.CHECKLIST
FOR EARLY COUNSELING
TECHNICAL
REVIEW
.
EXAMINE STANDARDS FOR POSSIBLE PROBLEMS
REMINDER! In performance based actions, the focus
is on the standard at the level of retention. That is, the performance
level that an employee must meet to retain his or her job. Check your agency
program to determine whether employees must achieve level 2 (Marginal or
Minimally Successful) or level 3 (Fully Successful) in order to stay in
the job.
I. DETERMINE IF THE STANDARDS MUST BE REWRITTEN.
What can the employee fail to do and still
meet the acceptable level of performance for this element?
_ Are the standards written to allow for some level
of error?
YES r
NO r
r If the answer is
no, inform the supervisor that the standards are invalid because they require
"absolute" perfection and must be rewritten. Once rewritten, the employee
must be given a chance to perform under the new standards to see if he
or she can perform acceptably. Advise the supervisor to continue counseling
and monitoring the employee’s performance during this time.
r If the answer is
yes, move to section II below to determine if the standards need further
clarification.
If this person did nothing at all, would they
meet the acceptable level? Make sure you can discern a "line" between the
acceptable and unacceptable levels of performance regarding the number
of errors allowed, or the quality of the work to be accomplished, or the
volume of work that must be submitted.
_ Is there a distinction between the requirements
for acceptable and unacceptable performance?
YES r
NO r
r If the answer is
no, inform the supervisor that the standards are invalid because they describe
a "negative" level of performance that allows the employee to work at an
unacceptable level and still be rated acceptable. The standards must be
rewritten and the employee must be given a chance to perform under the
new standards to see if he or she can perform acceptably. Advise the supervisor
to continue counseling and monitoring the employee’s performance during
this time.
r If the answer is
yes, move to section II below to determine if the standards need further
clarification.
Does the standard read more like a position description
or a listing of duties?
_ Does the standard contain qualitative terms that
describe a level of performance?
YES r
NO r
r If the
answer is no, the standard may be invalid for one of two reasons. It may
simply give the employee no concept of the level of performance that is
required, or it may be read as an "absolute" standard under the presumption
that the list of duties must be done completely and without error. If the
standard contains any kind of qualitative statement, the supervisor may
be able to clarify it through additional guidance. If not, the standard
must be rewritten and the employee must be given a chance to perform under
the new standards to see if he or she can perform acceptably. Advise the
supervisor to continue counseling and monitoring the employee’s performance
during this time.
r If the answer is
yes, move to section II below to determine if the standards need further
clarification.
II. DETERMINE IF THE STANDARDS NEED CLARIFICATION.
_ Do the standards use vague, descriptive words
like "generally," "usually," "often," "timely?"
YES r
NO r
r If the answer is
yes, the standard will need to be clarified. Examine each descriptive term
in the standard and make sure the supervisor is able to describe what the
words means in terms of practical application on the job. Supervisors should
explain these performance expectations orally and, whenever possible, in
writing.
r If the answer is
no, the standard should be clear enough for the employee to understand
what level of performance is expected of him or her. Supervisors should
counsel the employee on their failure to meet these expectations and consider
providing assistance, as necessary.
PREPARE THE SUPERVISOR TO COUNSEL THE EMPLOYEE.
r Check agency policies
and collective bargaining agreements for specific provisions regarding
performance counseling. Advise supervisors of these provisions.
r Supervisors should
be able to express in which critical element(s) the employee’s performance
is falling short or has become unacceptable.
r If the agency program
provides for a level 2 (Marginal), make sure the supervisor is able to
tell the employee whether his or her work has fallen to the Marginal level
or whether it has become unacceptable.
r Employees should
be informed of some examples of their poor performance and explanations
of what is wrong with their work.
r Supervisors should
be able to explain how the work should be done correctly and should make
their expectations clear.
r Advise supervisors
to encourage employee participation in the discussion as a means of discovering
the cause of the employee’s performance difficulties.
r Advise supervisors
to summarize their comments in writing and provide the employee with a
copy of the summary.
r Agree to meet with
the supervisor again in a certain time period. Follow up!
