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To arrange for this or any other Training for Supervisors course, or to ask about legal issues raised by the course materials, contact the Law Department Field Office that serves your office or facility. See the Law Department Field Office listings on our Web site at blue/uspslaw. This publication is intended only for internal training purposes and as a general reference to be used in conjunction with training sessions conducted by the Law Department. It is not equivalent to an official handbook, manual, or policy statement, and may contain representations that are subject to interpretation and potential change in the law. All examples are intended as teaching exercises and not as representations of actual Postal Service events or practices. LAW DEPARTMENT usps law Training for Supervisors Performance Improvement Plans For Non-Bargaining Employees October 2002 Prepared by the Law Department United States Postal Service Visit the Law Department Web site at blue/uspslaw for course and reference materials, directory listings, publications, and more.

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To arrange for this or any other Training for Supervisors course, or to ask about legal issues raised by the coursematerials, contact the Law Department Field Office that serves your office or facility. See the Law DepartmentField Office listings on our Web site at blue/uspslaw.

This publication is intended only for internal training purposes and as a general reference to be used in conjunction withtraining sessions conducted by the Law Department. It is not equivalent to an official handbook, manual, or policy statement,and may contain representations that are subject to interpretation and potential change in the law. All examples areintended as teaching exercises and not as representations of actual Postal Service events or practices.

L A W D E P A R T M E N Tuspslaw

Training forSupervisors

PerformanceImprovementPlans ForNon-BargainingEmployees

October 2002 Prepared by the Law DepartmentUnited States Postal Service

Visit the Law Department Web site at blue/uspslawfor course and reference materials, directory listings,publications, and more.

Training for SupervisorsPerformance Improvement Plans

CONTENTS

A. Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . A - 1• Performance management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . A - 1• Performance Improvement Plans (PIPs) . . . . . . . . . . . . . . . . . . . . . . . A - 1

B. Performance management . . . . . . . . . . . . . . . . . . . . . . . . . . . B - 1• What is performance management? . . . . . . . . . . . . . . . . . . . . . . . . . B - 1• Why performance management? . . . . . . . . . . . . . . . . . . . . . . . . . . . B - 2

C. MSPB legal standards . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . C - 1• Opportunity to improve performance . . . . . . . . . . . . . . . . . . . . . . . . C - 1• Basic requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . C - 2• Efficiency of the service . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . C - 3• Penalty: The Douglas factors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . C - 5

D. Contrasting misconduct and performance analysis . . . . . . . . . . D - 1• Misconduct . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . D - 1• Performance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . D - 2

E. Before starting the PIP process . . . . . . . . . . . . . . . . . . . . . . . . E - 1• Find out whether there is a problem and, if so, what it is . . . . . . . . . . E - 1• Find out the cause . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . E - 2• Identify clearly stated performance expectations . . . . . . . . . . . . . . . . E - 3

F. PIP process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . F - 1• Commitment is essential . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . F - 1• Overview of process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . F - 1

Training for SupervisorsPerformance Improvement Plans

CONTENTS – continued

ii

G. Identifying performance deficiencies . . . . . . . . . . . . . . . . . . . . G - 1

H. Notice and employee input . . . . . . . . . . . . . . . . . . . . . . . . . . H - 1• Discussion with employee . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . H - 2

I. Assessment of options . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . I - 1

J. Elements of proposed PIP . . . . . . . . . . . . . . . . . . . . . . . . . . . . J - 1

K. Meeting regarding proposed PIP . . . . . . . . . . . . . . . . . . . . . . . K - 1

L. Monitoring PIP and benchmark progress . . . . . . . . . . . . . . . . . L - 1

M. Close-out of PIP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . M - 1

N. Options when employee has not met PIP . . . . . . . . . . . . . . . . . N - 1

O. Performance management flowchart . . . . . . . . . . . . . . . . . . O - 1

P. PIP process chart . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . P - 1

Training for SupervisorsPerformance Improvement Plans

CONTENTS – continued

iii

Q. PIP process checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Q - 1• Supervisor identifies employee's performance deficiencies . . . . . . . . Q - 1• Supervisor notifies employee of deficiencies, receives employee's inputQ - 2• Proposed PIP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Q - 3• PIP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Q - 4• Monitor and benchmark progress . . . . . . . . . . . . . . . . . . . . . . . . . . Q - 4• Plan close-out . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Q - 5

