6.315.1 Career and Career-Conditional Employment

Probationary Period for Career and Career-Conditional Employment

  1. Probationary periods provide managers with the opportunity to measure the abilities and fitness of the employee for continued employment in the Service.

  2. This period also provides an opportunity to complete background investigations. Information in 5 CFR Part 315, Subpart H, Probation on Initial Appointment to a Competitive Position, governs this period.

Requirements

  1. The following covers the one year probationary period requirements for new external appointments from either an Office of Personnel Management (OPM) or IRS Delegated Examining Unit (DEU) certificate in accordance with 5 CFR Part 315, Subpart H.

  2. IRS Special Agents selected from an OPM or DEU certificate must serve a 3-year probationary period.

  3. Upon non-competitive conversion of a Student Career Experience Program (SCEP) employee to the competitive service, a 1-year probationary period is required as described under 5 CFR § 315.801(e). SCEP is a special appointing authority that does not provide an exemption from probation upon conversion. However, SCEP service can be used towards completion of the probationary period if it is determined that all three criteria under 5 CFR § 315.802(b) are met upon conversion. See IRM 6.315.1.1.2.

Creditable Service - Prior Federal Civilian Service

  1. Prior Federal civilian service may count towards completion of probation when the following criteria are met:

    1. Is in the same agency, e.g., Department of the Treasury (Treasury);

    2. Is the same line of work (5 CFR § 315.802(b)(2); and

    3. Contains or is followed by no more than a single break in service that does not exceed 30 calendar days.

  2. If a selectee is currently serving a probationary period at the time of the selection or has previously served a 1-year probationary period and meets the criteria in IRM 6.315.1.1.2(1), the length of time served under the prior creditable probationary period will count towards completion of the new probation.

Creditable Service Computations – Part-Time and Intermittent Work Schedules, Non-Pay Status

  1. The probationary period for part-time employees is computed based on calendar time, in the same manner as for full-time employees (5 CFR § 315.802(d)).

  2. For selectees who have an intermittent work schedule (no regularly scheduled tour of duty), each full or partial day counts as 1 day of credit toward the 260 days in a pay status required for completion of probation (5 CFR § 315.802(d)). The probationary period cannot be completed in less than one year of calendar time.

  3. Absence in non-pay status while on the rolls is creditable up to a total of 22 workdays. Probationary periods may be extended to cover any non-pay time in excess of the 22 workdays. There are only two exclusions that apply:

    1. Employees (on or off the rolls) who are serving in the military; and

    2. Employees who are absent because of a service connected compensable injury. In addition to the allowable 22 workdays, time served on military leave or sick leave that resulted from a service connected compensable injury is creditable in full upon the employee’s return to work (5 CFR § 315.802(c)).

Responsibilities

  1. The servicing Human Capital Office (HCO), Employment, Talent and Security (ETS), Employment Office (EO) is responsible for ensuring that the vacancy announcement contains probationary period information specific to the position and type of appointment. Examples of typical language are as follows:

    1. "You are required to serve a probationary period as a condition of this new appointment. Applicants selected from an OPM or IRS certificate for a Career or Career Conditional Appointment will be required to serve a 1-year probationary period."

    2. "Reinstatement applicants will be required to serve a 1-year probationary period unless it is verified that the position for which they are selected is in the same line of work as their previous position as stated under 5 CFR § 315.802(b)(2)."

    3. "Applicants selected for IRS Special Agent positions will be required to serve a 3-year probationary period."

  2. The servicing HCO, ETS, EO will also insert the appropriate probationary period remark in the Personnel Action Request (PAR).

  3. The servicing HCO, ETS, EO is responsible for notifying the employee of the requirement for serving a probationary period by including specific language in the final commitment letter. Language should be modified to cover IRS Special Agents' 3-year probationary period requirement. At a minimum, the final commitment letters must include the following two paragraphs:

    1. You must complete a one-year probationary period that begins on the effective date of your appointment and ends one year later, unless extended by leave without pay or other non-pay time in excess of 22 work days. (In accordance with 5 CFR § 315.803).

      • During the probationary period, we will assess your job performance and overall fitness and qualification for continued employment with the IRS.

      • If your performance or conduct does not meet acceptable standards, we may remove you from the position and/or Federal service.

