[Material Transmitted]{.underline}:

Department of Health and Human Services (HHS) Instruction 315-1,
Probationary and Trial Periods, dated January 26, 2009.

[Material Superseded]{.underline}:

HHS Instruction 315-1, Probationary Periods, dated March 13, 1996.

[Background]{.underline}:

This Instruction has been superseded because of changes in 5 CFR 316 on
trial periods for the excepted service and OPM guidance on the revised
definition of "employee" in the excepted and competitive services with
respect to protections under 5 CFR 752 involving appeal rights to the
Merit Systems Protection Board (MSPB).

The proposed instruction covers trial periods in the excepted service in
addition to probationary periods in the competitive service and provides
more detailed guidance on pertinent definitions, roles and
responsibilities, creditable service toward completion of trial and
probationary periods, and appeal rights.

This issuance is effective immediately. Implementation under this
issuance must be carried out in accordance with applicable laws,
regulations, bargaining agreements, and Departmental policy.

Antonia T. Harris

Deputy Assistant Secretary for Human Resources

INSTRUCTION 315-1

**PROBATIONARY AND TRIAL PERIODS**

315-1-00 Purpose

315-1-10 References

315-1-20 Coverage and Exclusions

30. Definitions

315-1-40 Responsibilities

315-1-50 Initial Probationary or Trial Period

315-1-60 Supervisory and Managerial Probationary Period

315-1-70 Appeals

315-1-80 Documentation

Exhibit 315-1-A: Sample Notification to Supervisor of Employee Serving a
Probationary or Trial Period

Exhibit 315-1-B: Sample Notice to Supervisors Regarding a Subordinate
Nearing Completion of a Probationary Period and Probationary Employee

Exhibit 315-1-B-1: Probationary Employee Certification and
Recommendation Form (Initial Probationary Period)

Exhibit 315-1-B-2: Probationary Employee Certification and
Recommendation Form (Supervisory or Managerial Probationary Period)

**315- 1- 00** **PURPOSE**

The purpose of this Instruction is to promulgate policy and procedures
for the administration of probationary and trial periods for employees
in the competitive and the excepted service within the Department of
Health and Human Services (HHS). In addition, the Instruction outlines
the roles and responsibilities within the Department with regard to the
administration of employee probationary and trial periods. Generally, a
probationary period is for one year for competitive service employees
while a trial period is for one to two years for excepted service
employees. Moreover, excepted service employees who are appointed to
positions lasting more than one year (indefinite) are required to serve
a trial period of one year.

In addition to completion of an initial probationary or trial period,
employees on their initial appointment to a supervisory or managerial
position are required to satisfactorily complete a minimum one year
probationary period in order to be retained in the supervisory or
managerial position.

Within HHS, probationary and trial periods will be fully utilized by
supervisors and managers to evaluate the effectiveness of new employees,
new supervisors, and new managers. Also, in both the competitive
examining process and the excepted examining process, the probationary
and trial periods, respectively will be utilized as the final phase of
the examining process, in which the appointee's actual performance of
the duties and responsibilities of the position to which appointed, can
be observed and assessed. The provisions of this Instruction apply to
both the competitive and the excepted service, unless specifically
stated otherwise.

The provisions of this instruction are effective on the date of its
issuance.

**315-1-10 REFERENCES**

A.  5 USC Sec. 3321 (Competitive Service; probationary period)

B.  5 CFR Part 315, Subpart H, Probation on Initial Appointment to a
    Competitive Position

C.  5 CFR Part 315, Subpart I, Probation on Initial Appointment to a
    Supervisory or Managerial Position

D.  5 USC § 7511 (Adverse Actions, employee defined)

E.  5 CFR Part 351 (Reduction in Force, Retention Group for Excepted
    Service; trial period)

F.  5 CFR Part 316 (Temporary and Term Employment; trial period)

G.  Memorandum for Chief Human Capital Officers Dated March 21, 2007.
    (Change in Employee Coverage under Adverse Action Procedures)

**315-1-20 COVERAGE AND EXCLUSIONS**

A.  Coverage

This instruction applies to all HHS employees serving in the competitive
service and excepted service at grades GS-1 through GS-15, HHS employees
serving in Federal Wage System (FWS) positions, and HHS employees
serving in positions in other pay plans in the competitive and excepted
service.