Training for SupervisorsPerformance Improvement Plans

A - 1

A.Introduction

Performance management

The Postal Service uses performancemanagement to improve the work performanceof non-bargaining unit employees.

There are various tools that may be used tomanage performance. This training guidecovers one of them, a PerformanceImprovement Plan (PIP).

+ The use of a PIP is not a formal nationalPostal Service requirement. Also, this guidedoes not cover the Individual PerformanceAgreement (IPA), part of the meritperformance process.

Training for SupervisorsPerformance Improvement Plans

A - 2

A.Introduction

(cont'd)

Performance Improvement Plans (PIPs)

A PIP should be implemented only if thesupervisor can commit the time and resourcesnecessary for the success of the plan.

The PIP process is designed to comply with thelaw prescribed by the Merit Systems ProtectionBoard.

While there is no requirement that supervisorsuse a PIP, once employed, a PIP must be . . .

3 fair 3 closely followed, and 3 aimed at improving an employee's

identified and recurring performancedeficiencies.

Training for SupervisorsPerformance Improvement Plans

B - 1

B.Performancemanagement

What is performance management?

# Performance management is a tool to helpimprove employee performance.

# It provides the employee with a good faithopportunity to improve performance to anacceptable level.

# The supervisor and employee communicateon the performance expectations andmethods for achieving those goals.

# Performance management objectives are:

3 Improvement of individual andorganizational performance

3 Employee involvement in thedevelopment of performanceexpectations

+ Hopefully, this will avoid discipline, thelast resort.

Training for SupervisorsPerformance Improvement Plans

B - 2

B.Performancemanagement

(cont'd)

Why performance management?

# It helps the employee meet the expectationsof his or her position.

# It establishes a line of communicationbetween the supervisor and employee. Sometimes this is all that is needed for theimprovement.

# It benefits the Postal Service; theorganization's success depends uponindividual employee performance.

# It is an essential part of a supervisor's job.

C Under ELM section 374, the supervisor isresponsible for discussing performancewith each employee. If the performance isunsatisfactory, the supervisor discussesconstructive measures that employeesshould follow to improve theirperformance to a satisfactory level.

Training for SupervisorsPerformance Improvement Plans

B - 3

B.Performancemanagement

(cont'd)

Why performance management? (cont'd)

# It is an integral part of CustomerPerfect.

C CustomerPerfect voices:

3 Voice of the customer: Improvecustomer satisfaction

3 Voice of the business: Improvefinancial performance

3 Voice of the employee: Improveemployees' and organizationaleffectiveness

+ Deal with poor performance+ Recognize good performance

# It reduces labor/management conflicts.

In a 1995 report to Congress, theGovernment Accounting Office (GAO) foundthat labor/management conflicts were causedby:

C autocratic management culture

C adversarial attitudes

C inappropriate performance managementsystems

Training for SupervisorsPerformance Improvement Plans

C - 1

C. MSPB legalstandards

Opportunity to improve performance

Current case law of the Merit Systems ProtectionBoard (MSPB) recognizes that, prior to anydiscipline, employees should be given everyopportunity to improve performance.

The Postal Service must adhere to MSPBstandards for an employee who has the right toappeal a suspension (15-days or more),reduction in grade, reduction in pay, or aremoval to the MSPB.

Who has MSPB appeal rights?

An employee who has completed one year ofcurrent continuous service in the same orsimilar position(s) and is:

3 a preference eligible (veterans preference),or

3 a supervisor, or3 a manager, or3 the occupant of a position involving

personnel work in other than a purely non-confidential clerical capacity.