    2. You will be placed in tenure group II (conditional tenure) until you have completed three years of substantially continuous service. If you have already served a prior probationary period and completed three years of substantially continuous service under a career-conditional appointment, you will be changed to tenure group I (permanent tenure) upon completion of this new probationary period. This has no impact on your benefits, or adverse action rights to due process in the event of a reduction-in-force or other type of separation.

  4. Managers are responsible for notifying their employees, in writing, if their probationary period will be extended beyond the 1-year period. The notification should be issued before the employee’s current probationary period ends and a copy filed in his or her Employee Personnel File (EPF). The manager should work directly with the employee to determine appropriate reasons for the extension. The employee is responsible for providing any supporting documentation required by the manager.

Due Process and Appeal Rights

  1. OPM posted final regulations on 5 CFR Parts 315 and 752, Career and Career-Conditional Employment and Adverse Actions, in the Federal Register. The regulations were effective on March 10, 2008. In accordance with recent court and Merit Systems Protection Board (MSPB) decisions, the revised regulations provide that employees sometimes attain full adverse action due process and appeal rights before the end of their probationary/trial period. The IRS Workforce Relations Division (WRD) is responsible for providing guidance on due process and appeal rights. Managers should contact their servicing Labor Relations Specialist for additional guidance as soon as any potential conduct and/or performance problems are identified with a probationary employee.

  2. Definition of "employee" when taking an adverse action (such as separation during the probationary period) includes competitive service employees currently serving a probationary period.

Termination During Probation Period

  1. Failure on the part of the employee to demonstrate acceptable performance or conduct will be cause for separation from the Service as soon into the probationary period as a determination is made.

  2. If after a full and fair period, it is apparent that an employee is unsuited for continued employment in the Service, the servicing Labor Relations Office (LRO) should be consulted regarding the proper procedural and appeal rights for termination/removal of the employee. All notices of separation for disqualification will include sufficient information to inform the employee why the action is being taken. See Exhibits 6.315.1-1, 6.315.1-2, and 6.315.1-3.

  3. A warning or caution letter may be used in closing out Treasury Inspector General for Tax Administration (TIGTA) Reports of Background and Character Investigation where improprieties prior to employment with the IRS are disclosed. These improprieties should be of a nature not mandating severe action (such as separation), but serious enough to put the employee on notice that such actions will not be tolerated of IRS employees. Warning or caution letters are not filed in the Official Personnel Folder. See Exhibit 6.315.1-4.

Supervisory Probationary Period for Supervisors and Managers

  1. The following establishes guidelines and instructions for the supervisory probationary period served during the initial assignment to a supervisory or managerial position as required by the Civil Service Reform Act of 1978 (5 CFR Part 315, Subpart I).

  2. Exemptions to the requirement for a supervisory probationary period are granted by 5 CFR Part 315, Subpart I. These, along with exceptions established by the Service, are discussed below.

  3. The supervisory probationary period allows management to effectively assess the supervisory or managerial performance of the individual for continued employment in the position. It also provides an avenue for returning the employee to a non-supervisory or non-managerial position without using adverse action procedures should circumstances warrant.

Coverage

  1. The supervisory probationary period is satisfied by successful completion of 365 calendar days in a position in the Federal Government at any grade which meets the definition of a supervisory or managerial position.

  2. The probationary period applies to all assignments to covered positions on or after August 11,1979.

  3. Employees who serve one supervisory probationary period in the Federal Government will not be required to serve a second supervisory probationary period upon assignment to another supervisory or managerial position.

  4. The following exceptions are applicable to employees who occupied positions on or before August 11,1979.

    1. An employee who formerly held or currently holds a supervisory or managerial position in the Federal Government on a permanent assignment is not subject to a supervisory probationary period under this subsection for any future assignment to such a position; and

    2. An employee who has completed more than 120 consecutive days on a former temporary promotion or reassignment to a supervisory or managerial position in the Federal Government is not subject to a supervisory probationary period under the subsection for any future assignment to such a position. Any such assignment for 120 days or less does not qualify for this exception.

Responsibilities During Supervisory Probationary Period

  1. The servicing HCO, ETS, EO is responsible for notifying the immediate supervisor or manager when the employee enters a supervisory probationary period and the anticipated completion date.

