EMPLOYEE PERFORMANCE AND UTILIZATION

• Document Type: CREST
• Collection: General CIA Records
• Document Number (FOIA) /ESDN (CREST): CIA-RDP90-00530R000400690008-0
• Release Decision: RIFPUB
• Original Classification: K
• Document Page Count: 38
• Document Creation Date: December 22, 2016
• Document Release Date: October 4, 2012
• Sequence Number: 8
• Publication Date: April 28, 1988
• Content Type: MISC

.1; sO?
Declassified and Approved For Release 2012/10/04: CIA-RDP90-00530R000400690008-0
?
Headquarters
Department of the Army
Washington, D. C.
28 April 1988
_
/AR Llfiterim Change
No. 105
- Expires 28 April 1990
im[ro[Ruit'd
INTERIM CHANGE
CIVILIAN PERSONNEL
Employee Performance and Utilization
Justification. This interim change continues the guidance
concerning the Department of the Army Performan-c Appraisal Plan
for civilian employees of Interim Change 103 d_:cd 23 May 1986.
Expiration. This interim change expires two years from the date
of publication and will be destroyed at that time unless sooner
rescinded or superseded by a permanent change.
Post
this change per DA Pamphlet 310-13.
41112. File this interim change in front of the "400" series of
chapters in the basic Federal Personnel Manual.
(DAPE-CPL)
By Order of the Secretary of the Army:
CARL E. VUONO
General, United States Army
Chief of Staff
Official:
R. L. DILWORTH
Brigadier General, United States Army
=The Adjutant General
Distribution:
Active Army, ARNG, USAR To be distributed in accordance with DA
Form 12-4 requirements for the FPM.
Declassified and Approved For Release 2012/10/04: CIA-RDP90-00530R000400690008-0
Declassified and Approved For Release 2012/10/04: CIA-RDP90-00530R000400690008-0
Headquarters
Department of the Army
Washington, D. C.
23 May 1986
'AR 690-400
Interim Change
No. 103
Expires 23 May 1988
milIMAgain
INTERIM CHANGE
Civilian Personnel
Employee Performance and Utilization
Justification. This interim change implements the Department of
the Army performance appraisal plan for civilian employees
covered by the Performance Management System (PMS) and the
Perform,Ince Management and Recognition System (PMRS). This plan
was approved by the Office of Personnel Management (OPM) on
10 April 1986 (see Appendix B). Publication of this interim
change is a temporary measure to comply with the provisions of
5 CFR 540.111(b)(3) which require immediate implementation of an
OPM-approved performance appraisal plan for PMRS employees. This
change, therefore, is effective for PMRS employees 10 April 1986.
As required by OPM regulations, this change will become effective
for PMS employees at the beginning of each employee's next rating
period. Retain Chapter 430 dated 15 April 1981, IO] dated
25 April 1983, and 102 dated 25 April 1985 which will continue to
be used until this interim change is effective for all PMS
employees.
Expiration. This interim change expires 2 years from the date of
publication and will be destroyed at that time unless sooner
rescinded or superseded by a permanent change.
1. Chapter 430 (General Performance Appraisal System) is changed
as follows:
*This interim change supersedes Subchapter 3 and Appendix B, 15 November 1982,
of AR 690-500, Chapter 540, and interim change 106, AR 690-500, 29 June 1984.
It rescinds DA Forms 4968, 4968-1, 4969, and 4969-1, April 81; DA Form 4979,
May 81; and DA Forms 4940-R(WS), 4940-1-R, 4940-2-R, and 4940-3-R, 1 Oct 80,
which are obsolete.
Declassified and Approved For Release 2012/10/04: CIA-RDP90-00530R000400690008-0
Declassified and Approved For Release 2012/10/04: CIA-RDP90-00530R000400690008-0
23 May 1986
Chapter 430*
Performance Management
Contents
103, AR 690-400
SUBCHAPTER 1. GENERAL PROVISIONS
1-1. Purpose
1-2. Objectives
1-3. Applicability
1-4. Explanation of Terms
1-5. Responsibilities
1-6. Labor Relations Program Requirements
1-7. Performance Standards Review Boards
1-8. Orientation and Training
1-9. Program Evaluation
SUBCHAPTER 2. PERFORMANCE PLANNING
2-1. EMployee Performance Plans
2-2. EMployee Participation
2-3. Identification of Critical and Noncritical Elements
2-4. Establishment of PerfOrmance Standards
2-5. Special Requirements for Performance Plans and
Ratings
2-6. Variations in Critical and Noncritical Elements and
Performance Standards
SUBCHAPTER 3. PERFORMANCE APPRAISAL PROCESS
3-1. Progress Reviews
3-2. Employee Performance Ratings
3-3. Written Ratings
3-4. Critical and Noncritical Element Ratings
3-5. Summary Rating Levels
3-6. Inability to Rate
3-7. Grievances
111/1 *Chapter does not supplement FPM chapter 430.
?
Declassified and Approved For Release 2012/10/04: CIA-RDP90-00530R000400690008-0
3
Declassified and Approved For Release 2012/10/04: CIA-RDP90-00530R000400690008-0
4
103, AR 690-400
SUBCHAPTER 4. PERFORMANCE APPRAISAL LINKAGE
4-1. General
4-2. Training
4-3. Merit Increases
4-4. Within-Grade Increases
4-5. Performance Recognition
4-6. Promotion
4-7. Probationary or Trial Periods
4-8. Reduction in Force
4-9. Reassignment, Reduction in Grade, or Removal
23 May 1986
SUBCHAPTER 5. PERFORMANCE APPRAISAL DOCUMENTS
5-1. Employee Performance Plans
5-2. Performance Appraisal
APPENDIX A. PERFORMANCE APPRAISAL FORMS AND INSTRUCTIONS
Section I - Civilian Performance Plan (DA Form 5397)
A-1. Purpose and Use
A-2. Part I, Administrative Data
A-3. Part II, Performance Elements and Standards
A-4. Part III, Authentication
Section II - Civilian Performance Rating
(DA Form 5398)
A-5. Purpose and Use
A-6. Part I, Administrative Data
A-7. Part II, Performance Evaluation
A-8. Part III, Individual Development Plan
A-9. Part IV, Senior Executive Service (SES) Only
A-10 Part V, Comments
A-11. Part VI, Summary Rating
A-12. Part VII, Authentication
APPENDIX B. 01TiCE OF PERSONNEL MANAGEMENT APPROVAL
Declassified and Approved For Release 2012/10/04: CIA-RDP90-00530R000400690008-0
Declassified and Approved For Release 2012/10/04: CIA-RDP90-00530R000400690008-0
?
?
S.
23 May 1986
Subchapter 1. General Provisions
103, AR 690-400
1-1. PURPOSE
a. The Department of the Army Performance Management Plan to
implement the Performance Management System (PMS) and the Perfor-
mance Management and Recognition System (PMS) consists of the
following components:
(1) Performance appraisal systems
4302 (PMS) and 4302a (PMRS) and 5 CFR Part
(covered in this chapter).
(2) A performance appraisal system
4312 and 5 CFR Part 430, Subpart C (for
Service, covered in AR 690-900, chapter 920)
required under 5 USC
430, Subparts B and D
required under 5 USC
the Senior Executive
(3) Other PMRS plans required under 5 CFM Part 540
(covered in AR 690-500, chapter 540).
(4) A performance awards plan required under 5 CFR Part
430, Subpart E; a Superior Accomplishment Awards plan required
under 5 CFR Part 451, Subpart A; and a Quality Increases plan
required under 5 CFR Part 531, Subpart E (all covered in AR
672-20).
