BOP Program Statement 3430.09 § 20

These procedures will be followed at any time during the rating cycle when a supervisor

records an instance of Unacceptable performance in one or more elements of the performance

standards in the employee’s performance log.

a. Unacceptable Performance Warning. When a supervisor records an instance of

Unacceptable performance in the employee’s performance log, he/she will obtain

concurrence from the employee’s reviewing official and the servicing Human Resource

department. If the Unacceptable log is approved, the rater will issue the employee a written

warning of a potentially Unacceptable performance rating. This warning letter must include:

(1) Notification of the element or elements in which performance is Unacceptable.

(2) Specific examples of the Unacceptable performance.

(3) The performance requirements or standards that must be attained to demonstrate

acceptable performance. The acceptable level of performance for purposes of retention in

the position under the Bureau’s five-level performance appraisal system is the level

between the Unacceptable level and the Successful level; specifically, performance that is

Minimally Satisfactory.

(4) A reasonable opportunity period to demonstrate acceptable performance on the elements

at issue. This opportunity period will begin upon the employee’s receipt of the written

warning, and normally will not be less than 30 days or more than 90 days following the

issuance of the warning letter, and will be determined by the circumstances of the particular

case. The initially established period may be extended at the agency’s discretion for

extenuating circumstances (such as extended periods of absence) during the opportunity

period.

(5) Notice to the employee that he/she must improve to the acceptable level by the conclusion

of the opportunity period and must sustain that level of performance for at least one year from

the start of the opportunity period.

(6) A structured Performance Improvement Plan (PIP) to provide the employee opportunities

to demonstrate acceptable performance. The PIP may include such activities as

developmental assignments, structured employee assistance or counseling, formal training,

on-the-job training, mentoring, or any other activity that the supervisor believes will afford

the employee an opportunity to demonstrate acceptable performance. Careful records must be

kept of assistance offered and results achieved under the PIP.

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(7) Explanation of actions that may be initiated if the Unacceptable performance continues

or if acceptable performance is not demonstrated.

Human Resource Managers will assist supervisors in preparing performance warning letters.

Warning letters must be approved by the Regional HRM Office and the Employment Law

Branch.

If the Unacceptable log is not supported by the reviewing official and/or Human Resources, the

supervisor will change the Unacceptable log rating to the appropriate rating supported by the

employee’s performance.

b. Improved Performance During the Opportunity Period. If, at the conclusion of the

opportunity period, the rating official determines that the employee has improved to an

acceptable level in the element that formed the basis for the opportunity period, no further

action will be taken. When it is time for the annual rating, the rating official will consider

the instance of Unacceptable performance along with other recorded instances of

performance for that element and give it appropriate weight in assigning the rating for that

element.

c. Additional Unacceptable Performance During the Opportunity Period. If, at the

conclusion of the opportunity period, the rating official determines the employee has not

improved to an acceptable level in the element that formed the basis for the opportunity

period, the rating official will document the exhibited performance and prepare an annual

performance rating. The element will be rated Unacceptable and the proposed overall rating

will be Unacceptable.

If it is not time for the annual rating and the reviewing official does not concur with the

proposed Unacceptable rating, then no rating will be issued. However, if at any time during the

remainder of the rating period the supervisor notes another instance of Unacceptable

performance in the same element, he/she will again propose an Unacceptable rating.

If it is time for the annual rating and the reviewing official does not concur with the proposed

Unacceptable rating, the reviewing official’s rating is the final rating. The reviewing official

must adjust the individual element ratings to support the overall rating given and substantiate

these changes in the “reviewer’s comments” on the rating form.

If the reviewing official concurs with the proposed Unacceptable rating, an Unacceptable rating

will be issued, together with a notice of proposed action in accordance with subsection 21 of this

section.

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d. Additional Unacceptable Performance During the 12 Months Following the

Beginning of the Opportunity Period. In order to demonstrate acceptable performance

following a performance warning letter, employees are required to improve their performance

to an acceptable level and sustain that level of performance for 12 months following the

beginning of the opportunity period. Therefore, if a supervisor notes Unacceptable

performance in the same element that formed the basis for the warning letter at any time

during the 12 months following the beginning of the opportunity period, he/she will prepare a

proposed Unacceptable rating as described in subsection 20c above. This is the case even if

the employee did demonstrate acceptable performance during the opportunity period and/or

received a performance rating of Minimally Satisfactory or better since the issuance of the

warning letter.