Training for SupervisorsPerformance Improvement Plans

C - 2

C. MSPB legalstandards

(cont'd)

Basic requirements

These legal requirements supply valuableguidelines for managing all employees.

# Prior to any discipline, there must be:

3 Objective performance standards

3 Notice of deficiencies to employee

3 Reasonable opportunity to improve

# If discipline is needed, there must be:

3 a nexus between discipline and theefficiency of the service and

3 a penalty that is within the zone ofreasonableness and that tries tocorrect the behavior unless previousdiscipline has failed to do so.

Training for SupervisorsPerformance Improvement Plans

C - 3

C. MSPB legalstandards

(cont'd)

Efficiency of the service

Any disciplinary action taken against anemployee must promote the efficiency of theservice.

To establish the efficiency of the service, thedisciplinary action must relate to the employee'spoor performance of a critical job elementrelevant to an operational need of the PostalService.

# A critical job element can relate to any orall of the following areas:

3 financial

3 delivery

3 productivity

3 customer/community relations

3 safety

3 employee relations

Training for SupervisorsPerformance Improvement Plans

C - 4

C. MSPB legalstandards

(cont'd)

Efficiency of the service (cont'd)

# Questions to ask relative to efficiency of theservice:

3 Do you really know what theemployee's job is?

3 Is there a "gap" between what the realexpectations of the position are andwhat is in the Standard PositionDescription (SPD)?

3 If the critical expectations are not inthe written SPD, have they beenestablished in some fashion?

Training for SupervisorsPerformance Improvement Plans

C - 5

C. MSPB legalstandards

(cont'd)

Penalty: The Douglas factors

An individualized inquiry as to what penalty isreasonable is necessary in each case.

The MSPB requires consideration of thefollowing, known as "the Douglas factors":

1. nature and seriousness of the offense, andits relation to the employee's duties,position, and responsibilities, includingwhether the offense was intentional ortechnical or inadvertent, or was committedmaliciously or for gain, or was frequentlyrepeated.

2. employee's job level and type ofemployment, including supervisory orfiduciary role, contacts with the public, andprominence of the position;

3. employee's past disciplinary record;

4. employee's past work record, includinglength of service, performance on the job,ability to get along with fellow workers,and dependability;

5. effect of the offense upon the employee'sability to perform at a satisfactory level andits effect upon supervisors' confidence inthe employee's ability to perform assignedduties;

6. consistency of the penalty with thoseimposed upon other employees for thesame or similar offenses;

Training for SupervisorsPerformance Improvement Plans

C - 6

C. MSPB legalstandards

(cont'd)

Penalty: The Douglas factors (cont'd)

7. consistency of the penalty with anyapplicable agency table of penalties;(NOTE: The Postal Service does not have atable of penalties.)

8. the notoriety of the offense or its impactupon the reputation of the agency;

9. the clarity with which the employee was onnotice of any rules that were violated incommitting the offense, or had beenwarned about the conduct in question;

10. potential for the employee's rehabilitation;

11. mitigating circumstances surrounding theoffense such as unusual job tensions,personality problems, mental impairment,harassment, or bad faith, malice orprovocation on the part of others involvedin the matter; and

12. the adequacy and effectiveness ofalternative sanctions to deter such conductin the future of the employee or others.

+ The relevant Douglas factors may differwith every individual. Individualized inquiryis necessary in each case, but the Douglasfactors must be considered.

Training for SupervisorsPerformance Improvement Plans

D - 1

D.Contrastingmisconduct

andperformance

analysis

Performance issues generally require morecomplex analysis than do misconduct issues.

Misconduct

# Type of behavior: Misconduct issues dealwith workplace rule violations.

# Examples of types of misconduct:

3 theft

3 insubordination

3 alcohol on duty

3 harassment of co-workers

# Addressing misconduct: Misconduct issuesrequire direct and swift consequences.

3 Penalties are imposed.

3 Progressive discipline to correctbehavior may be necessary.

+ HOWEVER: Certain types of seriousmisconduct (such as theft, assault,etc.) do not require progressivediscipline.