B.  Exclusions

This instruction does not apply to members of the Senior Executive
Service or employees serving on temporary limited positions of one year
or less in the competitive and excepted service.

Note: When the provisions of a negotiated labor/management agreement
differ from the provisions of this instruction, the agreement takes
precedence for those employees covered by the negotiated
labor/management agreement.

30. **DEFINITIONS**

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A.  [Probationary period]{.underline}. Typically the first year of year
    of service of an employee in the competitive service who is given a
    career or career conditional appointment during which an agency may
    determine an individual's fitness and qualifications for continued
    employment, and may terminate the individual with limited appeal
    rights. In addition, upon initial appointment to a supervisory or
    managerial position, an employee must satisfactorily complete a
    one-year probationary period for a supervisory position or a one
    year probationary period for a managerial position (an exception may
    be authorized in limited circumstances).

B.  [Trial Period]{.underline}. A trial period is for one to two years
    in the excepted service and has the same purpose of a probationary
    period in the competitive service. Moreover, the first year of
    service of a term employee is a trial period regardless of the
    method of appointment. Prior Federal civilian service is credited
    toward completion of the required trial period in the same manner as
    prescribed for the competitive service in 5 CFR 315.802 (i.e. same
    agency, same line of work, and is followed by a break of 30 calendar
    days or less).

C.  [Manager]{.underline}. An employee who possesses the authority to
    direct the work of an organizational unit, is held accountable for
    the success of specific line or staff functions, monitors and
    evaluates success in achieving goals, sets and adjusts schedules,
    and commits resources.

D.  [Supervisor]{.underline}. An employee who accomplishes work through
    the direction of other people and performs at least the minimum
    supervisory duties required for coverage under the Office of
    Personnel Management (OPM) General Schedule Supervisory Guide (Note:
    This guide will be replaced by the Supervisory Position Evaluation
    Guide).

**315-1-40 RESPONSIBILITIES**

A.  Office of Human Resources (OHR), Assistant Secretary for
    Administration and Management (ASAM), is responsible for:

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1.  Updating and maintaining this policy.

2.  Advising operating Human Resources organizations (OHROs) on the use
    of probationary (or trial) periods.

3.  Approving requests for approval of exceptions to the normal one-year
    probationary period requirement for initial appointments to
    supervisory or managerial positions for specific occupations.

4.  Approving exceptions to the two-year trial periods in the excepted
    service that are not currently authorized by law, regulation, or
    special exception.

B. Operating Division (OPDIV) supervisors and managers are responsible
for:

1.  Implementing the provisions of the references within their
    respective organizations.

2.  Informing employees of job expectations for performance and conduct,
    including performance standards and workplace policies and
    procedures.

3.  Providing feedback on performance and conduct on a regular basis.

4.  Evaluating the effectiveness of employees serving on probationary
    (or trial) periods.

5.  Observing OPDIV-specific policy on exceptions to the one-year
    supervisory and managerial probationary periods, as needed, for
    specific occupations.

6.  Advising employees serving on probationary (or trial) periods of
    their progress during the probationary (or trial) period and the
    final decision as to retention in the position prior to the end of
    the probationary (or trial) period.

7.  Initiating and deciding on any action to terminate, demote, or
    reassign a probationary (or trial) employee for unsatisfactory
    completion of the probationary (or trial) period.

C. OHROs are responsible for:

1.  Advising OPDIVs on the proper use of probationary (or trial)
    periods.

2.  Determining the requirement for an employee to serve a probationary
    (or trial) period upon his/her her appointment or promotion, or
    assignment to a supervisory or managerial position.

3.  Notifying employees in writing of the requirement to serve a
    probationary (or trial) period and to complete the probationary (or
    trial) period satisfactorily in order to be retained in the
    position.

4.  Notifying employees in writing of their obligations or rights during
    a probationary (or trial) period or with regard to an action to
    terminate, demote, or reassign for unsatisfactory completion of a
    probationary (or trial) period.

5.  Notifying supervisors in writing when subordinates are entering
    probationary (or trial) periods and nearing completion of
    probationary (or trial) periods.