(5) A within-grade increase plan required under 5 CFR
Part 531, Subpart D (covered in AR 690-500, chapter 531).
b. This chapter sets forth the performance management poli-
cies and procedures for the Department of the Army, as approved by
the Office of' Personnel Management (See Appendix B.) Instructions
are included for supervisors to prepare, process, and use the
performance appraisal forms and to link performance appraisal to
other personnel decisions. This chapter also provides procedures
to be followed by employees who are dissatisfied with their
ratings of record.
c. Requests for clArification to policy in this chapter
should be sent through the chain of command to HQDA(DAPE-CPL),
WASH DC 20310-0300.
1-2. OBJECTIVES
Performance management As designed to--
a. Link individual and organizational goals.
b. Involve managers, supervisors, and employees in the
performance appraisal process.
c. Ensure that employees are--
5
Declassified and Approved For Release 2012/10/04: CIA-RDP90-00530R000400690008-0
Declassified and Approved For Release 2012/10/04: CIA-RDP90-00530R000400690008-0
6
103, AR 690.400
23 May 1986
(1) Informed in writing of critical and noncritical
elements and performance standards at the beginning of each rating
period and whenever there are changes in elements or standards.
(2) Motivated and given the opportunity to perform to
their full potential.
(3) Held accountable for meeting performance standards.
(4) Provided feedback on performance of their duties and
responsibilities compared to performance standards, and on ways to
improve performance.
(5) Assigned accurate element ratings and summary rating.
levels based on performance during the rating period.
d. Provide Army management with a tool for systematic assess-
ment of results achieved by individual employees to--
(1) Use as a basis for planning and assigning work.
(2) Make decisions on compensation, training, rewards,
reassignments, promotions, reductions in grade, retention, and
removal of employees.
(3) Assist gmployees in improving performance.
e. Make supervisory personnel responsible for the effective-
ness and productivity of the employees whom they supervise.
f. Provide a sound and continuing basis for effective
supervisor-employee relationships.
1-3. APPLICABILITY
This chapter applies to any supervisor or management official, as
defined in 5 USC 7103(a)(10) and (11), who is in a position within
grades GS-13, GS-14, or GS-15 of the General Schedule and covered
by 5 CFR Part 540. This chapter also applies to all other civilian
employees paid from appropriated funds in both the competitive and
excepted service except those--
a. Appointed by the President.
b. In the Senior Executive Service.
c. Who are Army National Guard technicians employed under 32
USC 709.
d. Outside the United States paid local national prevailing
wage rates for the area in which employed.
Declassified and Approved For Release 2012/10/04: CIA-RDP90-00530R000400690008-0
?
?
Declassified and Approved For Release 2012/10/04: CIA-RDP90-00530R000400690008-0
?
?0
23 May 1986
1039 AR 690.400
e. Occupying the following excepted service positions, which
are excluded by 5 CFR Part 430:
(1) Positions for which employment is not reasonably
expected to exceed 120 days in a consecutive 12-month period.
(2) Positions filled by Noncareer Executive Assignments
under 5 CFR, Part 305.
f. Employed under cooperative education programs.
1-4. EXPLANATION OF TERMS
a. Days. Calendar days.
b. Employees. All individuals to whom this chapter applies
(see para 1-3).
c. Critical element. A major component of a job consisting
of one or more duties and responsibilities which contribute to
accomplishing organizational goals and objectives and which is of
such importance that unacceptable performance on the element would
result in unacceptable performance in the position.
d. Noncritical element. A major component of a job which
does not meet the definition of a critical element, but is impor-
tant enough to warrant appraisal and assignment of an element
rating. (See para k below.)
e. Performance. An employee's accomplishment of assigned
duties and *responsibilities as specified in the critical and
noncritical elements of the employee's performance plan.
f. Performance standard. A statement of the expectations or
requirements established by management for each critical and
noncritical element at the rating level "met." A performance
standard may include, but is not limited to, factors such as
quality (how well), quantity (how much), timeliness (when), and
manner of performance (how).
g. Performance plan. The written record of an employee's
critical and noncritical elements and performance standards.
h. Rating period, The period of time, normally 1 year but no
less than 120 days under an approved performance plan, for which
an employee's performance will be reviewed and a performance
rating prepared.
i. Progress review. A review of the employee's progress
toward achieving performance standards, not in itself a rating.
7
Declassified and Approved For Release 2012/10/04: CIA-RDP90-00530R000400690008-0
Declassified and Approved For Release 2012/10/04: CIA-RDP90-00530R000400690008-0
8
103, AR 690-400
23 May 1986
j. Performance appraisal. The act or process of reviewing
and evaluating the performance of an employee against the
described performance standards for orifice.] and noncritical
elements.
k. Element rating. The rating used to describe the appraisal
of each critical and noncritical element (i.e., exceeded, met, not
met, or not rated) of an employee's performance plan.
1. Summary rating. The written record of the appraisal of
each critical and noncritical element and the assignment of one of
five levels?Exceptional, Highly Successful, Fully Successful,
Minimally Acceptable, or Unacceptable - -to describe overall perfor-
mance. A special rating is a type of summary rating, given under
the circumstances described in Table 3-1 below.
m. Rating of record. The summary rating required at the time
specified in this chapter for annual and probationary ratings,
including the written notice at any time a GM employee fails to
meet the performance standards for one or more critical elements.
n. Performance rating. The written record of an employee's
performance compared to his or her performance plan.
o. Rating officials. The individuals in the employee's chain
of command (i.e., the rating supervisor, the reviewer, and the
approving official) who prepare employee performance plans and
ratings.
p. Rating supervisor. Normally, the employee's immediate
supervisor, military or civilian, who prepares the employee's
written performance plan and rating.
q. Reviewer. An individual in the employee's supervisory
chain who is normally the rating supervisor's immediate
supervisor.
r. Approving official. For performance plans, the individual
specified by the commander; and for ratings of record, the indi-
vidual in the organization responsible for managing the perfor-
mance awards budget.
s. Performance Management and Recognition System (PMR). A
system prescribed by 5 USC Chapter 54 which covers performance
appraisal, pay increases, performance awards, and cash awards for
GM employees in positions GS-13 through GS-15, also referred to in
this chapter as GM employees. (See AR (90-500, Chapter 540.)
1-5. RESPONSIBILITIES
Performance management is an inherent responsibility of supervi-
sors and managers, up to and including the Secretary of the Army.
Declassified and Approved For Release 2012/10/04: CIA-RDP90-00530R000400690008-0
?
?
Declassified and Approved For Release 2012/10/04: CIA-RDP90-00530R000400690008-0
C
?
23 May 1986
103, AR 690-400
a. Commanders at all levels will--
(1) Ensure fair and consistent application of this
chapter in compliance with governing laws, rules, and regulations.
(2) Develop and communicate organizational objectives and
priorities to assist supervisors and managers in developing
employee performance plans.
(3) Ensure that employees are informed of their annual
rating periods and Who their rating officials are (by position).
(4) Ensure that supervisors and employees receive appro-
priate performance appraisal training and orientation.
(5) Establish administrative and remedial procedures to
be used when performance ratings are not completed in a timely
manner.
(6) Establish procedures to manage the performance
appraisal process. Such procedures must provide for review of
performance standards for difficulty and consistent application,
include safeguards to ensure that only those employees whose
performance exceeds normal expectations are rated above Fully
Successful, and assure that equitable and appropriate amounts of
funds are provided for performance wards for deserving employees.
b. Approving officials will--
(1) Review and approve performance plans.
(2) Review and approve performance ratings in a timely
manner, ensuring accuracy, and conformance with regulation.
(3) Ensure that performance ratings are considered in
personnel management decisions and related actions.
(4) Resolve disagreements between reviewers and rating
supervisors.
c. Reviewers will--
(1) Ensure that performance plans and ratings are pro-
cessed by subordinate supervisors in a timely manner.
(2) Review employee performance plans and ratings pre-
pared by subordinate supervisors to ensure consistency and equity
throughout and across organizations.
(3) Ensure that Individual Development Plans are reason-
able, attainable, and related to organizational goals and objec-
tives and career progression.