# For more on misconduct issues, see theDiscipline for Misconduct course in theTraining for Supervisors series.

Training for SupervisorsPerformance Improvement Plans

D - 2

D.Contrasting

performanceand

misconductanalysis (cont'd)

Performance

# Types of behavior:

3 Performance problems involve taskfailures.

C Performance problems may involvefailures of multiple tasks. Thus,multiple responses may be needed tocorrect deficiencies.

3 Performance issues may involveability deficiencies, such as:

C lack of overall ability

C lack of knowledge

C motivational problems

3 Performance issues may involveorganizational problems.

# When addressing performance problems:

3 The responses to poor performancerequire a commitment of time by thesupervisor to correct failures.

3 Coaching/intervention techniquesmust be employed.

Training for SupervisorsPerformance Improvement Plans

E - 1

E. Beforestarting thePIP process

Find out whether there is a problem and, ifso, what it is

# Before considering a PIP, determine whetherthere is a problem. Answer these questions:

3 What is the employee doing/notdoing?

3 Can the perceived performancedeficiency be measured, defined, ordescribed in exact terms?

+ If not, there may not be aperformance problem.

# Identify what the performance problem is andwho has responsibility for it.

# Talk to the employee about these points.

Training for SupervisorsPerformance Improvement Plans

E - 2

E. Beforestarting thePIP process

(cont'd)

Find out the cause

# A supervisor must remember that there maybe different causes of poor performance.Each different cause requires a differentsolution.

# Some causes of poor performance:

3 Lack of knowledge or training

3 Lack of feedback by supervisor

3 Organizational barriers

C Lack of tools/resources toadequately perform the job

C Over- or under-supervision

C No meaningful consequences forpoor job performance

3 Lack of aptitude/ability to do the job

3 Motivational problems

Training for SupervisorsPerformance Improvement Plans

E - 3

E. Beforestarting thePIP process

(cont'd)

Identify clearly stated performanceexpectations

# The supervisor and employee must discussthe work expectations and they should bespecific enough to place the employee onnotice of what the Postal Service requires.

# Standards of performance. Each supervisorshould determine and communicate toemployees what is expected by way of:

3 quality of work

3 quantity of work

3 manner of performance, such asrelationship with co-workers, contactswith public, work methods and habits,extent to which the employee shouldmake decisions.

Training for SupervisorsPerformance Improvement Plans

E - 4

E. Beforestarting thePIP process

(cont'd)

Identify clearly stated performanceexpectations (cont'd)

# Standards for evaluating performance:

3 Amount of work performed

3 Accuracy

3 Reliability

3 Neatness

3 Thoroughness

3 Application to duty

3 Promptness

3 Conduct

3 Ability to get along with others

3 Cooperativeness

3 Where appropriate, other factors suchas initiative, ability to direct the workof others, ability to establish andattain management objectives, etc.,should be considered.

Training for SupervisorsPerformance Improvement Plans

E - 5

E. Beforestarting thePIP process

(cont'd)

Identify clearly stated performanceexpectations (cont'd)