6.  Establishing internal procedures for tracking individuals on
    probationary (or trial) periods, notifying supervisors or managers
    that an evaluation and decision on retention is necessary, and
    designating documentation requirements used for these purposes.

7.  Ensuring that the Standard Form 50, "Notification of Personnel
    Action," is properly annotated when a personnel action is effected
    which requires an employee to serve a probationary (or trial)
    period.

8.  Assisting supervisors and managers with any third party proceedings
    in regard to probationary (or trial) periods or actions taken during
    probationary (or trial) periods.

9.  Approving exceptions for creditable temporary service toward
    completion of the probationary period for supervisors or managers.

10. Approving exceptions to the one year probationary period requirement
    for initial appointments to supervisory or managerial positions in
    the competitive service based on prior comparable experience.

**315-1-50 INITIAL PROBATIONARY OR TRIAL PERIOD**

A. Basic Policy.

1\. Employees in the competitive service who are appointed to positions
without time limitation achieve competitive status upon completion of a
one year probationary period.

2\. Employees in the excepted service who are appointed to positions
without time limitation must satisfactorily complete a one or two-year
trial period. However, the first year of a term appointment is a trial
period regardless of the method of appointment.

3\. Employees who are appointed to Schedule A or B positions (e.g.
formal intern programs) in the excepted service who may be converted to
the competitive service upon completion of two years of satisfactory
service are deemed to have completed a probationary period upon
conversion to the competitive service.

4\. Students appointed to the Student Career Employment Program (SCEP)
who are converted to career or career conditional appointments in the
competitive service may have the time spent on the SCEP appointment
credited towards the probationary period provided it meets the
requirements of 5 CFR 315.802 (i.e. same agency, same line of work, and
no more than 30 calendar days break in service).

5\. An employee who has completed a probationary period in the
competitive service may be required to serve a trial period of one year
or more in the excepted service, subject to approval of the OHRO in
consultation with the hiring manager.

6.  An employee who has completed a trial period in the excepted service
    must complete a probationary period in the competitive service,
    unless an exception is authorized by 5 CFR 315.801.

B. Procedures during Probationary or Trial Period

> HHS will utilize the initial probationary (or trial) period as fully
> as possible as an extension of the hiring process in order to
> determine the fitness of the employee and will terminate him/her at
> any time during this period if he/she fails to demonstrate acceptable
> performance and conduct for continued employment.

1.  All employees will be notified in writing at the beginning of the
    initial probationary (or trial) period that they will be subject to
    a one year probationary or one or two year trial period and that
    continued employment is contingent upon satisfactory completion of
    the probationary or trial period.

    a.  Written notification may be provided in the initial appointment
        letter or by separate memorandum or form letter.

    b.  For example, for a new competitive service employee serving on a
        probationary period: "As a new employee serving on a competitive
        service appointment in the Federal civil service, you will be
        required to complete a one-year probationary period. This period
        provides your supervisor with an opportunity to assess your
        conduct and job performance. Please note that an employee
        serving on a probationary period may be terminated at any time
        during this period, with limited appeal rights, for unacceptable
        job performance or unacceptable conduct."

    c.  For example, for a new excepted service employee serving on a
        trial period: "As a new employee serving on an excepted service
        appointment in the Federal civil service, you will be required
        to complete a one- (or two-) year trial period. This period
        provides your supervisor with an opportunity to assess your
        conduct and job performance. Please note that an employee
        serving on a trial period may be terminated at any time during
        this period, with limited appeal rights, for unacceptable job
        performance or unacceptable conduct."

2.  Supervisors should establish and communicate performance and conduct
    requirements to probationary (and trial) employees and help them to
    succeed through appropriate training and guidance. Performance
    should be evaluated on a regular basis, employees provided feedback,
    and steps taken to terminate probationary (or trial) employees who,
    after a reasonable period of time, do not meet acceptable
    performance or conduct standards.

3.  Supervisors will be notified in writing by their OHROs of the
    pending completion of their employee's probationary period no later
    than the beginning of their ninth month in their position.
    Supervisors must respond in writing of their decision to retain or
    terminate the services of their subordinate probationary employees
    in sufficient time for the appropriate action to be taken. However,
    when a supervisor plans to terminate an employee during probation,
    the supervisor must notify the servicing OHRO by the end of the
    probationary employee's tenth month, unless the exigencies of the
    situation preclude such a notice.