9
Declassified and Approved For Release 2012/10/04: CIA-RDP90-00530R000400690008-0
Declassified and Approved For Release 2012/10/04: CIA-RDP90-00530R000400690008-0
10
103, AR 690-400
23 May 1986
(4) Approve or recommend approval of performance plans
and ratings prepared by subordinate supervisors, giving fair
consideration to any employee comments.
d. Rating supervisors will--
(1) Communicate organizational goals and objectives and
priorities to employees.
(2) Assure participation of GM employees in the develop-
ment and revision of performance plans. Encourage non-GM
employees to participate in performance plan development and
revision.
(3) Discuss performance plans with employees and provide
them a written copy of the plan within 30 days of the beginning of
each rating period and when plans are revised during the rating
period.
(4) Evaluate performance, comparing results achieved with
performance plans, and counsel employees on progress and areas
that need improvement, to assist in improving job performance,
particularly when performance falls below Fully Successful.
(5) Prepare performance ratings in a timely manner.
(6) Use the results of performance appraisal as a basis
for pay determinations and to train, reward, reassign, promote,
reduce in grade, retain, or remove employees from the Federal
service, or to recommend same.
e. Employees will--
(1) Take part in the development of performance plans.
(2) Plan and perform duties so that performance plans
will be carried out.
(3) Propose to supervisors needed changes to performance
plans during the rating period.
(4) Identify work problems and cooperate with supervisors
to resolve them and set objectives to improve work performance.
(5) Complete assigned training to meet current or future
job performance needs.
f. Civilian Personnel Officers will--
(1) Provide advice and assistance to supervisors and
managers in carrying out their performance management
responsibilities.
Declassified and Approved For Release 2012/10/04: CIA-RDP90-00530R000400690008-0
?
I.
?
I.
Declassified and Approved For Release 2012/10/04: CIA-RDP90-00530R000400690008-0
23 May 1986
103,AR 690-400
(2) Provide supervisors and managers adequate performance
appraisal training opportunities, technical advice in performance
appraisal policies and procedures, notification of annual and
probationary performance rating due dates, and necessary assist-
ance to follow up on delinquent performance ratings and to main-
tain record copies of performance ratings and supporting documents
(see subchapter 5).
(3) Evaluate performance management effectiveness and
provide feedback to supervisors and managers.
1-6. LABOR RELATIONS PROGRAM REQUIREMENTS
The establishment and content of performance standards and the
identification of critical and noncritical elements as well as the
determination of the definitions of summary rating levels are
retained management rights under 5 USC 7106(a)(2)(A) and (B) and
are not negotiable. Exclusive representatives of bargaining unit
employees may bargain on the impact and implementation of perfor-
mance management decisions.
1-7. PERFORMANCE STANDARDS REVIEW BOARDS
a. General. Commanders of major Army commands and direct
reporting activities employing GM employees will establish one or
more Performance Standards Review Board(s) (PSRB) to carry out the
provisions of this paragraph.
b. Composition. Each PSRB will consist of six members chosen
by the commander or his or her designee. Three members of each
PSRB must be GM employees in the competitive service. The chair
of each board will be chosen by the commander or his or her
designee.
c. Operating Procedures.
(1) The scope of responsibility for each PSRB may be as
broad or as narrow as the convening official determines to be
necessary. As a minimum, however, each PSRB will: (a) review a
representative sample of GM employee Civilian Performance Plans
(DA Forms 5397) for quality and difficulty of performance stan-
dards; (b) review the rating distribution for GM employees with a
view toward assuring the equitable application of performance
standards; (c) study the feasibility of organizational awards for
GM employees; (d) provide technical assistance on any demonstra-
tion projects on performance appraisal involving GM employees; and
(e) carry out other duties assigned by the commander or his or her
designee.
(2) Commanders will develop specific operating procedures
governing PSRB's under their jurisdiction. These operating
procedures must be in writing and will include matters such as
11
Declassified and Approved For Release 2012/10/04: CIA-RDP90-00530R000400690008-0
Declassified and Approved For Release 2012/10/04: CIA-RDP90-00530R000400690008-0
12
103, AR 690-400
23 May 1986
scope of operations, selection and review of performance stan-
dards, follow-up actions, reporting requirements, frequency of
meetings, record keeping, and administrative support.
d. Reporting. The Chairman of each Board shall report to the
commander or his or her designee at least annually on the matters
outlined in paragraph c(1) above.
e. Restrictions. PSRB's will have no authority to approve or
modify Civilian Performance Plans prepared for individual GM
employees. Further, PSRB's will not recommend or dictate any
distribution of GM employee performance rating levels.
1-8. ORIENTATION AND TRAINING
a. Managers and supervisors will ensure program success,
including employee understanding. It is essential, therefore,
that they are trained in--
(1) Performance management objectives, policies, and
procedures.
(2) Methods to identify critical and noncritical elements
and to establish related performance standards, linking individual.
performance to organiiational goals and objectives.
(3) Techniques of performance appraisal including perfor-
mance review, feedback to employees, and assistance to employees
.in improving performance.
(4) Linkages between performance appraisal and other
personnel decisions.
b. Orientation will be provided for new employees. New
rating supervisors will receive initial training on performance
management objectives, policies, and procedures. Refresher
training will be provided as needed. Managers must be trained to
carry out reviewer and approving official responsibilities and to
hold subordinate supervisors accountable for their performance
appraisal duties. Orientation and training will be supplemented
periodically by such means as supervisory and employee news-
letters.
1-9. PROGRAM EVALUATION
Evaluation of performance management effectiveness, with feedback
to management, will be ongoing. Internal evaluation by civilian
personnel offices; Headquarters, Department of the Army and major
Army command personnel management surveys; and findings of Perfor-
mance Standards Review Boards (see para 1-7) will be used to
identify problems or weaknesses and to determine actions to
Improve performance management effectiveness.
Declassified and Approved For Release 2012/10/04: CIA-RDP90-00530R000400690008-0
Declassified and Approved For Release 2012/10/04: CIA-RDP90-00530R000400690008-0
S.
?
Os
?
I ?
23 May 1986
Subchapter 2. Performance Planning
103, AR 690-400
2-1. EMPLOYEE PERFORMANCE PLANS
Vrvr,t
a. A performance plan wili be prepared for each employee
assigned permanently or temporarily to a position for 120 days or
more. Performance plans will be recorded on DA Form 5397 (Civil-
ian Performance Plan), communicated to the employee in writing at
the beginning of each rating period (normally within 30 days), and
reviewed periodically by the supervisor and employee. Performance
plans will be updated as needed and will be the basis for perfor-
mance appraisal during the rating period.21When an employee is
temporarily assigned to a position for 120 days or longer outside
DA, rating officials will make arrangements with the outside
organization for preparation of DA Form 5397.
b. Performance standards for the accomplishment of organi-
zational objectives must be included in performance plans by
Incorporating objectives, goals, program plans, work plans, or
other similar means that account for work results.
c. When new supervisors are assigned, they will review and
discuss performance plans with subordinate employees as soon as
possible but no later than 30 days after arrival. Similarly,
supervisors will review and discuss performance plans with new
employees within 30 days of their' assignment. Review and discus-
sion will be documented by means of the supervisor and employee
signatures in Part III of of DA Form 5397.
d. Performance plans must be reviewed and approved by a
higher level official in the organization than the rating supervi-
sor at the beginning of each rating period and when plans are
changed during the rating period. When the commander is the
rating supervisor, higher level review/approval is not required.
2-2. EMPLOYEE PARTICIPATION
Performance plans will be established and updated with employee
participation. While employees are to take part in this process,
final decisions will be made by rating officials. Employee
participation may be accomplished by means including, but not
limited to, the following:
a. Employee and supervisor discuss and develop performance
plans together.
b. Employee provides to supervisor a draft performance plan.
c. Employee comments on draft performance plan prepared by
supervisor.