  2. The employee’s immediate supervisor is responsible for:

    1. Establishing and discussing written performance requirements with employees serving a probationary period within thirty (30) calendar days after assignment to the supervisory/managerial position;

    2. Ensuring that training needed in the successful performance of the duties of the position is promptly received. Training funds must be appropriately budgeted for this purpose;

    3. Conducting, at a minimum, a mid-year review with each probationary supervisor or manager. Counseling should be a continuous, on-going process and must be confirmed in writing;

    4. Certifying the successful completion of the employee’s probationary period and furnishing to the employment office a signed copy of the written notice to the employee. This form will be used as official documentation and filed in the EPF; and

    5. Initiating an action to return the employee to a non-supervisory or non-managerial position at any time during the probationary period for reasons related to supervisory or managerial performance deficiencies. At a minimum, this action must have the concurrence of the next level supervisor.

Creditable Service - Completion of the Supervisory Probationary Period

  1. An employee serving a supervisory probationary period who is transferred, reassigned, or promoted to another position for reasons unrelated to supervisory or managerial performance deficiencies will be given credit for his/her probationary experience in the position.

  2. Supervisory or managerial employees who have a break-in-service (i.e., off Federal Government rolls) in excess of 30 calendar days during a supervisory probationary period, will not be credited with previous supervisory probationary experience under subsequent appointment, but will be required to serve a new one year supervisory probationary period.

  3. Absence in a non-pay status while on the rolls (other than absence because of compensable injury or military duty) is creditable up to a total of 22 cumulative workdays. Any non-pay time in excess of the total of 22 workdays extends the supervisory probationary period by an equal amount.

  4. Absence (whether on or off the rolls) due to compensable injury or military duty, from which the employee is entitled to restoration rights under 5 CFR Part 353, is creditable in full. This is in accordance with the requirements of 5 CFR § 315.906.

  5. When an employee is separated for cause or returned to a non-supervisory or non-managerial position during the supervisory probationary period for reasons related to supervisory or managerial performance deficiencies, his or her service does not count toward completion of a supervisory probationary period required under subsequent appointments.

  6. Supervisors or managers on permanent appointments with a seasonal tour of duty, who are in work status more than 90 days consecutively, will be credited with supervisory probationary experience in the supervisory or managerial position for time spent in a work status during the season, provided a written performance evaluation is prepared which reflects satisfactory performance during the period.

  7. Employees who are given official temporary promotions or reassignments for more than 120 consecutive calendar days to a position as supervisor or manager will be given credit toward completion of the supervisory probationary period requirement for all time on the assignment.

  8. Employees who serve on temporary promotions or reassignments of 120 calendar days or less to positions as supervisor or manager will receive no credit toward completion of the supervisory probationary period requirement, unless the employee is assigned permanently to the supervisory or managerial position without returning to the old position.

Procedures

  1. Vacancy announcements for supervisory positions will include the following supervisory probationary statement:
    "An employee selected for a supervisory or managerial position, who has not met the requirement for completion of a supervisory probationary period as defined in IRM 6.315.1.2.3, must satisfactorily complete a supervisory probationary period. Failure to satisfactorily complete the supervisory probationary period will result in return to a non-supervisory or non-managerial position, at or below the grade level of the position in which probation is being served. The grade level of the position to which returned will depend upon whether the employee was promoted, laterally reassigned, or requested a change to lower grade to enter the supervisory or managerial position."

Appeals and Grievances

  1. An employee who wishes to contest the determination of whether he or she is subject to a supervisory probationary period due to lack of supervisory or managerial experience may do so under the agency grievance procedure. See IRM 6.771.1, Human Resources Management, Agency Grievance System. There are no appeal rights to the MSPB.

  2. An employee who wishes to contest the decision to include or exclude his or her assigned position under the supervisory probationary system may do so under IRM 6.771.1, Human Resources Management, Agency Grievance System. There are no appeal rights to the MSPB.

  3. An employee who wishes to appeal the classification determination that his or her position should or should not be classified as supervisory or managerial may do so at any time, as provided for in 5 CFR § 511.603.

  4. An employee who alleges discrimination on grounds of race, color, religion, sex, national origin, age (provided the complainant is at least 40 years old at the time of action), or disabling condition in connection with an action returning the employee to a non-supervisory or non-managerial position must use the agency discrimination complaint system. Final agency action on such complaints is appealable to the Equal Employment Opportunity Commission (EEOC).