4.  Because separations are effective at midnight and probationary
    periods are completed at the end of the tour of duty, it is
    essential that a separation during the probationary period be made
    effective no later than the day before the day the probationary
    period would have been completed.

5.  When an employee is being terminated during probation, the
    supervisor should give the employee at least two weeks notice,
    unless the exigencies of the situation indicate that a shorter
    notice is warranted. In no case should the notice extend beyond the
    end of the probationary period. The notice shall be in writing and
    contain at a minimum, management's assessment of the employee's
    performance or conduct and the effective date of the termination.

C. Creditable Time.

1.  Prior Federal civilian service counts towards completion of the
    probationary period when the prior service meets the following
    requirements when it:

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a.  Is in the same agency;

b.  Is in the same line of work based on actual duties and
    responsibilities performed;

c.  Is followed by no more than a single break in service of no more
    than 30 calendar days.

2\. Absences in a nonpay status in excess of 22 workdays, except for
periods of military duty or compensable injury, extend the probationary
or trial period by an amount equal to the time off on nonpaid leave.

**315-1-60** **SUPERVISORY AND MANAGERIAL PROBATIONARY PERIOD**

A. Basic Policy.

1.  A newly appointed supervisor or manager must serve a one year
    probationary period. An employee must satisfactorily complete a
    single one-year probationary period for a supervisory position and a
    separate one year probationary period for an initial appointment to
    a managerial position, regardless of the number of agencies,
    occupations, or positions in which the employee serves.

2.  A supervisory position and a managerial position have the meaning
    given them by the OPM in the General Schedule Supervisory Guide (or
    the Supervisory Position Evaluation Guide, when it becomes
    applicable) for position classification as defined in section
    315-1-30 of this Instruction.

3.  Probation on initial appointment to a supervisory or managerial
    position applies to an appointment to a position without time
    limitation in the competitive and excepted service, with limited
    exceptions.

4.  Employees who have satisfactorily completed a probationary or trial
    period for supervisors are not automatically exempt from the
    requirement to serve a managerial probationary period. OPDIVs may
    approve exceptions to the probationary period requirement when the
    performance and experience of the employee evidences the ability to
    perform the managerial duties successfully.

5.  An employee who satisfactorily completes a supervisory or managerial
    probationary 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. However, an
    exception may be requested and approved by the Human Resources
    Director of the OHRO upon request. Conversely, an employee who has
    completed a probationary period as a supervisor or manager in the
    competitive service may have the time credited toward the
    probationary period required for the supervisory or managerial
    position in the excepted service, subject to the approval of the
    OHRO in consultation with the hiring manager.

B. Length of the Probationary Period.

1.  The length of the probationary period for supervisors and managers
    is one year.

2.  OPDIVs may request approval to establish a different probationary
    period for a specific occupation by submitting written justification
    to support the request through the OHRO to the DASHR for approval.

3.  When an employee's initial appointment to Federal service is to a
    supervisory or managerial position in the competitive or excepted
    service and the employee is required to serve a probationary or
    trial period for the competitive or excepted appointment, both
    probationary or trial periods are served concurrently. Successful
    completion of the one-year probationary or trial period upon initial
    appointment simultaneously fulfills the requirement for the
    supervisory or managerial probationary period.

C. Procedures

1.  All employees will be notified in writing when selected for a
    supervisory or managerial position which requires them to serve a
    probationary period and that continued employment in their position
    is contingent upon satisfactory completion of the probationary
    period.

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a.  Written notification may be provided in the initial appointment
    letter or by separate memorandum or form letter.

b.  For example, for a new supervisory or managerial employee serving on
    a probationary period: "As a new supervisory or managerial employee
    serving on a competitive or excepted appointment in the Federal
    civil service, you will be required to complete a one-year
    probationary period as a new supervisor or manager. This period
    provides your supervisor with an opportunity to assess your conduct
    and job performance. Please note that an employee serving on a
    supervisory/managerial probationary period may be removed from
    his/her position and placed in a position of no lower grade and pay
    than the position the employee left to accept the current
    supervisory or managerial position."

