[Material Transmitted:]{.underline}

HHS Instruction 315-1, Probationary Periods

[Material Superseded:]{.underline}

HHS Instruction 315-1 (all)

HHS Instruction 315-2 (all)

[Background:]{.underline}

This Instruction has been revised consistent with recent changes in the
organization of HHS, and in support of HHS administrative initiatives
calling for more streamlined rules and greater delegations of authority.

Under this issuance, two instructions have been consolidated because of
similar subject matter and the need for greater streamlining of the
rules.

Any reference to "OPDIV" in this Instruction now includes the PHS
agencies, the Office of the Secretary, the Program Support Center, HCFA,
ACF, and AOA.

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

[Filing Instructions]{.underline}

Remove superseded material and file new material. Post receipt of this
transmittal to the HHS Check List of Transmittals and file this
transmittal in sequential order after the check list.

Eugene Kinlow

Deputy Assistant Secretary for

Human Resources, OASMB

INSTRUCTION 315-1

DISTRIBUTION: MS (PERS): HRFC-001

HHS INSTRUCTION 315-1

PROBATIONARY PERIODS

315-1-00 Purpose and Coverage

10 References

20 Other Basic Requirements

Exhibit 315-1-A, HHS Form 33, Probationary Employee Certification and\
Recommendation (New Appointments)

Exhibit 315-1-B, HHS Form 33A, Probationary Employee Certification and\
Recommendation Supervisors/Managers)

Exhibit 315-1-C, Supervisory/Managerial Probationary Completion Record

315-1-00 PURPOSE AND COVERAGE

This Instruction supplements the applicable law and regulations which
require probationary periods for employees on initial appointments in
the competitive service and first-time managers and supervisors in the
competitive service. For employees on initial appointments to
competitive positions, a probationary period of generally one year
determines whether or not they will be retained or separated from
Federal employment. It is the final test of actual performance on the
job which provides protection against the retention of employees who are
found in actual practice to be lacking in fitness for permanent
government service.

A minimum one-year probationary period is required for managers and
supervisors who are in the competitive service and who are assigned or
appointed to permanent managerial/supervisory positions. The purpose of
this requirement is to enhance the effectiveness of managers and
supervisors in the Federal sector.

This Instruction does not apply to members of the Senior Executive
Service.

315-1-10 REFERENCES

A. 5 U.S. Code 3321(a)(l) and (2) (law - competitive\
service; probationary period)

B. 5 CFR 315H (regulations - probation on initial\
appointment to a competitive position)

C. 5 CFR 3151 (regulations - probation on initial\
appointment to a supervisory or managerial position)

D. HHS Instruction 430-7 (performance appraisal system)

E. HHS Instruction 531-2 (setting salary - general schedule\
and merit pay employees)

F. HHS Instruction 430-4 (employee performance management\
system)

315-1-20 OTHER BASIC REQUIREMENTS

A.  Probationary Periods Required Under 5 CFR 315H

    1.  Prior to the expiration of the probationary period for a
        competitive service appointee, the immediate supervisor must
        assure that HHS Form 33 or a comparable OPDIV for is fully
        completed so that the required personnel action can be taken in
        a timely manner. OPDIVs have the option of using HHS Form 33 for
        this purpose, or developing their own form.

    2.  If, despite efforts to assist a probationary competitive
        appointee, it is still necessary to effect a separation for
        unsatisfactory performance or conduct, care must be exercised to
        take the necessary action within the probationary period.
        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
        effective no later than the day before the day the probation
        would have been completed. If this is not possible, the
        termination must be made effective before the employee\'s tour
        of duty is scheduled to end.

B.  Probationary Periods for Managers and Supervisors Required Under 5
    CFR 315I

    1.  Employees who have completed a probationary period for
        supervisors or who are exempt from such requirements because of
        prior service as a supervisor will be required to serve a new
        period of probation upon assignment to a managerial position.
        OPDIVs may grant exceptions to this provision in situations
        where the requirements of a managerial position do not differ
        substantially from those of the supervisory position in which
        the employee completed a probationary period.