  5. An employee who alleges discrimination on grounds of marital status or partisan political affiliation, in connection with an action returning the employee to a non-supervisory or non-managerial position, may appeal to the MSPB. The appeal must be filed with MSPB within thirty (30) calendar days of the effective date of the action.

  6. An employee who wishes to appeal the decision to return the employee to a non-supervisory or non-managerial position may do so under IRM 6.771.1, Human Resources Management, Agency Grievance System (AGS).

Notice of Probationary Separation (for Post-Employment Deficiencies)

Notice of Probationary Separation (for Post-Employment Deficiencies)

Note:

[Contract rights afforded certain probationers are not included in this letter.]

This is a notice of my decision to terminate your employment with the Internal Revenue Service, effective in accordance with Part 315.804 of the Office of Personnel Management (OPM) regulations. This termination during your probationary period is based on the following reason(s):

Note:

[Although the reason and specification format are not used and the strict specificity requirements of Parts 432 and 752 need not be met, the reason(s) must be sufficiently detailed so that the employee clearly understands why the action is being taken. One or two paragraphs should normally be adequate. Reference should be made, as appropriate, to counseling and instruction received, regulations violated, impact of the deficiencies or misconduct, etc.]

You have the right to appeal this action to the Merit Systems Protection Board (MSPB), [address], under Part 315 of the OPM regulations. However, you may only appeal to the Board if you allege that this action was based in whole or in part on your marital status or political affiliation.
A copy of the MSPB regulations is enclosed with this letter. (Note: MSPB only require that the Agency provide a copy or access to a copy of the regulations; if the regulations are not attached, modify the sentence accordingly to indicate where access to a copy can be obtained. If you are providing the abbreviated regulations include such language as, ("A portion of the Merit Systems Protection Board (MSPB) regulations related to the filing of appeals is enclosed with this letter. Additional information regarding MSPB regulations and procedures is available on the MSPB website at (use current website address)." ) Section 1201.24(a) of the regulations tells you what information must be included in your written appeal to the Board. Also enclosed is a copy of the MSPB Appeal Form 185, although it is not required that you file your appeal using the form. However, since the completion of the form would constitute compliance with the requirements of Section 1201.24(a), you are encouraged to use the form. To be timely, an appeal to the Board must be filed no later than 30 days after the effective date, if any, of the action being appealed, or 30 days after the date of receipt of the agency's decision, whichever is later. Where an appellant and an agency mutually agree, in writing, to attempt to resolve their dispute through an Alternative Dispute Resolution (ADR) process prior to timely filing of an appeal, the time limit for filing the appeal is extended by an additional 30 days - for a total of 60 days. Filing can be by personal delivery or by facsimile during normal business hours to the board field office indicated above, in which case the date of mailing is the date of filing. If you do not submit an appeal within the time set by Board regulations, the appeal will be dismissed as untimely filed unless a good reason for the delay is shown.
The MSPB accepts appeals in several different formats. You can find out more information about how to file an appeal at [use current website address.] This MSPB website explains the options on how to file an appeal. In summary, you may file a paper appeal (either Form 185, or the appellant’s letter or other written format) by regular mail, facsimile (FAX) or commercial or personal delivery or you may prepare and file your appeal electronically using e-Appeal, the Board’s internet filing procedure.
Should you allege that the action taken against you was based in whole or in part on discrimination because of race, color, religion, sex, age, national origin, or physical or mental disability, you may appeal the discrimination allegation through the Service’s discrimination complaint system under Part 1614 of Title 29, Code of Federal Regulations. To appeal under 29 CFR Part 1614, the allegation must be brought to the attention of an Equal Employment Opportunity (EEO) Counselor within forty-five (45) calendar days of the effective date of this action.
You may not appeal an allegation of discrimination because of race, color, religion, sex, age, national origin, or physical or mental handicap to the MSPB unless you also allege that the action was based in whole or in part on your marital status or political affiliation. In that event, you may appeal all allegations of discrimination to the MSPB.
In addition to any right you may have to appeal to the MSPB or Equal Employment Opportunity Commissioner (EEOC), you may also have the right to file charges or complaints with the Federal Labor Authority (FLRA), Office of Special Counsel (OSC), OPM or other Federal agencies if you believe your rights have been violated and your claims are within their jurisdiction.
Information about appeal rights and procedures may be obtained from your Human Resources Specialist or your EEO Counselor.
An SF-50, Notification of Personnel Action, effecting your termination, will be forwarded to you when available.
Sincerely,

Note:

A copy of the letter will be given to the bargaining unit employee with the notification at the top of the first page: "THIS COPY MAY AT YOUR OPTION BE FURNISHED TO [appropriate Union chapter or local]."