13
Declassified and Approved For Release 2012/10/04: CIA-RDP90-00530R000400690008-0
Declassified and Approved For Release 2012/10/04: CIA-RDP90-00530R000400690008-0
14
103, AR 690-400
23 May 1986
d. Proposed performance plan is prepared by a group of
employees occupying similar positions, with supervisor's approval.
2-3. IDENTIFICATION OF CRITICAL AND NONCRITICAL ELEMENTS
a. Critical and noncritical elements are identified through
an analysis of duties and responsibilities (i.e., an analysis of
what the job requires) and their linkage to the mission, func-
tions, and goals and objectives of the organization. Ordinarily,
a position will have 2 tc 6 job elements. Every position will
have at least one critical element and one noncritical element.
b. Critical and noncritical elements will be consistent with
the duties and responsibilities assigned to the employee and
the position. Supervisors must ensure that position descriptions
are kept current. Other sources that may help identify critical
and noncritical elements are mission or function statements,
program budget and planning documents, organizational goals and
objectives, and previously developed performance standards.
c. Collateral duties, such as equal employment opportunity
counseling, are not an integral part of the position. Since they
do not meet the criteria for a job element, collateral duties will
usually not be included in performance plans. Supervisors must be
aware, however, that the impact of assigned collateral duties on
established performance standards may require revision of employee
performance plans.
ESTABLISHMENT OF PEFFORMANCE STANDARDS
a. A performance standard describing acceptable performance
(i.e., performance at the element rating level "Met" discussed in
para 3-)4) will be established for each critical and noncritical
element. A performance standard for a critical or noncritical
element is a measurable statement, or statements, describing
management's expectations for work outputs. When there are
multiple statements, management's expectations for each statement
(individual and collectively), and the consequences for failure to
meet these expectations, should be made clear. A standard is ex-
pressed as a range of performance to obtain expected results and
should include qualifying information, such as resources avail-
able. Often, multiple statements are used to describe measurable
factors of performance in terms of quality, quantity, timeliness,
or manner of performance. Together, these statements, which
should be objective and reasonable in number, make up one perfor-
mance standard for an element for which only one element rating is
assigned.
b. Performance standrdc should be consistent with the duties
and responsibilities of the position. Standards of conduct (e.g.,
for tardiness, absenteeism, insubordination, etc.) will not be
Declassified and Approved For Release 2012/10/04: CIA-RDP90-00530R000400690008-0
e
Declassified and Approved For Release 2012/10/04: CIA-RDP90-00530R000400690008-0
9
23 May 1986
103, AR 690-400
included in performance standards. Similarly, personal traits
(e.g., interpersonal relationships, resourcefulness, depend-
ability, etc.) are not an appropriate basis for performance
appraisal unless they are clearly job-related and capable of being
documented and measured. What can be measured is the manner in
which a job is performed (e.g., developing and maintaining good
working relationships with representatives of other organiza-
tions). Conduct problems normally will be corrected through
disciplinary procedures in Federal Personnel Manual Chapters 751
and 752 and Army Regulation 690-700, chapters 751 and 752, rather
than by the performance appraisal process.
c. A well-defined performance standard will describe manage-
ment's expectations for acceptable performance of a critical or
noncritical element. It will provide a reliable yardstick to
measure individual accomplishments. The standard, therefore, must
be meaningful, challenging, attainable and within the employee's
control. It must be set at a level which is high enough to meet
the needs of the position and to motivate the employee toward
111/1 excellence, and low enough to be met by a competent employee. An
exception is pass/fail standards (also called absolute standards)
which cannot be exceeded. These standards should be avoided
unless required by regulation or the employee's position (e.g.,
111/ security or medical).
d. Performance standards require periodic review for needed
change. Factors such as a change in the level of responsibilities
or a change in program priorities could trigger a change to
performance .standards to maintain their accuracy.
SPECIAL REQUIREMENTS FOR PERFORMANCE PLANS AND RATINGS
a. Furthering equal employment opportunity (EEO) and affirma-
tive action is an important Army goal and a significant aspect of
supervisory and managerial positions. To achieve this goal, EEO
will be a critical element in all supervisory positions with
responsibilities for carrying out local affirmative action plan
requirements. Also, EEO will be a critical element in management
official positions where program management actions directly
affect EEO. Cammanders shall provide for appropriate involvement
of the EEO Officer in determining which supervisors and managers
should have EEO as a critical element, in preparing model stan-
dards for the EEO critical element, and in advising the rating
officials on evaluation of performance. Performance standards for
111/ EEO will be stated in visible, positive terms and will indicate
action desired. In developing performance standards, the rating
supervisor should use specific criteria such as:
? (cRonsP: ecruitment, promotion, training, and incentive
awards a
15
Declassified and Approved For Release 2012/10/04: CIA-RDP90-00530R000400690008-0
Declassified and Approved For Release 2012/10/04: CIA-RDP90-00530R000400690008-0
16
103, AR 690-400
21 Nay 1986
(2) Program support as demonstrated by plannc\1 actions
within the work force and the community, through stand:...vls which
build a harmonious environment free of discrimination, vt.! through
standards which reinforce EEO policy.
(3) EEO performance standards that hiftel-.. level
supervisors and managers impose on subordinate superv:s..prs and
other standards which lead to fair and equal treatment of people.
b. Supervisory and managerial positions involve s'.:;rvising
people and managing programs. As such, additional measres are
available for use in evaluating performance in these p:sitions.
To the extent that a job has the following responsitilities,
performance standards will be established to provide for ?;;raisal
of:
(1) Organizational accomplishments as well as individual
performance.
(2) Improvement in efficiency, productivity, and quality
of work or service, including any significant reduction in paper-
work.
(3)
management,
(4)
efforts to
contracting)
Personn;1 management, internal control, position
audit resolution, and safety.
Cost efficiency and timeliness of performance (e.g.,
.increase competition and achieve cost savings in
(5) Other indications of the effectiveness, productivity,
and quality of performance of employees supervised.
c. To ensure the proper handling and protection of classified
information, performance plans for employees whose duties entail
access to classified information will provide for appraisal of:
(1) Whether supervisors are aware of actions, behavior or
conditions that would constitute a reportable matter under AR
604-5 and, if the response is affirmative, whether an appropriate
report has been made.
(2) Discharge of security responsibilities.
d. Rating officials shall conFult other staff officials
(e.g., the Civilian Personnel Officer, the Position Management
Officer, the Safety Officer, etc.) who may have special knowledge
of performance during the rating period. Staff officials,
however, will not he rating officials for employees other than
those under their personal supervision.
Declassified and Approved For Release 2012/10/04: CIA-RDP90-00530R000400690008-0
?
Declassified and Approved For Release 2012/10/04: CIA-RDP90-00530R000400690008-0
?1O
?
?
103, AR 690-400
23 May 1986
2-6. VARIATIONS IN CRITICAL AND NONCRITICAL ELEMENTS AND
PERFORMANCE STANDARDS
a. There may be variations in critical and noncritical
elements and related performance standards for like or similar
jobs within organizations due to differences in mission, the
character or technology of the work, emphasis on job elements, and
distribution of work among individual employees. Variations
should reflect real differences in jobs, not differences in the
ability or performance of individual employees.
b. Variations in job requirements for some wage grade and
lower level clerical positions and in jobs common to a specific
organization are often negligible. Major Army commands and
activities are encouraged to identify these jobs and develop
generic performance standards for them. Such initiatives, tai-
lored to certain occupations or groups of occupations which are
suitable for Army-wide application, and plans to develop and test
new approaches to the development of performance standards should
be submitted through command channels to HQDA(DAPE-CPL) WASH DC
20310-030C for coordination.