    2.  When a supervisory/managerial probationary period is interrupted
        by intervening nonsupervisory/nonmanagerial service or a break
        in service, the service in the supervisory/managerial position
        is not creditable toward completion of a probationary period
        required under a subsequent position change or appointment.
        However, if the supervisory or managerial service is interrupted
        by a temporary position change, such as a temporary promotion,
        the service prior to that position change is creditable toward
        completion of the probationary period when the employee returns
        to his or her permanent position of record.

    3.  Employees who were serving in a supervisory or managerial
        position in the Federal Government on or before August 10, are
        exempt from serving a probationary period respectively.

    4.  HHS Form 33A or a comparable OPDIV form will be used to record
        the determination that the probationer has or has not
        satisfactorily completed the probationary period.

    5.  When an employee satisfactorily completes his/her probationary
        period for managers/supervisors, a Probationary Period
        Completion Record (Exhibit 315-1-C) or a comparable OPDIV form
        must be completed and filed on the permanent side of the
        employee\'s Official Personnel Folder.

    6.  Generally, the immediate supervisor has the authority to make
        the decision to assign an employee to a nonsupervisory or
        nonmanagerial position for failure to complete the probationary
        period. OPDIVs may, but are not required to, limit this
        authority, for example, by requiring a second level review. The
        employee must be notified in writing and the action must be
        effected no later than the last workday before the day the
        probationary period would be completed.

    7.  An action to return a supervisory/managerial probationary
        employee to a nonsupervisory/nonmanagerial position is not
        grievable under the Department\'s grievance procedures contained
        in HHS Instruction 771-3. However, if an OPDIV elects to develop
        and implement its own grievance procedures, the OPDIV may, but
        is not required to, elect to include this issue under the
        coverage of the procedures.

HHS 315-1 EXHIBIT A

DEPARTMENT OF HEALTH AND HUMAN SERVICES

PROBATIONARY EMPLOYEE CERTIFICATION AND RECOMMENDATION

NEW APPOINTMENTS

Name Social Security No. Grade Bureau/Office, Division Branch,

> Section, Shift

Position Title 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 the Personnel Office 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 (check one) be retained be
separated.

THE BASIS FOR MY RECOMMENDATIONS IS AS FOLLOWS:

If additional space is required, attach a separate sheet to this form.

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
thereunder. 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.

HHS 315-1 EXHIBIT B

DEPARTMENT OF HEALTH AND HUMAN SERVICES

PROBATIONARY EMPLOYEE CERTIFICATION AND RECOMMENDATION

SUPERVISORS/MANAGERS

Name Social Security No. Grade Bureau/Office, Division Branch,

Section, Shift

Position Title Period Evaluated

Refer to HHS Instruction 315-2. As the supervisor, you are responsible
for evaluating the general 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 current position.

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

Satisfactory Unsatisfactory

Therefore, I recommend that the employee (check one) be retained or
placed in a position at the same grade level that is

equivalent to the position that was held prior to entry into the current
supervisory or managerial position.

THE BASIS FOR MY RECOMMENDATION IS AS FOLLOWS:

If additional space is required, attach a separate sheet to this form.

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
thereunder. 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.

HHS 315-1 EXHIBIT C

SUPERVISORY/MANAGERIAL PROBATIONARY COMPLETION RECORD

This certifies that the employee named below has satisfactorily
completed the probationary period indicated below by serving the
required probation in the position(s) listed, as set forth in 5 U.S.
Code 3321(a)(2).

1\. Employee
Name:\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

2\. Social Security
Number:\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

3\. Position Title as reflected on SF
50-B:\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

4\. Type of Probationary Period: (check on appropriate line below)

A. Supervisory:\_\_\_\_\_\_

B. Managerial:\_\_\_\_\_\_\_

5\. Date Probation Completed: (month, day,
year)\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Signature of SPO Official