Notice of Proposed Termination during Probationary Period (for Pre-Employment Conduct)

Notice of Proposed Termination during Probationary Period (for Pre-Employment Conduct)

Note:

Contract rights afforded certain probationers are not included in this letter.

This is a notice of proposed termination issued in accordance with Part 15 of the Office of Personnel Management regulations. We propose to separate you during your probationary period at any time after twenty (20) calendar days (or a lesser period if there is insufficient time remaining before the expiration of the probationary period) from the date you receive this letter, for the reasons set forth below:
Reason I: [State a specific identifiable offense that refers to personal conduct on the part of the employee, i.e., describe the employee’s actual misconduct.]
Specification 1: [Specifically describe the offense, with reference to times and dates, locations, persons directly involved (not witnesses), and specific acts and actions.]
Specification 2: [State as many specifications as are necessary. Normally each individual specification should detail a separate instance of misconduct.]
Reason II: [Use as many reasons as there are clearly distinct offenses.]
Specification 1: [Continue with format]
You have a right to the material relied on to support the reasons in this notice and may request it from _________________________. You have the right to respond to the above reason(s) in writing and to furnish affidavits and evidence in support of your answer. Your written reply must be received by me within ___ calendar days [15 days, unless a lesser period is necessary due to expiration of the probationary period] from your receipt of this letter. You also have the right to be represented by an attorney or other representative. If otherwise in an active duty status, you have a right to a reasonable amount of official time to review documents pertinent to the case which are unavailable during non-duty hours, and to interview IRS employees concerning matters pertinent to the case.
A final decision will not be made in this matter until your reply has been received and considered, or, if no reply is received, until after the time specified for the reply has passed. Any reply submitted by you will be given full consideration. You will be notified in writing of the final decision. You will be retained in a work status during the advance notice period [add, if appropriate:"unless workload requirements necessitate placing you in a non-duty status." For those in non-work status, state: "You will remain in a non-duty status during the advance notice period unless workload requirements necessitate recalling you to duty.]"
Sincerely,

Note:

A copy of the letter will be given to the bargaining unit employee with the notification at the top of the first page: "THIS COPY MAY AT YOUR OPTION BE FURNISHED TO [appropriate Union chapter or local]. "

Notice of Decision on Probationary Separation (for Pre-Employment Reasons)

Notice of Decision on Probationary Separation (for Pre-Employment Reasons)

[NOTE: Contract rights afforded certain probationers are not included in this letter.]

In a letter dated ____________, it was proposed to terminate your employment with the Internal Revenue Service for the reason(s) contained therein.

I have carefully considered your reply dated ______. My decision regarding the reasons stated in the letter of ______ is as follows:

Reason 1 Sustained
Specification 1 Sustained
Specification Not Sustained
Reason 2 Sustained
All Specifications Sustained

Note:

If all reasons and specifications are sustained, a statement to that effect will suffice.

It is my decision that you will be terminated effective ________. You have the right to appeal this action to the Merit Systems Protection Board (MSPB), (address) , under Part 315, Title 5, Code of Federal Regulations. However, you may only appeal to the Board if you allege that this action was based in whole or in part on your marital status or political affiliation, or if you allege that improper procedures were used to process this action.
A copy of the MSPB regulations is enclosed with this letter.

Note:

MSPB regulations only require that the Agency provide a copy or access to a copy of the regulations; if the regulations are not attached, modify the sentence accordingly to indicate where access to a copy can be obtained. If you are providing the abbreviated regulations include such language as, "(A portion of the MSPB regulations related to the filing of appeals is enclosed with this letter. Additional information regarding MSPB regulations and procedures is available on the MSPB website at (use current website address)."

