Par.

1. Purpose

2. Authority

3. Scope

4. Definitions

5. Policy

6. Basic Requirement and Length of Probationary Period

7. Documentation

8. Applicability of the Probationary Period

9. Failure to Satisfactorily Complete the Probationary Period

10. Relationship to the Probationary Period for Competitive Appointment

1. PURPOSE. To provide broad statements of policy, basic requirements and guidance for administering the probationary period for supervisors and managers of the Federal Highway Administration (FHWA).

2. AUTHORITY.

   1. Section 3321, Title 5, United States Code, as amended by Section 303 of the Civil Service Reform Act of 1978 (Public Law 95-454),

   2. Title 5, Code of Federal Regulations (CFR), Parts 315.901-909,

   3. Department of Transportation (DOT) Notice 3150.1, Probationary Periods for Supervisors and Managers, dated August 29, 1979, and

   4. Department of Transportation Personnel Manual (DPM) Chapter 315-40, Subchapter 9, Probation on Initial Appointment to a Supervisory or Managerial Position, dated January 27, 1986.

3. SCOPE. The requirements and guidance in this directive apply to all FHWA employees initially assigned to a supervisory or managerial position in the competitive service (which includes General Schedule and Wage System positions) at the GS-15 level or below.

4. DEFINITIONS.

   1. Managerial position - a position classified as "managerial" under the OPM General Schedule Supervisory Guide. The incumbent of such a position typically will direct an organization, be accountable for success of programs, monitor progress toward goals, and perform a full range of managerial duties.

   2. Supervisory position - a position classified as "supervisory" under the Office of Personnel Management (OPM) General Schedule Supervisory Guide or, if under the wage system, the Job Grading Standard for supervisors. Such a position is usually classified with the title of "Supervisory," "Officer," or similar designation. The incumbent typically will assign, direct, and evaluate the work of his/her subordinates, recommend selections or promotions, as well as plan and coordinate work operations.

5. POLICY. It is FHWA policy to:

   1. Maintain a high quality of performance by supervisors and managers through careful and effective use of the probationary period for newly appointed supervisors and managers.

   2. Give new supervisors and managers adequate opportunity to prove themselves and encourage support of efforts to help them succeed.

   3. Make every effort to adequately train new supervisors and managers to perform their supervisory and managerial duties.

6. BASIC REQUIREMENT AND LENGTH OF PROBATIONARY PERIOD. Upon initial appointment to a supervisory position, an employee is required to complete a one year probationary period. Upon initial appointment to a managerial position, an employee is also required to complete a separate one year probationary period for managers unless he or she has satisfactorily completed a probationary period for supervisors and has demonstrated competence in performing the managerial duties. The office requesting the personnel action to appoint an employee to a managerial position will recommend whether or not a separate managerial probationary period should be required. This recommendation will be based on specific criteria, using an analysis of the employee's experience and the managerial duties to be performed. If the employee's experience has not adequately demonstrated competence in performing the managerial duties of the position to which he or she is being assigned, a new probationary period should be recommended. The personnel office with delegated authority will review the recommendation, assure compliance with Department and FHWA regulations and procedures, and take appropriate action.

7. DOCUMENTATION. Satisfactory completion of the probationary period must be certified by the immediate supervisor and the second level supervisor. A certification form for this purpose is automatically generated four months before the end of the period for distribution through the servicing personnel office to the appropriate supervisor. The completed form must be filed on the right-hand side of the employee's Official Personnel File.

8. APPLICABILITY OF THE PROBATIONARY PERIOD. The probationary period applies to new supervisors and managers, except as provided in paragraph 6. A probationary period is required for the initial assignment of an employee from a supervisory position to a managerial position only when the employee's performance and experience as a supervisor have not adequately demonstrated competence in performing the duties of the position to which he or she is being assigned. An employee who has satisfactorily completed a probationary period in a supervisory or managerial position in FHWA or another Federal organization need not complete another comparable probation in FHWA.

9. FAILURE TO SATISFACTORILY COMPLETE THE PROBATIONARY PERIOD. The decision to return or reassign an employee to a non-supervisory or non-managerial position because of supervisory or managerial deficiencies which make him or her unsuited for continued employment in the position should be initiated by the employee's immediate supervisor. Because of the need to provide time for a fair period of evaluation of performance, such action may not be taken until the employee has completed at least 90 calendar days as a supervisor or manager (90 days after the effective date of appointment to a supervisory or managerial position). The 90-dayrequirement applies only to actions taken with regard to an employee's supervisory or managerial performance while serving a probationary period for supervisors/managers. The decision must be concurred in by the next higher official in the organization after consultation with and technical review by the servicing personnel office. This decision is not appealable under adverse action procedures and is not grievable. However, the employee may request a review by a higher level official (the third level supervisor, unless otherwise designated by the FHWA). The personnel office will insure proper documentation and notice of the decision to the employee in accordance with regulations. Within a reasonable time after notification, the employee will be returned to a position of no lower grade and pay than the one left to accept the supervisory or managerial position.

10. RELATIONSHIP TO THE PROBATIONARY PERIOD FOR COMPETITIVE APPOINTMENT. The probationary period for new supervisors and managers does not take the place of that which is required for competitive appointment (which generally applies to new Federal employees). However, if upon appointment an employee is required to serve a probationary period for both a supervisory/managerial position and for competitive appointment, the latter requirement takes precedence and completion of that probation fulfills the requirements of this section.