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2.  Management must develop and communicate the performance standards
    for the supervisor or manager upon appointment.

3.  Management shall ensure that new supervisors and managers are
    afforded an opportunity to develop and demonstrate the ability to
    perform the supervisory or managerial duties assigned during the
    probationary period, and advise employees of deficiencies when they
    occur.

4.  Management should notify the appropriate Human Resource Specialist
    in the OHRO when an employee fails to meet the supervisory or
    managerial performance requirements so that appropriate steps can be
    taken to remove the employee from the position before the end of the
    probationary period. When removal from the supervisory or managerial
    position is anticipated, the appropriate management official must
    advise the OHRO by the end of the tenth month before completion of
    the probationary period, in order to locate suitable placement
    options to coincide with the removal.

5.  Management must notify the probationer in writing in advance of the
    action to return or reassign him/her to a nonsupervisory or
    nonmanagerial position. The notice must contain the specific reasons
    for the action.

D. Creditable Time.

1.  When an employee is reassigned, transferred, or promoted to another
    supervisory or managerial position while serving a supervisory or
    managerial probationary period, service in the former position
    counts toward completion of supervisory or managerial probation in
    the new position. However, prior to crediting prior experience,
    OPDIVs should consult with the OHROs to assess the nature of the
    prior experience and its relevance to the new supervisory or
    managerial position.

2.  Service during a supervisory or managerial 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. In other situations where
    employees do not complete probation through no fault of their own,
    service may be creditable on a case-by-case basis as determined by
    the OHRO and the appropriate management official.

3.  Temporary service in a supervisory or managerial position prior to
    probation under temporary appointment, promotion, or reassignment
    prior to probation is creditable toward completion of the
    probationary period when the detail, temporary appointment,
    promotion, or reassignment is made permanent without a break in
    service. Exceptions to the foregoing requirement must be approved by
    the Director of the OHRO.

4.  Absence in a nonpay status while on the rolls, except for
    compensable injury or military duty, is creditable up to 30 calendar
    days or 22 workdays. Absences in a nonpay status in excess of 22
    workdays extend the probationary period for an equal amount of time.

5.  A temporary appointment, promotion, or detail to a non-supervisory
    or non-managerial position during a supervisory or managerial
    probationary period is not creditable toward completion of the
    probationary requirement, and as such extends the probationary
    period by the length of the assignment.

E. Grievances and Appeals

1.  Employees have no rights to file an appeal or grievance of a
    decision to reassign or return them to a nonsupervisory or
    nonmanagerial position for failure to successfully perform the
    supervisory or managerial duties and responsibilities of the
    position.

2.  An employee, who is serving a probationary period for both an
    initial appointment and a supervisory or managerial appointment, has
    limited appeal rights to the Merit Systems Protection Board (MSPB)
    for failure to complete the competitive appointment on the basis of
    discrimination based on marital status or partisan political
    affiliation.

    70. **APPEALS**

A. Terminations Resulting from Actions Prior to Appointment.

1.  When an employee is being terminated based on actions that occurred
    prior to appointment (e.g. falsification of application forms or
    pre-employment documents), the employee is entitled to advance
    written notice indicating the reasons for the proposed termination
    and a reasonable period of time to respond and provide affidavits or
    other material for consideration to the OHRO.

2.  If, after giving the employee's answer bona fide consideration, the
    OPDIV decides to proceed with the termination, the employee must be
    notified in writing prior to the effective date of the action,
    unless the exigencies of the situation preclude advance
    notification. The notice must state the reasons for the termination,
    the employee's appeal rights to MSPB, and the time limit for
    submission of the appeal.

B. Appeal Rights during Probationary or Trial Period.

1.  An employee in the competitive service who is terminated for failure
    to satisfactorily complete a probationary period upon appointment,
    may appeal to the MSPB in writing the decision to terminate him/her
    only on the basis of discrimination based on partisan political
    reasons or marital status or due to improper procedures (as
    prescribed by 5 CFR 315).

2.  An employee in the excepted service who is terminated for failure to
    satisfactorily complete a trial period has no right of appeal to
    MSPB on the grounds that his/her termination was due to partisan
    political reasons or marital status.