17
Declassified and Approved For Release 2012/10/04: CIA-RDP90-00530R000400690008-0
Declassified and Approved For Release 2012/10/04: CIA-RDP90-00530R000400690008-0
?
S.
1.1,v 1966
103, AR 690-400
:napter 3. Performance Appraisal Process
PFY,RESS REVIEWS
a. Ferfornance appraisal is a continuing process during which
judge the work of individual employees compared to
:,f(:rnrce standards for the critical and noncritical elements of
losition. An employee will be appraised only by comparing
1-rPrmance with his or her individual performance plan for the
..:rrent rating period. The employee must have at least 120 days
!he rinimum rating period) between receipt of the performance
and the end of the rating period to meet performance
t. Supervisors should periodically appraise overall perfor-
-.:.,,, -,r.d keep employees informed of their progress toward meeting
erfor7-1....--.ce standards. Performance review discussions should be
h-,-2d as often as needed to provide superVisors with data to assess
w=k progress and to help employees improve their performance.
F,upervisors will hold progress reviews at the mid-point of
employees' rating periods, as a minimum. Periodic counseling
sessions with employees will ensure timely identification of their
::trengths and weaknesses and help to avoid unexpected performance
!n.r.ings at the end of the rating period.
c. At the time a supervisor identifies performance which
to meet performance standards for a critical or noncritical
element, the supervisor will inform the employee of his or her
performance deficiencies (see para 3-5f). Timely counseling
:-;e7.slons should be held to identify corrective actions and assist
the employee to improve performance. If an employee's job
rerformance appears to be affected by a personal problem, the
F71pervisor should seek advice and assistance from the civilian
personnel office or the Army Alcohol and Drug Abuse Prevention and
flontrol Program. When an employee alleges that a performance
prtlem is due to alcohol or drug abuse, management must offer
'habilitation assistance to the employee. (See AR 600-85). DA
rclicy pertaining to drug use by and urinalysis of employees in
critical positicns is set forth in AR 600-85 and AR 690-700,
^hapter 751.
d. Rating supervisors will discuss changes to performance
plans with employees when changes occur. Changes will be devel-
rped with employee participation in the same manner as initial
:levelopment of performance plans. Changes in mission, organiza-
tion, technology, or program emphasis; revisions to position
descriptions; or changes to performance standards which were set
4,c, high or too low may require revised performance plans. Any
such changes must be introduced far enough before the end of the
rating period to give employees an opportunity to meet revised
performance standards. The length of time needed will depend on
nature of the job and the extent of the changes.
19
Declassified and Approved For Release 2012/10/04: CIA-RDP90-00530R000400690008-0
Declassified and Approved For Release 2012/10/04: CIA-RDP90-00530R000400690008-0
20
103, AR 690-400
3-2. EMPLOYEE PERFORMANCE RATINGS
23 May 1986
a. After the rating period ends, the rating supervisor will
prepare a proposed DA Form 5398 (Civilian Performance Rating).
The supervisor will consider performance during the entire rating
period. Thus, consideration will be given to performan2e compared
to the employee's current performance plan and performance under
other plans (e.g., special ratings and summary ratings transferred
with employees from other Federal agencies.) Consideration will
give due weight to such factors as, length of time covered by
special ratings and summary ratings, similarity between job
elements and performance standards, and explanations of employee
strengths and/or weaknesses.
b. Performance ratings and performance-based personnel
actions will be reviewed and approved by officials at a higher
level in the organization than the rating supervisor. Rating
supervisors will discuss proposed performance ratings with other
rating official(s) before discussion with employees. Mutual
agreement among rating officials will be sought but the approving
official has final authority. When the commander is the rating
supervisor, higher level review/approval is not required.
c. The rating of record will not be communicated to employees
before approval of the performance rating. This does not preclude
communication about appraisal of performance between a supervisor
and an employee prior to determination of a rating of record.
All employees will sign and date performance ratings after
approval and signing by the approving official. If an employee
refuses to sign and date a performance rating, it will be com-
pleted as stated In paragraph A-12f.
d. If a rating supervisor fails to complete a performance
rating when due (see Table 3-1), the servicing civilian personnel
office will conduct a follow-up and bring the tardiness to the
attention of the rating officials involved who will complete the
rating within 30 days. If the rating is still delinquent at the
end of 30 days, the issue will be raised to the next higher level
of supervision for action.
e. When a rating official is not able to participate in the
preparation of a performance rating (e.g., extended illness,
death, reassignment, resignation, etc.), it will be done by the
new or next-level supervisor(s) by the due date.
3-3. WRITTEN RATINGS
a. Types of ratings. There are three types of written
ratings: annual, probationary, and special. Table 3-1 explain::
rating periods, rating requirements, due dates, rating period
extensions, and other information for each type of rating.
Declassified and Approved For Release 2012/10/04: CIA-RDP90-00530R000400690008-0
?
S.
?
? ?
Declassified and Approved For Release 2012/10/04: CIA-RDP90-00530R000400690008-0
23 May 1986
103, AR 690-400
b. Temporary promotions and details. Performance on tempo-
rary promotions and details for 120 days or more within or outside
the Department of the Army will be documented by a special rating.
(See Table 3-1, item 3.) An employee temporarily promoted occu-
pies the position to which promoted, not the former position.
Therefore, if the employee's rating period ends while on a tempo-
rary promotion that has been at least 120 days in duration, an
annual rating will be prepared by the supervisor of the position
to which the employee is temporarily promoted. Conversely, an
employee detailed to another position continues to officially
occupy the position from which detailed. This employee's annual
rating, therefore, will be prepared by the supervisor of the
position from which detailed. Special ratings for the employee's
permanent position, and any other positions occupied during the
rating period, must be considered in preparing the annual rating.
3-4. CRITICAL AND NONCRITICAL ELEMENT RATINGS
When preparing performance ratings, the supervisor will assign one
of four element ratings--Exceeded, Met, Not Met, or Not Rated--for
each critical and noncritical element. Employees are entitled to
the element rating that most accurately describes their perfor-
mance compared to the performance standard for the element. Not
Rated will be used only when an employee has had no opportunity to
demonstrate performance on an elFent (e.g., performance standard
revised too near the end of the rating period). Only elements
that are rated will be considered in determining the summary
rating level.
3-5. SUMMARY RATING LEVELS
a. One of five rating levels, based on assigned element
ratings, will be used to describe the quality of overall job
performance. Table 3-2 will be used to decide the appropriate
summary rating level.
b. In some cases, such as those described in
1)-(3) below, an accurate summary rating level based
ratings will not result. In such situations, major
manders and heads of direct reporting activities and
agencies or their authorized designee may deviate
criteria for surmary rating levels 1-4 in Table 3-2.
will be explained fully in Part II, item 9 of DA Form 5
?
? ?
paragraphs
on element
Army corn-
Army staff
from the
Deviations
398.
(1) An employee's individual performance contribution to
organizational achievements was such that though the employee was
rated "Exceeded" on all Job elements except one critical element
that was rated "Met," an Exceptional rating was approved.
(2) The overall level of performance of an employee who
was rated "Exceeded" on all critical and noncritical elements only
warranted a Highly Successful rather than an Exceptional rating.
21
Declassified and Approved For Release 2012/10/04: CIA-RDP90-00530R000400690008-0
Declassified and Approved For Release 2012/10/04: CIA-RDP90-00530R000400690008-0
20
103, AR 690-400
(3) Even though Table 3-
performance rating level based on
assigned a Highly Successful rating
ratings for performance in other
period.