Section 1201.24 (a) of the regulations tells you what information must be included in your written appeal to the Board. Also enclosed is a copy of the MSPB Appeal Form 185, although it is not required that you file your appeal using the form. However, since the completion of the form would constitute compliance with the requirements of Section 1201.24(a), you are encouraged to use the form. To be timely, an appeal to the Board must be filed no later than 30 days after the effective date, if any, of the action being appealed, or 30 days after the date of receipt of the agency’s decision, whichever is later. Where an appellant and an agency mutually agree, in writing, to attempt to resolve their dispute through an Alternative Dispute Resolution (ADR) process prior to timely filing of an appeal, the time limit for filing the appeal is extended by an additional 30 days-for a total of 60 day. Filing can be by personal delivery or by facsimile during normal business hours to the Board field office indicated above, in which case the date of mailing is the date of filing. If you do not submit an appeal within the time set by Board regulations, the appeal will be dismissed as untimely filed unless a good reason for the delay is shown.
The MSPB accepts appeals in several different formats. You can find out more information about how to file an appeal at [use current website address.] This MSPB website explains the options on how to file an appeal. In summary, you may file a paper appeal (either Form 185, or the appellant’s letter or other written format) by regular mail, facsimile (FAX) or commercial or personal delivery or you may prepare and file your appeal electronically using e-Appeal, the Board’s internet filing procedure.
Should you allege that the action taken against you was based in whole or in part on discrimination because of race, color, religion, sex, age, national origin, or physical or mental disability, you may appeal the discrimination allegation through the Service’s discrimination complaint system under Part 1614 of Title 29, Code of Federal Regulations. To appeal under 29 CFR Part 1614, the allegation must be brought to the attention of an Equal Employment Opportunity (EEO) Counselor within forty-five (45) calendar days of the effective date of this action.
You may not appeal an allegation of discrimination because of race, color, religion, sex, age, national origin, or physical or mental handicap to the MSPB unless you also allege that the action was based in whole or in part on your marital status or political affiliation. In that event, you may appeal all allegations of discrimination to the MSPB.
In addition to any right you may have to appeal to the MSPB or Equal Employment Opportunity Commissioner (EEOC), you may also have the right to file charges or complaints with the Federal Labor Authority (FLRA), Office of Special Counsel (OSC), OPM or other Federal agencies if you believe your rights have been violated and your claims are within their jurisdiction.
Information about appeal rights and procedures may be obtained from your Human Resources Specialist or your EEO Counselor.
An SF-50, Notification of Personnel Action, effecting your termination, is enclosed [or: "will be forwarded to you when available." ]
Sincerely,

Note:

A copy of the letter will be given to the bargaining unit employee with the notification at the top of the first page: THIS COPY MAY AT YOUR OPTION BE FURNISHED TO [appropriate Union chapter or local].

Suggested Caution Letter

Suggested Caution Letter

I have received and reviewed the Character and Background Report conducted in connection with your appointment as ______________________________. The investigation revealed that [briefly identify the impropriety, such as: "you omitted employment with ________________and _________________on your OF-612 or resume dated _____________________" or "the audit of your ______________and ______________Federal Income Tax Returns resulted in deficiencies of $________________and $_____________ based on disallowed deductions for _______________." ]

After a careful review of all the facts, I have decided you are suitable for retention in your position. However, you are cautioned that [identify future behavior that is required, such as "employment forms and other documents must be complete and accurate" or "all tax returns must be filed in an accurate and timely manner.]" Future incidents of this nature may result in disciplinary action against you.

Statement of Acknowledgement Notice of Supervisory Probationary Period Requirement

Statement of Acknowledgement Notice of Supervisory Probationary Period Requirement

An employee selected for a supervisory or managerial position who has not met the requirement for completion of a probationary period as defined in IRM 6.315.1.2.1, must satisfactorily complete a probationary period. Failure to satisfactorily complete the probationary period will result in return to a non-supervisory or non-managerial position. In requesting a change to lower grade to accept this position, I understand that if I fail to satisfactorily complete the probationary period, I will be laterally reassigned to a non-supervisory or non-managerial position under the provisions of 5 CFR § 315.907. I have been informed that in order to be re-promoted to a position at the grade level of the position I held immediately prior to selection for the lower graded supervisory or managerial position, I will be required to compete for the position, even if it is to the same position held previously.

I understand that signing this statement does not constitute a waiver of any grievance or appeal rights to which I am entitled. I have been given a copy of this statement



Signature
Date