# Examples of appropriate types ofexpectations, standards and requirements:

3 Time assignment due

3 Format/content requirements

3 Procedures to be followed

3 Attendance/punctuality requirements

3 Timely notice for scheduled leaveusage

3 Type of interaction among teammembers

3 Timely notice by the employee ofproblems in completing assignment asagreed upon

# Characteristics of clearly stated expectations:

3 Effective

3 Enforceable

3 Reasonable

3 Attainable

3 Reasonably, fairly, and consistentlyapplied for all similarly-situatedindividuals

3 Measurable, if possible

3 Within the control of the employee

Training for SupervisorsPerformance Improvement Plans

F - 1

F. PIP process Commitment is essential

# The PIP process allows the employee toremain on the job while attempting toimprove his or her work performance.

# The integrity of the PIP process must bemaintained if it is to be utilized.

# Both the employee and the supervisor areaccountable.

3 The employee is responsible for his orher performance.

3 The supervisor is responsible for his orher own performance and that ofsubordinates.

Overview of process

3 Supervisor identifies the employee’sperformance deficiencies

3 Supervisor provides notice to the employeeof deficiencies and receives the employee’sinput

3 Supervisor prepares a proposed PIP anddiscusses it with the employee

3 PIP is revised and finalized based upondiscussion with the employee

3 Supervisor monitors and benchmarksprogress

3 PIP close-out

Training for SupervisorsPerformance Improvement Plans

G - 1

G. Identifyingperformancedeficiencies

# Steps for identifying performance deficiencies-- the gap between expectations andperformance:

3 Evaluate the employee’s performanceand list your observations of what theproblems are.

3 Locate and review underlyingdocumentation, such as:

C Supervisor’s notes regardingperformance problems

C Any records indicating deficiencies,such as reports, statistics, etc.

3 Locate and review required criteria,such as:

C Job description

3 Identify any ad hoc performancestandards

3 Isolate the problem: Isolate theproblem: Determine whether theemployee has the ability andresources to do the job, or whether ornot there is a conduct problem.

Training for SupervisorsPerformance Improvement Plans

G - 2

G. Identifyingperformancedeficiencies

(cont'd)

# After identifying the specific deficiencies:

3 Identify potential causes of theperformance problems

3 Make a checklist of solutions andpossibilities for solutions

3 Review the procedures for conductinga discussion

3 Review ELM, EL-312, and othersources as appropriate

Training for SupervisorsPerformance Improvement Plans

H - 1

H. Notice andemployee

input

# After evaluating the employee’s performanceand identifying the specifics of poorperformance, the supervisor must meet withthe employee . . .

3 to provide notice to the employee ofthe deficiencies, and

3 to discuss the improvement processand all options.

Training for SupervisorsPerformance Improvement Plans

H - 2

H. Notice andemployeeinput (cont'd)

Discussion with employee

# Tell the employee that the purpose of themeeting is to assist the employee inimproving or reaching acceptableperformance.

# Review with the employee your observationsof performance problems and any evidenceof deficiencies.

# Clarify performance expectations.

# Discuss where the performance "gap" is:

3 Does the poor performance relate toinadequate production/quality by theemployee?

3 Is the performance problem caused bya lack of training?

3 Are the employee's people skills aproblem?

3 Has the supervisor not been clear oncommunicating expectations?

Training for SupervisorsPerformance Improvement Plans

H - 3

H. Notice andemployeeinput (cont'd)

Discussion with employee (cont'd)

# Attempt to reach consensus on areas forimprovement.

# Discuss the employee’s career goals.

# Throughout the discussion, listen to theemployee.

# Make notes and clarify issues.

# Have the employee identify training,resources, and/or mentors that might beincorporated into the PIP.

# Consider whether representative /management association should be involved.

Training for SupervisorsPerformance Improvement Plans

I - 1

I. Assessmentof options

# Supervisor should assess other options beforeputting the employee on a PIP, especially:

3 Reassignment to a position bettermatched to the employee's skills

3 Detail to a position to receive training

3 Discipline for misconduct

3 Other training

3 EAP counseling

# Reassignment or detail: Should the employeebe reassigned / detailed? If so:

3 Consult ELM Section 375.2(Unsatisfactory Performance): Afteremployee maintains consistent orrepeated unsatisfactory performancebased on evaluation of job-relatedfactors -- and after reasonable effortstoward improving performance proveunsuccessful, effort may be made toreassign the employee to job whichthe employee can be expected toperform satisfactorily.