23 May 1986
indicated a Fully Successful
element ratings, a supervisor
after consideration of special
positions during the rating
c. Notwithstanding paragraphs a and b above, when EEC. is
identified as a critical element and is rated, it must he rated_
(1) "Exceeded" to assign a summary rating level above Fully
Successful and (2) "Met" to assign a Fully Successful or Minimally
Acceptable rating.
d. The performance appraisal and resulting rating level of a
disabled veteran may not be lowered because the veteran has been
absent from work to seek medical treatment as provided Ir
Executive Order 5396.
e. DA Form 2443 (Commendation Certificate) will be presented
to employees rated Exceptional. Only one certificate will be used
if an Exceptional rating and a performance award cover the sane
period.
f. When an employee is rated below Fully Successful or
performance standards are "not met" for one or more critical
elements, the supervisor must take action to assist the employee
improve his or her petformance. Such assistance may include, but
is not limited to, formal training, on-the-job training, coun-
seling, and closer supervision. Also, the employee must be
informed in writing that performance of a critical element must
reach the "met" level for retention in the position. This written
notice constitutes an Unacceptable rating of record for Gr.".
employees. If the employee's performance remains at the "not ret"
level after a reasonable opportunity to improve, action will be.
taken to reassign that employee or to remove -hir or her from the
position based on unacceptable performance (see para 4-9.
E. Ratings of record are effective on the date apr:-07ed and
remain in effect until replaced by another rating if record
prescribed by this chapter.
h. Employees are entitled to the summary rating level that
most accurately describes their overall level of performance
during the rating period. Only those employees whose perferna.hce
exceeds normal expectations should be rated above Fully "..uc-
cessful. Pre-established or forced distribution of summary 1-
levels is prohibited.
3-6. INAPILITY TO RATE
When a perfornance rating cannot be completed at the Pnd ILe
rating period, the rating period will be extended atd a ratjeg
will be prepared. (See Table "4-:, hating FcrIcd
Declassified and Approved For Release 2012/10/04: CIA-RDP90-00530R000400690008-0
Declassified and Approved For Release 2012/10/04: CIA-RDP90-00530R000400690008-0
S.
23 May 1986
103,AR 690-400
During any period of time when a new rating of record cannot be
prepared or a previous rating cannot be extended, the employee's
performance is assumed to be Fully Successful. There may be an
inability to rate an employee in the following situations (not all
inclusive):
a. The employee was not given job elements and performance
standards.
b. The employee is in an "opportunity to improve performance
period."
c. The employee was on long-term training.
GRIEVANCES
Employees who are dissatisfied with their performance rating or
other aspects of the performance appraisal process may file a
grievance under the Department of the Army Grievance System or a
negotiated grievance procedure, as appropriate. However, the
identification of critical or noncritical e]ements or the estab-
lishment of performance standards is not subject to review under
any grievance or appeal procedure.
23
Declassified and Approved For Release 2012/10/04: CIA-RDP90-00530R000400690008-0
?/4
Declassified and Approved For Release 2012/10/04: CIA-RDP90-00530R000400690008-0
103, AR 690-400
I?33 .?:0!-;:g-c,3-gtp
,
,...
w0.
.0 0
li. '7.1 .E E-823 ?7an ?
.?
-8g1-.1t th' tl",'-'0270.
,:..---; _ta;Egr.t31K5LF ,E,2!E3it'l
Vif1P32t
rcTig
51'1 7
tE0f,
-a 8Eri
t-t.44,gf,?
7F,E5-4
PW30
4E? g4
0gt:
'V4t1L17.
g3En,
E,
tt-
11141F
002''1'
.9..10P1
thaki,3,
!,
1.1:43
p 0
411.?
eE0?E:4-1
7'11127404
tl s-1
=E3,,A3
5v, 0- ,-e22'.t-''111EV
-,C4ctu g
E q
4141?.141
g3'31%25M,P
E '5 t
2f2 "E
M"25M
?EV" etii
04
2tiN
Ltl-etse -
1.7?tiQ7101
t Ea:14
t5t14,4
t
A.
tttE6.E
5712.0
4P7aL'S
C
g2' VG/
23 May 1986
2FriSnMg
?
17;.-435j
gT"
awc
-'.i..tE.t2114 Ittt,
4i1,4.11FE 22t-h
5 ''.
1.. r,a-UP 17s i,,a E AWl
`.1t.17, ts,l, ttl 1 01..tv,S. 4> c, t,,,c.
.:q2i4 6T;t2!tc' 14teRWL
lEif; FTW' slailkttirl
gin2PW,
eE e,...0ozedt
t8Ft.2-qt-
?i5t2c
t4-.5it
Declassified and Approved For Release 2012/10/04: CIA-RDP90-00530R000400690008-0
?
? 0
?
?
Declassified and Approved For Release 2012/10/04: CIA-RDP90-00530R000400690008-0
23 May 1986
U
E
(.6
?1
0
C.
2
,a4
g
;-;
ktlgall02
I"
-t
e-61:41`t
-.151;1:5.&vil
E
t Q a
Tlbw t
A e:24tc E P
E q
tie Vile
JE10
81.1 gte? '41.2q
vm1A-gi gi rig PI'
Ete.o Zt .;
?t
103, AR 690..400
PA' 5.t.TP4
.01
2o, 2 .titi
VL big liPot:!
r2, -oap.,2E
t s
4gtn:tA
?t "1M EtitAill
7131,2 `.1
l'141 i;
!4 EtVe 4E11
5,?0 Vo?
2-05 itft
0iq0 "E,02
cf:r.
'-'4Vc4,0t;
,q1,68:=10
g
fry
t'18
6'4E0 os
EthiV3q:".
25
Declassified and Approved For Release 2012/10/04: CIA-RDP90-00530R000400690008-0
Declassified and Approved For Release 2012/10/04: CIA-RDP90-00530R000400690008-0
23 May 1986
Table 3-2
Sumrary rating levels
Level Criteria
1. Exceptional Exceeds performance standards for
all critical and noncritical
elements.
2. Highly Successful Exceeds performance standards for
the majority of critical elements,
Including EEO, meets performance
standards for all other critical
elements, and at least meets
performance standards for all
noncritical elements.
3. Fully Successful
4. Minimally Acceptable
?
5. Unacceptable
26
At least meets performance stand-
ards for all critical and noncri-
tical elements.
At least meets performance stand-
ards for all critical elements and
fails to meet performance standards
for one or more noncritical ele-
ments.
Fails to meet performance standards
for one or more critical elements.
Declassified and Approved For Release 2012/10/04: CIA-RDP90-00530R000400690008-0
?
?
Declassified and Approved For Release 2012/10/04: CIA-RDP90-00530R000400690008-0
S.
?
? (
?
0 ?
f
23 May 1986
Subchapter 4. Performance Appraisal Linkage
103, AR 690-400
4-1. GENERAL
Supervisors and managers will use performance ratings of
subordinate employees as a basis for adjusting base pay and
determining performance awards, training, rewarding, reassigning,
promoting, reducing in grade, reduction-in-force, retaining, and
removing employees. Such determinations will also be influenced
by decisions made by the Merit Systems Protection Board, Equal
Employment Opportunity Commission, Federal Labor Relations
Authority, and the courts.
4-2. TRAINING
Preparing an Individual Development Plan is an integral part of
the annual performance rating process. An exception may be made
when the supervisor determines that a plan is not needed (e.g.,
when an employee has achieved full performance or plans to vacate
the position). (See para A-8.) Plans should include appropriate
actions to assist employees improve performance. Supervisors
should refer to the employee's most recent performance rating when
recommending on and off-the-job training and self-development
activities. (See AR 690-400, chap 410.)
4-3. MERIT INCREASES
Performance appraisal will be used as a basis for determining
eligibility for and allocation of merit increases for GM
employees. (See AR 690-500, chap 540.)
- '
4-4. WITHIN-GRADE INCREASES
a. A Federal Wage System employee will advance automatically
to the next higber step if his or her rating of record is Fully
Successful or better, and he or she is otherwise eligible for a
within-grade increase. (See FPM Supp 532-1, pare S8-5.)
b. To receive a within-grade increase, a General Schedule
employee's rating of record must be Fully Successful or better (i.e.,
performance at an acceptable level of competence) for the
employee's most recently completed rating period. When an
acceptable level of competence determination is not consistent
with the employee's most recent rating of record, a more current
rating of record must be prepared. (See Table 3-1, Special
Ratings, and 5 CFh Part 531.)
