as may be necessary for carrying out the functions, powers and duties of the Office of Inspector General”) and GSA Order ADM P 5450.39D GSA Delegations of Authority Manual (Delegations Manual), Chapter 2, Part 1 (“the Inspector General has independent authority to formulate policies and make determinations concerning human capital issues within the [OIG]” and GSA determinations/delegations do not limit that authority). Similarly, GSA specifically recognizes that the Inspector General has independent authority to formulate policies and make determinations concerning training, employee development, and career management.
d. This Order does not apply to the Chair, Vice Chair, and Members of the Civilian Board of Contract Appeals (CBCA). GSA specifically recognizes that this Order applies to the Civilian Board of Contract Appeals only to the extent that it is consistent with the CBCA's requisite independence as defined by the Contract Disputes Act (CDA) and its legislative history. 41 U.S.C. §§ 7101-7109 (2012) and S. Rep. No. 95-1118 (1978).
4. Cancellation. CPO 9430.1 Supervisory and Managerial Probationary Periods, is cancelled.
5. Responsibilities. The supervisor or manager is responsible for assessing the new appointees’ supervisory or managerial performance during the probationary period and making a determination on whether the appointee has successfully complete this initial period.
6. Revision. This revision brings the Order into compliance with current Federal regulations, guidance and business practices. This revision includes the following:
a. Service in a non-supervisory or non-managerial position during the supervisory probationary period is not creditable. 5 CFR 315.906(b).
b. Updating terms in policy, sections, IG statement and table of contents.
c. Resolution of disputes includes appropriate appeals to Merit Systems Protection Board or the Equal Employment Opportunity Commission. 5 CFR 315.908(b) & 315.909(b).
d. An employee who is returned to a non-supervisory non-managerial position because of performance deficiency or conduct during the probation period must receive a written notice prior or as the permanent action is
taken. 315.907(c).
e. Upon completion of the probationary period GSA Form 3192 is to be filed on the permanent side of the official personnel folder.
f. Managers who have satisfactorily completed a probationary period as a supervisor as justified on the basis of performance and experience are not required to serve an additional probationary period. 5 CFR 315.904(b)
6. Implementation. This issuance must be carried out in accordance with applicable laws and regulations.
7. Signature.
/S/________________________
ANTONIA T. HARRIS
Chief Human Capital Officer
Office of Human Resources Management
Table of Contents
Sections Page
1. Introduction………………..…………………………………………...……........… 5
2. References………………..…………………………………………...……........…. 5
3. Responsibilities……………….…………………………..…………………………. 5
4. Forms.……………….…………………………………..……………………………. 6
5. Requirement for Training………….……………………..………………………… 7
6. Extension of Probationary Period….................………..…………………………. 7
7. Credit of service toward completion of Probation…….………………………….. 7
8. Required Notice and Documentation …………………….……………….……… 8
9. Relationship to Other Actions…………………………….………………….…… 8
10. Resolution of Disputes ………………………………………….………….……… 9
11. Pay and Placement Rights for an Employee who Fails to Satisfactorily
Complete the Probationary Period …………………………….…………….…… 9
12. Responsibilities from Program Management and Oversight…………………… 10
13. Recordkeeping ………………………………………………….….…………..…… 10
14. Definitions …………………………………………………………..…………..…… 11
1. Introduction. Supervisory and Managerial Probationary or Trial Periods are a critical component of GSA's performance management process and its purpose is to improve GSA's performance results and give new supervisors and managers a chance to develop the unique skills and abilities that cannot readily be taught or developed in other kinds of positions. The period is to assess if the probationer can successfully transition into a supervisory role and if not return them to their previous position.
2. References. This Order complies with:
a. 5 U.S.C 3321, 5 CFR Part 315, Subpart I
3. Responsibilities. The supervisory probationary period is to be implemented with the following roles and responsibilities:
a. The supervisor of the supervisor or the manager under the probationary period is responsible for:
(1) Monitoring the progress of the probationer;
(2) Informing the probationer of the performance elements and standards within the performance plan that will be used to evaluate the employee;
(3) Informing the probationer promptly of observed deficiencies in performance or conduct via counseling, and/ or formal notification;
(4) Taking any other timely corrective or remedial action as may be appropriate within the probationary period; and
(5) Completing GSA Form 3192, Probationary Period Appraisal Report for Supervisor/Manager, no later than the end of the 10th month of probation or when there is evidence of poor performance. Submit completed form to the servicing HR office or appropriate system.
b. The Reviewing Official or Manager for GSA Form 3192 is the person who supervises the probationer's immediate supervisor. The authority to act as reviewing official may be preempted by a higher-level official. The reviewing official is responsible for:
(1) Monitoring the progress of the probationer;
(2) Taking or suggesting appropriate remedial action; and
(3) Deciding whether the probationer has satisfactorily demonstrated ability to perform the supervisory and/or managerial aspects of the particular job to which the probationer is assigned. (The reviewing official is not responsible for evaluating the probationer's potential ability to perform the duties of any other position).
c. The Office of Human Resources Management (OHRM) is responsible for:
(1) Identifying which positions require a supervisory probationary period;
(2) Identifying whether the employee is required to undergo a supervisory/managerial probationary period;
(3) Informing the supervisor of the employee of his/her responsibilities while their employee is on probation;
(4) Provide required supervisory training;
(5) Monitoring the use of the GSA Form 3192 to support its completion no later than the end of the 10th month of probation; and
(6) Filing the completed GSA Form 3192 within the OPF.