3.  An employee appointed to a Veterans Recruitment Appointment (VRA)
    has limited appeal rights to MSPB during the first year of
    appointment as an employee in the excepted service. Moreover, a VRA
    appointee, who is a veteran with more than one year of continuous
    service, can appeal an adverse action to MSPB.

4.  Employees in the competitive or excepted service currently serving a
    probationary or trial period who satisfy the following requirements
    have appeal rights to MSPB:

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a.  Competitive service employees currently serving a probationary
    period when they have completed one year of current continuous
    service under other than a temporary appointment limited to one year
    or less, regardless of the position previously held; or

b.  Excepted service employees (other than preference eligibles)
    currently serving a trial period when they have completed two years
    of continuous service in the same or similar positions in an
    Executive agency under other than a temporary appointment limited to
    two years or less.

**315-1-80 DOCUMENTATION**

OHROs will maintain records pertaining to the following:

A.  Adverse determinations during probationary periods and actions to
    terminate, demote, or reassign during initial or
    supervisory/managerial probation.

B.  Documentation appropriately maintained in the Official Personnel
    File.

C.  Notification to supervisors regarding employees entering
    probationary periods. Exhibit A provides a sample notice to
    supervisors which can be used for this purpose.

D.  Notification to Supervisors Regarding a Subordinate nearing
    Completion of a Probationary Period**.** A sample is provided at
    Exhibit B which can be used for this purpose.

E.  Exhibit B-1 provides a sample notification for supervisors to use to
    inform their OHRO regarding the decision to retain or separate
    employees serving initial probationary periods who are nearing
    completion of initial probationary or trial period

F.  Exhibit B-2 provides a sample notification for supervisors to use to
    inform their OHRO regarding the decision to retain or remove from
    their supervisory/managerial positions employees serving a
    supervisory or managerial probationary period.

**Exhibit A:**

**Sample Notification to Supervisor of Employee Serving a Probationary
or Trial Period**

TO:

FROM:

SUBJECT: Probationary Period for \< insert employee's name \>

The above-named employee is serving a probationary or trial period. The
probationary or trial period is the final step in the examining process
for a new employee. You are advised to utilize this probationary or
trial period to determine the fitness of the employee for employment
with \< organizational component \> and terminate his/her services
during this period if he/she fails to demonstrate fully the
qualifications for continued employment. Both you and the reviewing
official (typically your manager) must make the final retention decision
before the end of the one year probationary period. Because of the
extreme importance of your responsibility in this final step, this
memorandum is to remind you of what is expected of managers of
probationary or trial employees.

In order to make the probationary period meaningful, you should:

1.  provide the employee with an explanation of the mission of the
    organization and his/her role in accomplishing this mission;

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1.  provide the employee with a copy of, and explain, clarify, and
    discuss in detail, his/her job responsibilities as described in the
    position description;

2.  provide the employee with a copy of his/her performance plan which
    identifies the critical elements and performance standards against
    which performance will be appraised;

3.  explain the organization's work rules, attendance and leave
    requirements, etc., to the employee in detail;

4.  observe the employee's conduct and work performance to determine
    whether problems are developing that might raise a question about
    the retention of the employee;

5.  discuss the employee's performance so that he/she knows how he/she
    is doing in relation to what is expected, and give assistance where
    needed;

6.  conduct one-on-one counseling sessions with the employee and
    document the sessions in writing if you find that performance or
    conduct problems may prevent the employee's retention; and

7.  comply with \< collective bargaining agreement \>, if applicable.

Before the beginning of the ninth month of the employee's probationary
or trial appointment, you will receive an advisory notice reminding you
of your obligation to make a final decision as to whether the employee
should be retained or terminated based on the performance and conduct
that you have observed. At that time, you will receive and are required
to complete a document entitled *Probationary or Trial Employee
Certification and Recommendation* and return it to your operating Human
Resource organization no later than the end of the ninth month of the
employee's probationary period.

Should you have any questions or concerns about the probationary period
or if the employee is not making satisfactory progress or adjustment
(e.g., performance and/or conduct problems exist), contact your
employee/labor relations representative.