4-5. PERFORMANCE RECOGNITION
a. GM employees who receive Exceptional ratings will receive
a performance award. Other- employees who receive Exceptional
ratings should be considered for a performance award or a Quality
Step Increase.
27
Declassified and Approved For Release 2012/10/04: CIA-RDP90-00530R000400690008-0
Declassified and Approved For Release 2012/10/04: CIA-RDP90-00530R000400690008-0
28
103, AR 690-400 23 May 1986
b. All employees who are rated Highly Successful and those
rated Fully Successful who exceed the minimum requirements (with
at least one critical element exceeded) may be considered for a
performance award. Recommendations for such awards, however, will
be made at the discretion of the supervisor. EMployees should not
be informed of an award recommendation until the award is approved
and processed. (See AR 672-20.)
4-6. PROMOTION
Employee ratings of record will be used in the merit promotion
process. Appraisal information used for promotion purposes should
be relevant to the job for which the employee is being considered.
Local merit promotion plans should indicate when and how perfor-
mance ratings are to be used. (See FPM chap 335, FPM Supp 335-1,
and AR 690-300, chap 335.) .
4-7. PROBATIONARY OR TRIAL PERIODS
a. Etriployees will be observed and appraised during their
probationary or trial periods to determine whether they have the
qualities needed to perform assigned duties and responsibilities.
An employee serving a probationary or trial period for competitive
or excepted appointment must meet performance standards for all
job elements (critical and noncritical) and meet all other regula-
tory requirements to be recommended for retention. (See FFM chap
315, subchap 8; AR 690-300, chap 302, para 1-6.)
Failure to meet performance standards for one or more job elements
will be the basis for separation during the probationary period.
An employee serving a probationary period for initial appointment
to a supervisory/managerial position who does not meet performance
standards for all job elements (critical and noncritical) related
to supervisory/managerial duties will be returned to a
nonsupervisory/managerial position. (See FPM chap 315, subchap
9.)
b. Certification to retain in, or remove a probationary
employee from a position will be made at the end of the eighth
month of employment (i.e., during the ninth month), using DA Form
5398, Part I, item 7. (See para A-6d below.) This certification
requirement, however, does not mean the employee cannot be removed
from the position before or after the ninth month of the proba-
tionary period.
4-8. REDUCTION IN FOPCE
Procedures for crediting performance results for reduction in
force purposes will be in accordance with 5 CFR Part 351. Ratings
of record prepared only for pay purposes to meet the requirements
of 5 CYH 540.104(a) and 5 CFR 531.404(a) (see Table 3-1, Annual
Rating Period Extensions) will not be used for reduction in force
purposes.
Declassified and Approved For Release 2012/10/04: CIA-RDP90-00530R000400690008-0
?
?
Declassified and Approved For Release 2012/10/04: CIA-RDP90-00530R000400690008-0
?
23 May 1986
103, AR 690-400
4-9. REASSIGNMENT, REDUCTION IN GRADE, OR REMOVAL
When an employee continues to perform at the "not met" level after
being given assistance and an opportunity to meet performance
standards, action will be taken to remove that employee fram the
position by reassignment, demotion, or removal from the Federal
service. Such action may be taken at any time, during or at the
end of the rating period. (See AR 690-400, chap 432.)
29
Declassified and Approved For Release 2012/10/04: CIA-RDP90-00530R000400690008-0
? (0
Declassified and Approved For Release 2012/10/04: CIA-RDP90-00530R000400690008-0
103, AR 690-400
23 May 1986
Subchapter 5. Performance Appraisal Documents
5-1. EMPLOYEE PERFORMANCE PLANS
A DA Form 5397 will be completed in duplicate for each employee
within 30 days of the beginning of his or her rating period. The
rating supervisor will give the original to the employee and
retain a copy. The rating supervisor will ensure that changes to
the plan during the rating period are approved and recorded on
both copies of the form.
5-2. PERFORMANCE APPRAISAL
a. Progress reviews. Supervisors may use the SF 7-B
(Employee Record) or other documents to record discussions,
agreements, or performance observations for preparing performance
ratings. Personal notes and materials that are not circulated to
or used by anyone other than a supervisor and are discarded or
retained at his or her discretion are not agency records for
Freedom of Information Act purposes. However, when such materials
111/1 are used as the basis for any action and retained, they become
official records for both the Freedom of Information and Privacy
? Acts.
b. Written performance ratints.
(1) Performance ratings will be prepared using DA Form
5398. The nutter of copies to be prepared and the distribution of
copies are shown in Table 5-1.
(2) When a discrepancy is detected in an approved perfor-
mance rating during the next rating period, the record will be
Corrected at once. Discrepancies may result from typographical or
clerical errors which unintentionally change the content or due
date of the report. Also, performance ratings may be changed as a
result of findings by grievance examiners, presiding officials, or
arbitrators in grievance or complaint proceedings. Corrective
action will include--
(a) Preparation of a corrected performance rating by
the appropriate rating officials for the same rating period shown.
(b) Destruction of all copies of the erroneous rating
and distribution of the corrected rating.
(c) Adjustment of personnel actions based on the
erroneous rating, to the extent practical.
31
Declassified and Approved For Release 2012/10/04: CIA-RDP90-00530R000400690008-0
Declassified and Approved For Release 2012/10/04: CIA-RDP90-00530R000400690008-0
103, AR 690-400
i'able 5-1
23 May 1986
Recording written performance ratings
Type of Rating No. of Copies Distribution
1. Annual Complete in triplicate.
2. Probationary
3. Special
32
Complete in triplicate.
Complete in triplicate;
a. Original to employee.
b. Copy to rating supervisor.
c. Record copy to the Civilian
Personnel Office for retention
and disposition in accordance
with 5 CFR 293.
Same as la, b, and c above.
a. Same as la, b, and c above.
b. When a special rating is
completed for a departing
employee, the "Supervisor" copy
will be sent through civilian
personnel office channels to
the gaining organization for
the employee's new supervisor.
When it is completed by a
departing supervisor, the
"Supervisor" copy will be left
with the losing organization
for the new supervisor.
c. When a special rating
covers performance while on a
temporary promotion or detail,
the "Supervisor" copy will be
sent to the employee's super-
visor of record.
Declassified and Approved For Release 2012/10/04: CIA-RDP90-00530R000400690008-0
?
Declassified and Approved For Release 2012/10/04: CIA-RDP90-00530R000400690008-0
23 May 1986
Appendix A.
Performance Appraisal Forms and Instructions
103, AR 690-400
Section I
Civilian Performance Plan (DA Form 5397)
A-1. PURPOSE AND USE
DA Form 5397 will be completed to inform the employee for wham it
is prepared of management's expectations for performance during
his or her annual or probationary rating period or temporary
assignment. The form should be used by the supervisor and the
employee as a guide toward achieving performance objectives. If
there are unused authorization blocks in Part III at the end of
the rating period and the plan is applicable to the next rating
period, it may continue to be used. When this is done, Part III
must be completed at the beginning of each rating period for which
the plan applies.
?
A-2. PART I, ADMINISTRATIVE DATA
Part I identifies the --
a. Employee by name and social security number (item 1).
b. Employing office, including the organization to which the
employee is, assigned (item 2).
c. Position (item 3) for which the performance plan is being
developed.
A-3. PART II, PERFORMANCE ELEMENTS AND STANDARDS
a. Part II is completed by the rating supervisor after
discussion with the employee, or with the employee taking part, as
follows:
(1) List job elements in column a. Number the elements
sequentially (i.e., 1, 2, 3, etc.).
