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Washington, D. C. 20415
May 5, 1993
rd Inftendent Establishments:
FM letter to answer frtiquently asked 4uestlona coteArlaing
*dtlows* These qu"tio7w anti answers incorporate waterial on:
4,12; the opplUAbility of Part 432 or Part 752 when PeTfOYM-
gafti vtryIng direAmstances; arteial Part 432 time reouire-
i,k ,r*s ,, h4wUta*pia* c6ftAitions anA their ef f det on agency
40 rights,, andthe c=tent of agency records on perform-
vwv Chaiter 432. as soon as Oosaible. Meanwhile, we are
ipftvide OPKI% guiUnce anA current thinking on areas which
Mnal-A J. De*ino
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jsj(m, Ofacp. of Plwriluig apA kvtjuation (202) 2,54-5517
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OPM FORM 652 SM
j U-S4OXWO*W PRWONG OMCE: IOW- 361-30a. ISM
Attachment to PFM Letter Ho. 432-1
Questions and Answere on Part 432
jhiSch agencies and employees are covered by Subchapter I of Chapter 43?
Ihich are excluded?
$Kl en er4lly, Executive agencies and all employees are covered, along with
.eAdministrative Office of the United States Courts and the Government
jPsrinting Office. See 5 U.S.C. 64301(1) and (2), and 5 CFR 5430.201(b)
.and(c) for statutory and regulatory exclusions of agencies and employees
from the performance appraisal system requirements established by law.
hich actions are included under 5 U.S.C. 4303? Which are excluded?
The statute covers reductions in grade or removals for unacceptable per-
formance. See 5 U.S.C. 54303(f) and 5 CFR 9432.201(c) for statutory and
S.segulatory exclusions of actions from coverage under 5 U.S.C. 94303.
er which regulatory procedure would an agency take an action for rea-
woeuowich ialude both performance- and conduct-related factors?
.'E 175L.401(a)(2) specifically covers these actions when an agency is
Sarelyg on both performance and conduct reasons. Furthermore, 'Part 432
IE. er only .actions for unacceptable performance.
ii f. gency, takes a Part 752 action based on both unsatisfactory perform-
a .e a damisconduct, must it tie each instance of misconduct to a specl-
I -,cinstante.e of unsatisfactory petfornaece?
O M'believes that one need not be tied to the other. 'However, a miscon-
q 4u.tor leave instance may adversely affect-the employee's performance.
The poiEyee may be *chronically tardy and performing unacceptably in a
j: cr. itical element (at his current grade. level) as well. The penalty for
t ta:.....:, iness in the agency 's table of penalties might be a 14-day suspen-
,.;1ian,qf while. the appropriate corrective action for- the unacceptable per-
formnace might be a reduction in grade. 'ay the agency take only one of
the actions deemed appropriate.or can it impose both?
S :' A. QO sees. nothing to prohibit an agency from carrying out both actions si-
a, ltaneously, since .each deals with a separate aspect of the employee's
q deficiencies. OFM points out, -however, that agencies must exercise care
not .o penalize the employee twice for the same behavior. To this end,
aI agencies should document the tardiness, which is recognizable misconduct
es. apptaely -and deal with it under agency: disciplinary procedures or Part
F17.52. Tih:e performiance-based action under 'Part 432 can focus only on per-
a fotmane -inadequacies which cause a separate problem,, best documented and
ab le peAderm the nondisciplinary procedures for dealing with unaccepta-
a1k Ia: :pef aormance.
I;,., :USi:c is- pplicable -- Part .432 or Part 752 -- when the agency believes
'tbat the employee is masking unwillingness or refusal to perform by alleg-
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Attachment to FPM Letter No. 432-1 (5)
;suAlly, but not always, the agency will suspect the employee's problem
&i.al before the employee's performance has reached the unacceptable lev-
S QpF recommends (as expressed in Section 82-2 of FPM Supplement 792-2)
the supervisor or other appropriate individual' 'discuss the problem
wtth the employee, point out that formal action'may become necessary later
f performance does not improve, and recommend counseling to determine the
course of treatment. The agency should offer short-term, in-house
gliq, with assurances of confidentiality to the employee, and should
clear to the employee that it will cooperate in every'way, including
Sasick-leave policies and reasonable accommodation to responsibili-
ad hours, if the employee elects to undergo treatment for his prob-
If the agency does not' suspect a problem with alcohol or drug use
the employee raises alcohol or drug use as a handicapping condition
ceased unacceptable performance either when the formal opportunity
d is.offered or' later after a removal or reduction in grade action is
iMay the agency iaust accept the employee's claim as true until proved
ai*e, and anst: refer .the, employee tor counseling. .v .In. most cases, imo-
station of the agency action will have to be delayed to give the em-
ns -opportunity for rehabilitation. Whether or not the employee ac-
4t. sth offer of rehabilitative& assistance, if poor performance contin-
I'the .agency should proceed with the formal action.
lapeal and/or grievance tights does an employee have concerning a re-
e.:n in grade or removal based on unacceptable performance?
54303(a) gives employees. who are in the competitive service, or
Spr:;'pefetenAe eligibles in the excepted service the 'right to appeal
i tTt Systemsa Protection Board. Such employees may, where applica-
... eict.. to fflUe a grievance idder sa 'negotiated. grievance procedure,
MtALy$ net challenge :the action in both forums.- Nonpreference eligible
it'yesi the.. excepted service -may not appeal to MSPB but may grieve
negotiated grievance procedures or the .. agency's administrative
cprecedures, whichever are applicable, but not both. (Current
41 4i,; set forth in Part 771 of .OPM's regulation concerning administra-
r.4lrl#-grieva~nic procedures., provides that separations' are not grievable un-
4ttliik -the agency lnsludes them under, its own regulations. However, reduc-
in grade are grievable under Part 771.)
t should an agency keep in the way of agency records for an action pro-
R ed fior unacceptable performance?
.artk 432 requires an agency to maintain records including copies of the
t the t iiti of proposed action,
-the iaoier o6.f the employee when written,
:-s rYa .,aof, any oral answer,
-h eint,,ice of decision and the reasons. for it, and
;;:y u..uiortiug material. While there is no requirement for specific
itei itthe .supporting material, OTM suggests (depending on the par-
. ...i ... .... ... .____
UNIVERSITY OF FLORIDA
31 111111262 08729 3211111
3 1262 08729 3162 1
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