4. Forms.
a. GSA Form 3192 may be used to:
(1) Inform a new probationer of the factors on which he or she will be evaluated during probation;
(2) Provide an interim progress report to the probationer and the reviewing official;
(3) Provide documentation of a supervisor's appraisal of the probationer if the supervisor is changing jobs before the probationer completes probation; and
(4) Provide documentation of the probationer's progress to date if the probationer is being detailed or reassigned to another position.
b. GSA Form 3192 shall be used to:
(1) Recommend return of the employee to a non-supervisory and/or a non-managerial position; or
(2) Recommend that the employee be found to have successfully completed probation.
5. Requirement for training. The probationer's supervisor must take particular care that training is provided as appropriate and available to remedy observed deficiencies in performance. On-the-job training with close supervision and counseling should not be neglected. In addition, formal instruction must be provided to newly selected supervisors in accordance with HRM P 9410.1A GSAs Workforce Learning and Development Policy.
6. Extension of probationary period. Any non-pay time (other than absence because of compensable injury or military duty) in excess of 22 workdays automatically extends the probationary period by an equal amount of workdays. There is no other basis for extension of the probationary period.
7. Credit of service toward completion of probation.
a. Creditable Service.
(1) An employee who is transferred, reassigned, demoted, or promoted from any supervisory, managerial, or combined supervisory managerial position to any other supervisory, managerial, or combined supervisory-managerial position before completing the probationary requirement for the first position shall have all probationary service in the first position credited toward the probationary period for the second position.
(2) Any service on detail, temporary promotion, or reassignment to another supervisory or managerial position while serving probation is creditable toward completion of probation.
(3) Absence in non-pay status while on the rolls (other than for compensable injury or military duty) is creditable up to a total of 22 workdays. Absence (whether on or off the rolls) due to compensable injury or military duty is creditable in full upon restoration to Federal service. Non-pay time in excess of 22 workdays extends the probationary period by an equal amount.
(4) Temporary service in a supervisory or managerial position under temporary appointment, promotion, reassignment or any position changes prior to the implementation of the probation period is creditable. Prior service under a detail may be credited only when a detail to a supervisory or managerial position is made permanent without a break in service.
(5) Managers who have satisfactorily completed a probationary period as a supervisor as justified on the basis of performance and experience are not required to serve an additional probationary period.
(6) An employee who satisfactorily completes a supervisory or managerial trial period in the excepted service may not have that time credited towards completion of the one year probationary period for supervisors and managers in the competitive service. Conversely, an employee who has completed a probationary period as a supervisor or manager in the competitive service will have the time credited toward the trial period required for the supervisory or managerial position in the excepted service.
b. Non-Creditable Service.
(1) Service in a non-supervisory or non-managerial position during the supervisory probationary period is not creditable.
(2) Service during a probationary period from which an employee was separated or demoted for performance or conduct reasons does not count toward completion of probation required under a subsequent appointment.
(3) An employee who has a voluntary break in service of more than 30 calendar days before completion of the supervisory or managerial probationary period shall be required to serve a new probationary period.
(4) When an employee is returned to a non-supervisory or non-managerial position before completion of probation because of deficiencies in performance or conduct, the service completed shall not be creditable toward any subsequent probationary period.
8. Required notice and documentation.
a. An employee will be notified through the appointment SF-50 that the employee is being placed into a supervisory or management position and is required to serve a probationary period.
b. An employee who is returned to a non-supervisory or non-managerial position because of performance deficiency during the probation period must receive a written notice of the decision, including an explanation of the reasons for the decision, before the end of probation.
c. The reassignment to a position in the agency of no lower grade and pay than the one the employee left to take the supervisory or managerial position or must be documented on the SF-50 affecting the action in accordance with instructions in Chapter 14 of the Office of Personnel Management (OPM) Guide to Processing Personnel Actions.