-----------------------------------
CHECKLIST
FOR
NOTICE OF
UNACCEPTABLE PERFORMANCE &
OPPORTUNITY
TO IMPROVE
REMINDER! Review all internal
agency policies and collective bargaining agreement provisions before providing
advice and guidance on the the development of an opportunity notice or
"performance improvement plan" (PIP) notice. These provisions may impact
on the duration, structure, and nature of assistance provided during the
opportunity to improve.
EVIDENCE OF UNACCEPTABLE PERFORMANCE
_ Meet with the supervisor to review documentation
of unacceptable performance.
_ Categorize documentation by critical element.
_ Make sure the PIP notice identifies which critical
elements the employee is failing.
_ Include examples of performance deficiencies in
the PIP notice to demonstrate what constitutes unacceptable performance
in the critical element.
PERFORMANCE STANDARDS
_ See checklist for Early Counseling - use the
same process.
_ Make sure the PIP notice informs the employee of
the level of performance which must be achieved in order to stay in the
job. This will be Level 2 (Marginal) or Level 3 (Fully Successful or
Pass) depending upon your agency’s performance program.
_ Include the language of the performance standard
in the PIP notice or attach a copy.
_ If the standard is numerical, pro-rate the annual
numerical requirement to align with the duration of the opportunity period.
IMPROVEMENT NEEDED
_ Clarify the performance expectations in the standard.
Be as specific as possible.
_ Say what the employee must do in order to improve.
_ Provide examples, models, checklists, guides, standard
operating procedures, etc.
_ Consider the usefulness of using a mentor from
within the organization to work with the employee.
SUPERVISORY ASSISTANCE
_ Make the supervisor’s role clear concerning how
the employee should seek help.
_ Establish time and location of any routine performance
counseling meetings.
_ Establish a fall-back person for the employee to
contact for help if supervisor is not available.
CONSIDER TRAINING NEEDS
_ Have the supervisor assess the appropriateness
of formal training.
_ Consider any requests from the employee for training.
_ Determine if formal training is available and if
money is available to pay for it.
_ Determine what form of on-the-job training would
be appropriate.
_ Consider the possibility and availability of computer-assisted
training.
*NOTE: Formal training is not a requirement when providing
an opportunity to improve.
STRUCTURE/CONSEQUENCES
_ The notice must state the duration of the improvement
period.
_ The notice must state the possible consequences
(demotion, reassignment, removal) if the employee fails to improve to an
acceptable level.
_ The notice should explain how the supervisor will
monitor performance.
CHECKLIST
FOR
PROPOSAL
AND DECISION NOTICES
IN PERFORMANCE
BASED ACTIONS
REMINDER! Review all internal agency policies
and collective bargaining agreement provisions before providing advice
and guidance on the the development of a performance-based proposal or
decision notice. Incorporate agency-specific procedures within the notices.
PROPOSAL NOTICE
_ All performance documentation must
be organized by critical element.
_ Supervisor must analyze documentation
and determine success or failure at the conclusion of the opportunity to
improve.
NOTE: If employee has successfully improved
to the acceptable level, provide the employee with a letter that congratulates
him or her and informs the employee of the need to maintain performance
at an acceptable level.
_ Supervisor must decide what action
will be proposed. No proposal notice is required if the supervisor elects
to reassign the employee.
_ Proposal notice must state that either
removal or demotion is being proposed and must state which critical element(s)
the employee failed.
_ For each critical element, notice must
include examples of unacceptable performance during the opportunity period
which form the basis for the proposed action.
NOTE: Agencies may elect to cite unacceptable
performance which occurred during the one year preceeding the proposal
notice but are only obligated to demonstrate failure during the opportunity
period.
_ Notice should summarize the performance
improvement plan, including any assistance or training provided to the
employee.
_ Notice must include employee’s right
to review the record, obtain representation, make an oral or written response,
and receive a written decision in a timely manner.
DECISION NOTICE
_ Decision notice must state
whether or not the deciding official found sufficient evidence to support
the proposed action. If not, the decision will inform the employee that
no action will be taken.
_ Notice must reflect consideration
of the employee’s response, if one was made.
_ Notice must state in which
critical element(s) the deciding official found the employee to be performing
at an unacceptable level.
_ Notice must include employee’s
right to challenge the agency’s action through the negotiated grievance
procedure (for bargaining unit employees) or by appeal to the Merit Systems
Protection Board.
_ Notice must state the effective
date of the action.
_ Notice must state
|