3 Consider voluntary reassignment.

3 Identify open positions.

3 Identify positions' and employee'sknowledge, skills, and abilities (KSAs).

Training for SupervisorsPerformance Improvement Plans

I - 2

I. Assessmentof options

(cont'd)

# Discipline for misconduct: Determine whetherthe problem is really misconduct and notperformance; perhaps the employee shouldbe disciplined for misconduct in lieu of a PIP.

# Training or EAP counseling: Should theemployee be provided training or EAPcounseling before deciding whether to put theemployee on a PIP?+ HOWEVER: An EAP referral or training may

be done concurrently with a PIP.

# If any of these options are not appropriate,put the employee on a PIP.

Training for SupervisorsPerformance Improvement Plans

J - 1

J. Elements ofproposed PIP

# Supervisor should draft proposed PIP withtechnical assistance from Labor Relations.

C The Law Department is also available toconsult with Labor Relations and/or postalsupervisors as complex legal questions arise.

# The proposed PIP must contain the following:

3 A description of the deficiencies

3 A clear statement of acceptablestandard of performance for each areaof deficiency

3 A time frame for the employee to showimprovement

3 Training, programs or mentors to beutilized to help the employee with hisor her performance

3 A plan to wrap-up issues, including:

C A close-out date

C A review of the employee'sperformance

C The employee's options atconclusion of the PIP

C Input from appropriate employee /management organization, ifrequested

Training for SupervisorsPerformance Improvement Plans

K - 1

K. Meetingregarding

proposed PIP

# Once the proposed PIP is drafted, holdanother PIP meeting with the employee:

3 Establish rapport.C The meeting should be conducted ina proper setting and must be private.C Avoid physical barriers betweenparties in the set up of the room.C Promote equal participation of theemployee.

3 State the purpose of meeting: toestablish the PIP.

3 Attempt to gain the employee'sagreement to improve performance.

3 Discuss each component of theproposed PIP:C Notice of deficienciesC CriteriaC Goals, with deadlines forimprovementC Training and assistance to beprovidedC Close-out plan

3 Receive employee input -- essentialelement of meeting.C Discuss all comments on the plan.C Keep focused.C Do not get into arguments with orrespond to accusations by theemployee.C Stress to the employee theimportance of being honest aboutrequired time frame and resourcesneeded, because failure to meet thePIP may result in discipline.

Training for SupervisorsPerformance Improvement Plans

K - 2

K. Meeting regarding

proposed PIP(cont'd)

# Modify the PIP based on employee input and issues raised in meeting.

# Ensure that the PIP is acceptable to bothemployee and supervisor.

# Finalize the PIP.

3 Present the PIP to the employee.Secure the employee’s acceptanceand signature, with date, if possible.

3 Get agreement on early notification ofproblems with any element orcommitment in the PIP so that theproblem is quickly resolved.

Training for SupervisorsPerformance Improvement Plans

L - 1

L. MonitoringPIP and

benchmarkprogress

# Feedback: The supervisor should provideongoing feedback.

3 At established intervals, i.e., everyweek or two, every 30 days, etc.

3 Issues to be prepared for whilemonitoring the employee’s progressand providing feedback:

C Employee may deny that he or she isnot improving.

C Employee may attempt to comparehis or her treatment to that of otheremployees.

C Employee may raise instances ofprior enforcement or lack ofenforcement with respect to otheremployees.

C Employee may want a witnesspresent.

3 Employee must be treated withfairness.

# Provide assistance at appropriate times.

# Provide additional support to the employee.This may involve:

3 Positive feedback

3 EAP/rehabilitation where warranted

3 Enlisting the help of employee /management associations

Training for SupervisorsPerformance Improvement Plans

L - 2

Training for SupervisorsPerformance Improvement Plans

M - 1

M. Close-outof PIP

# Meet with the employee

3 Review progress and data

3 Assess whether the PIP was successful

# If the employee meets goals:

3 Congratulate the employee.

3 Have a discussion regarding follow-up.

3 Give support for continued satisfactoryperformance

# If the goals are not met

3 Discuss with the employee theevidence of poor performance.

C Refer to specific instances.