9. Relationship to other actions.
a. If an employee who is serving a probationary period as a supervisor or manager is also serving a probationary period for competitive appointment, the procedures under 5 CFR 315 Subpart H shall take precedence.
b. If a probationary supervisor or manager who has completed the probation or trial period for a competitive appointment is demoted for reasons other than performance deficiencies, the demotion must be processed in accordance with 5 CFR Part 752, 432 or Part 351, as appropriate.
c. If a probationary supervisor or manager who has completed the trial period for a excepted service appointment is demoted for reasons other than performance deficiencies, the demotion must be processed in accordance with the applicable regulation that is appropriate for the appointment.
d. Vacancy announcements for supervisory or managerial positions should clearly identify the positions as requiring a probationary period of one year for initial appointment and should identify them as supervisory or managerial. Reference section 14.
10. Resolution of disputes. An employee is required to serve the supervisory probationary period and a employee may only use the agency grievance procedure to obtain review of a decision that the employee must serve a probationary period based on evidence of creditable service. An employee who alleges that an action under this Order was based on illegal discrimination pursuant to 29 CFR Part 1614 must contact the Office of Civil Rights within 45 calendar days of: (a) the date of the incident alleged to be discriminatory, or (b) the date when the employee reasonably should have known that the discriminatory matter occurred. Information on how to contact an EEO official to file an EEO complaint along with information regarding EEO laws, regulations, policies, and procedures are available on GSA Insite.
11. Pay and placement rights for an employee who fails to satisfactorily complete the probationary period. With the exception of employees who are simultaneously serving a probationary period under 5 CFR 315 Subpart H, an employee who fails to satisfactorily complete a probationary period under this part has the following pay and placement rights:
a. If the employee transferred from another agency, the employee has the right to placement in GSA in a position of the same grade and pay as the position from which the employee was transferred;
b. If the employee was appointed based on reinstatement eligibility, the employee has the right to placement in GSA in another position of the same grade and pay from their last Federal position;
c. If the employee was appointed from another position within GSA, the employee has the right to placement in GSA at the same grade and pay as the position from which the employee was selected prior to appointment to the supervisory or managerial position;
d. If placement under (a), (b) or (c) in this section and the agency is conducting a reduction in force, the employee will be required to compete for retention from the position to which the employee is assigned; and
e. If the employee is demoted under (a) or (b), then the employee is entitled to be placed at no lower grade and pay than the one the employee left to accept the supervisory or managerial position. GSA at its discretion in accordance with 9550.1 CPO P Pay Administration and Position Classification Handbook may apply an employee’s highest previous rate, but the highest previous rate must not be based on a rate held only during a supervisory or managerial probationary or trial period from which the employee was removed, a rate from a position where either the rate or the position itself was not legally attained, or a rate from a former position from which the employee was removed for misconduct, delinquency, or poor performance.
12. Responsibilities from Program Management and Oversight. OHRM will conduct periodic reviews to ensure proper implementation and compliance with this Order.
13. Recordkeeping. Upon completion of the probationary period, GSA Form 3192 will be filed on the permanent side of the official personnel folder. OPM Guide to Processing Personnel Actions is to be followed for documenting probationary period requirements upon appointment to a supervisory or managerial position. Notices of proposed reduction in grade or removal that are issued, but not affected must be destroyed after the employee has completed one year of satisfactory performance. Electronic signatures and documents as appropriate may be used to support the implementation of this Order.
14. Definitions.
a. Appointment. This means the appointment is new to the competitive service or excepted service or personnel actions that move an employee from one position to another position through lateral reassignment, promotion, position change, detail or demotion. The appointment must be documented by an SF-50, Notice of Personnel Action, and must be to a permanent position or to a time-limited appointment that is not limited to 120 calendar days or less.
b. Managerial position. This means the position meets the Civil Service Reform Act definition and occupies a position which meets the labor management definition of supervisor as defined in 5 U.S.C. 7103(a) (10), but does not meet the minimum requirements for application of the General Schedule Supervisory Guide page 3 “Exclusions”. Examples include having authority in the interest of the agency to hire, direct, assign, promote, reward, transfer, furlough, layoff, recall, suspend, discipline, or remove employees, to adjust their grievances, or to effectively recommend such action, if the exercise of the authority is not merely routine or clerical in nature but requires the consistent exercise of independent judgment.
c. Nonpay. This includes but is not limited to furloughs, leave without pay, suspensions, or other placements in nonpay status.
d. Probationary period. The first year of service of an employee who is given a career or career-conditional appointment is a probationary period. Reference 5 CFR 315.801.
e. Supervisory position. This means position that is titled "supervisory" or equivalent for classification purposes under the General Schedule Supervisory Guide or, if under the wage system, the Federal Wage System Job Grading Standard for Supervisors. An equivalent title is one that is used for positions that are classified by use of an occupational standard that contains supervisory classes. Such positions must meet the minimum requirements of the General Schedule Supervisory Guide to be considered supervisory for purposes of this part.
f. Trial period. Reference 9302.1 HRM Employment in the Excepted Service and 9316.1 CPO Temporary and Term Employment and Appointments
U.S. General Services Administration