**Exhibit B:**

**Sample Notice to Supervisors Regarding a Subordinate nearing
Completion of a Probationary Period**

TO:

FROM:

SUBJECT: Probationary or Trial Period Advisory Notice, \< insert
employee name)

This is a reminder that the above-named employee is serving a
probationary or trial period. You, along with the reviewing official,
must decide if the employee is successfully completing this probationary
period.

At the beginning of the probationary or trial period, you received a
notice that outlined your responsibilities with respect to the
employee\'s probationary period. As stated in the earlier notice, you
must recommend whether the employee is to be retained or terminated
based on the performance and conduct which you have observed. By the end
of the ninth month of the probationary or trial period, please complete
the attached document entitled *Probationary or Trial Employee
Certification and Recommendation*, and return it to \< insert HR Point
of Contact \>.

Should you have any questions about the probationary or trial period or
if at anytime during the probationary or trial period you need
assistance because the employee is not making satisfactory progress or
adjustment (e.g., performance and/or conduct problems exist), you should
immediately contact \< insert Employee/Labor Relations Point of Contact
\>.

Attachment:

Probationary Employee Certification and Recommendation

**EXHIBIT B-1:** **CERTIFICATION AND RECOMMENDATION TO RETAIN OR
SEPARATE PROBATIONARY OR TRIAL EMPLOYEE**

Name:

Position Title, Series and Grade:

Organization:

Period Evaluated:

**Refer to HHS Instruction 315-1.** As the Supervisor, you are required
to make recommendations as to whether the above named employee is to be
retained or separated. If separating is recommended, notify your
operating Human Resources organization immediately.

The above named employee has been under my supervision while serving a
probationary period. I certify that the employer's performance, conduct,
and general traits have been (check one):

Satisfactory Unsatisfactory

Therefore, I recommend that the employee be (check one):

Retained Separated.

THE BASIS FOR MY RECOMMENDATION IS ATTACHED SEPARATELY.

Signature of Immediate Supervisor Title Date

Signature of Reviewing Officer Title Date

PRIVACY ACT NOTICE

The collection of the information requested on this form is authorized
by Title 5, United States Code S 3321 and the regulations issued there
under. The information will be used in completing the probationary
period rating required by HHS Instruction 315-1. This information should
be used: a) in deciding on the retention or separation of the employee;
b) for statistical information, excluding personal identification of
individuals; and c) for other routine uses published in accordance with
5 USA 552a. In accordance with the Privacy Act, this information may be
made available to the employee upon request. When completed, this form
is a record subject to the provisions of the Privacy Act. As such, it
must be safeguarded against unauthorized disclosure.

**EXHIBIT B-2 CERTIFICATION AND RECOMMENDATION TO RETAIN OR REMOVE
SUPERVISOR/MANAGER FROM POSITION DURING PROBATION**

Name:

Position Title, Series and Grade:

Organization:

Period Evaluated:

**Refer to HHS Instruction 315-1.** As the Supervisor, you are
responsible for evaluating the supervisory or managerial abilities
pertaining to the above named employee. You are required to document the
reasons supporting a recommendation to retain or remove the employee
from his/her position.

I certify that the employee's supervisory/managerial performance has
been (check one):

Satisfactory -- Recommend retention in Supervisory/Managerial Position

Unsatisfactory -- Recommend removal from Supervisory/Managerial Position
and placed in a position at the same or equivalent grade to the position
held prior to entry into the current supervisory/managerial position.

THE BASIS FOR MY RECOMMENDATION IS ATTACHED SEPARATELY.

Signature of Immediate Supervisor Title Date

Signature of Reviewing Officer Title Date

PRIVACY ACT NOTICE

The collection of the information requested on this form is authorized
by Title 5, United States Code § 3321 and the regulations issued there
under. The information will be used in completing the probationary
period rating required by HHS Instruction 315-1. This information should
be used: a) in deciding on the retention or separation of the employee;
b) for statistical information, excluding personal identification of
individuals; and c) for other routine uses published in accordance with
5 USA 552a. In accordance with the Privacy Act, this information may be
made available to the employee upon request. When completed, this form
is a record subject to the provisions of the Privacy Act. As such, it
must be safeguarded against unauthorized disclosure.