C Provide documentation of poorperformance (i.e., statistics, written orcomputerized reports, etc.)

3 Discuss all options with the employee.

Training for SupervisorsPerformance Improvement Plans

N - 1

N. Optionswhen

employee hasnot met PIP

# Extension or revision of the PIP

# Voluntary reassignment

# Involuntary reassignment/downgrade

3 Apply ELM Section 375.2(Unsatisfactory Performance)

# Discipline

3 Follow normal disciplinary procedures

3 Any discipline, including downgrade,may be subject to MSPB review:

C Must promote the efficiency of theservice

C Penalty must be reasonable --consider Douglas factors (see page C-5).

Training for SupervisorsPerformance Improvement Plans

O - 1

Perceived performanceproblem

Assessment

Options

Discipline(Douglasfactors)

PIPProcess

Voluntaryaction byemployee

O.Performancemanagement

flowchart

Training for SupervisorsPerformance Improvement Plans

P - 1

Supervisoridentifies theemployee's

performancedeficiencies

Supervisor notifies the employee of

deficiencies,receives

employee's input

Proposed PIP

PIP

Monitor andbenchmarkprogress

Plan close-out

P. PIP processchart

Training for SupervisorsPerformance Improvement Plans

Q - 1

Q. PIPprocess

checklist

Supervisor identifies employee'sperformance deficiencies

3 List evaluation observations

3 Locate and review underlyingdocumentation and criteria:

C Job description

C ELM Sections 372 - 373

C Records of poor performance

3 Compare performance with performancestandards

3 Identify specific deficiencies

3 Identify potential causes

3 Identify potential solutions

3 Review procedures for conductingdiscussion

Training for SupervisorsPerformance Improvement Plans

Q - 2

Q. PIPprocess

checklist (cont'd) Supervisor notifies employee ofdeficiencies, receives employee's input3 Meet with the employee

3 Tell the employee: Purpose of process isto assist in improving/reachingacceptable performance

3 Review with the employee: Supervisor'sobservations, paperwork, evidence ofdeficiencies

3 Clarify expectations

3 Receive the employee’s input

3 Discuss performance gap

3 Discuss the employee's career goals

3 Have the employee identify training,resources, and/or mentors to beincorporated into the PIP

3 Consider whether representative/management association should beinvolved

3 Assess options

Training for SupervisorsPerformance Improvement Plans

Q - 3

Q. PIPprocess

checklist (cont'd) Proposed PIP3 Supervisor draws up the PIP with

technical assistance from Labor Relations

3 Ensure that the PIP has all components(notice of deficiencies, criteria, goals,with deadlines for improvement, trainingand assistance to be provided, close-outplan)

3 Go over the proposal with the employee,including all major areas

3 Stress that it is important for theemployee to be honest about time frame,resources needed, etc. because failure tomeet the PIP may result in reassignment,discipline, etc.

3 Modify the proposal based on theemployee's input

Training for SupervisorsPerformance Improvement Plans

Q - 4

Q. PIPprocess

checklist (cont'd) PIP3 Present to the employee

3 Acceptance and signature of theemployee with date

3 Remind the employee to tell supervisorASAP if a problem develops with PIP -any aspect, i.e., training, resources,mentor, time frame

Monitor and benchmark progress3 Ongoing feedback at set intervals set

forth in plan (more can always beprovided if the supervisor/employee hastime)

3 Assistance to the employee atappropriate times

3 Support

Training for SupervisorsPerformance Improvement Plans

Q - 5

Q. PIPprocess

checklist (cont'd)

Plan close-out# If the goals are met:

3 Congratulations

3 Discussions of what follow-up support isneeded for the employee to sustainacceptable performance

# If goals not met: Options . . .

3 Voluntary reassignment

3 Career options

3 Discipline

3 Extension or revisions of the plan