(2) Enter "Ye" in column b opposite each element that
meets the definition of a critical element and "No" opposite each
noncritical element.
(3) In column c, state the performance standard for each
critical and noncritical element, numbered to correspond with the
job element being described.
33
Declassified and Approved For Release 2012/10/04: CIA-RDP90-00530R000400690008-0
Declassified and Approved For Release 2012/10/04: CIA-RDP90-00530R000400690008-0
103, AR 690-400
23 May 1986
4111
b. The rating supervisor must decide whether Part II will be
annotated or completely redone when critical elements, noncritical
elements, or performance standards are added or revised during the
rating period. If Part II is annotated, Part III will be
completed, using the procedure in paragraph A-4 below. If Part II
is redone, a new DA Form 5197 will be completed and the initial
performance plan will be attached.
c. At the time changes are made, rating supervisors must
determine whether enough time remains in the rating period for the
employee to meet the revised standards, whether the revised
element(s) will be "not rated" at the end of the rating period, or
whether the revised performance plan will not be used for perfor-
mance rating purposes until the next rating period. (See para
3-1d and Table 3-1, Rating Period Extensions, item lb.)
d. If additional space is needed, the rating supervisor will
continue on an 8i x 11 inch attachment. If an attachment is used,
show the employee's name, position title, pay plan, series, and
grade and fill in the block in the upper right-hand corner of DA
Form 5397 to show the total number of pages, which will not exceed
two.
A-4. PART III, AUTHENtICATION
?
a. This part is completed by the rating supervisor and the
employee at the beginning of and during the rating period whenever
Fart II is changed, as follows:
(1) The rating supervisor signs and dates both copies of
the form on line 1. The supervisor's signature indicates that the
employee has been given an opportunity to take part in developing
job elements and performance standards and that Part II has been
discussed with the employee.
(2) The reviewer/approving official signs and dates both
copies of the form on line 2.
(3) The employee signs and dates both copies of the form
on line 3. The employee's signature indicates that the supervisor
has discussed the form with the employee, but does not necessarily
mean that the employee agrees with the job elements and
performance standards.
b. If the employee refuses to sign the performance plan, the
rating supervisor will try to solve the problem. If it cannot be
solved, the supervisor will note the employee's refusal on line 3,
enter the date, and give the original to the employee.
34
?
Declassified and Approved For Release 2012/10/04: CIA-RDP90-00530R000400690008-0
?
?
Declassified and Approved For Release 2012/10/04: CIA-RDP90-00530R000400690008-0
?
23 May 1986
103, AR 690-400
c. The date on line 3 will be the effective date of the plan.'
This is the date the performance elements and standards for the
position were discussed with, and provided in writing to, the
employee.
35
Declassified and Approved For Release 2012/10/04: CIA-RDP90-00530R000400690008-0
Declassified and Approved For Release 2012/10/04: CIA-RDP90-00530R000400690008-0
36
103, AR 690-400
Section II
Civilian Performance Rating (DA Form 5398)
A-5. PURPOSE AND USE
23 May 1986
DA Form 5398 is an official record of the employee's accomplishments during the rating period for an annual, probationary, or
special rating. It will be completed after the rating period ends
or to meet a special rating requirement.
A-6. PART I, ADMINISTRATIVE DATA
Detailed instructions for completing Part I follow:
a. Items 1-3: Enter information the same as in Part I of DA
Form 5397 (see para A-2 above) for this employee.
b. Item 4: Enter starting and ending dates of the employee's
rating period, normally 1 year for annual ratings. The "From"
date for annual ratings is normally the day following the last day
("To") of the employee's preceding annual rating period or, if not
previously rated, the date the employee entered the position. The
"To" date for all types of ratings is the last day of the rating
period, including authorized extensions as discussed in Table 3-1.
c. Item 5: Enter the starting date of the employee's rating
period or the date the supervisor entered on duty, whichever is
later.
d. Items 6-7: Check the proper block in item 6 to indicate
an annual, special, or probationary rating. If it is a proba-
tionary rating, also check either "Retain" or "Remove from
position" in item 7, based on the employee's performance during
the rating period in accordance with paragraph 4-7 above.
A-7. PART II, PERFORMANCE EVALUATION
a. Attach a copy of the employee's DA Form 5397 to the
rating. Transfer the job elements from Part II of DA Form 5397 to
column 8a. The numbers for job elements in column 8a and the
critical or noncritical element designations in column 8b will be
the same as shown in Part II of DA Form 5397. Compare the
employee's perfoxmance during the rating period with the perfor-
mance standard for each job element on DA Form 5397 and enter one
element rating (E-Exceeded, 14-Met, NM-Not Met, or NR-Not Rated) in
column c for each job element.
Declassified and Approved For Release 2012/10/04: CIA-RDP90-00530R000400690008-0
?
S
?
?
Declassified and Approved For Release 2012/10/04: CIA-RDP90-00530R000400690008-0
?
?
?
23 May 1986
103, AR 690-400
b. Item 9 will be used to explain how the performance
standard for a job element was Exceeded, Met, or Not Met and why a
job element was Not Rated. All Not Rated entries must be fully
explained. All Exceeded and Not Met element ratings will be
explained when other than a Fully Successful rating is assigned.
An explanation of Exceeded and Met element ratings is optional
when the summary rating level is Fully Successful. Explanations
must be adequate to support recommended personnel actions (e.g., a
performance award, training, reassignment, etc.), based on the
employee's rating. The basis for a commander deviating fram Table
3-2 in deciding on a summary rating level will be explained in
item 9 also. (See para 3-5.)
c. After the proposed performance rating has been approved by
other rating officials, it will be discussed with the employee.
The rating of record will not be communicated to employees before
approval. If Part III is to be completed, encourage the employee
to take part. (See para A-8.)
A-8. PART III, INDIVIDUAL DEVELOPMENT PLAN
a. A plan that will contribute to current or future perfor-
mance will be developed by the rating supervisor completing an
annual or probationary rating. Development of a plan for special
ratings is discretionary with rating officials.
b. Individual development plans should include types of
training (course title(s) if known), assignments, or self-
development activities needed to develop, maintain, or improve
employee competence in the present job or in a designated position
to which the employee can progress through noncompetitive
channels. Actions to assist employees improve performance will be
specified in the plan, as appropriate.
c. If a plan is not needed (e.g., no additional training
necessary, employee planning to vacate the position soon, etc.),
enter "None Required" in Part III.
A-9. PART IV, SENIOR EXECUTIVE SERVICE (SES) ONLY
This part of the form DOES NOT APPLY for this chapter.
A-10. PART V, COMMENTS
This part may be used by rating officials and the employee to
record comments about the performance rating.
A-11. PART VI, SUMMARY RATING LEVEL
Compare the element ratings assigned in Part II of DA Form 5398
with Table 3-2 and check the appropriate block. Paragraph 3-5
37
Declassified and Approved For Release 2012/10/04: CIA-RDP90-00530R000400690008-0
Declassified and Approved For Release 2012/10/04: CIA-RDP90-00530R000400690008-0
103, AR 690-400
38
23 May 1986
above sets forth procedures for deviating from Table 3-2. Omit
this item FOR PROBATIONARY RATINGS FOR GM EMPLOYEES AND NEW
SUPERVISORS/MANAGERS.
A-12. PART VII, AUTHENTICATION
a. The rating supervisor will sign and date all copies of DA
Form 5398 in item 15 and send them to the approving official_or,
If required by local procedures, to the reviewer.
b. The reviewer will sign and date all copies of the form in
Item 16 and send them to the approving official. When a reviewer
was not designated, the rating supervisor will enter "Not
Applicable" in item 16.
c. Item 17 DOES NOT APPLY for this chapter.
d. The approving official will sign and date all copies of
the form in item 18 and return them to the rating supervisor. The
date in item 18c will be the effective date of the performance
rating.
e. Upon receipt of the approved performance rating, the
supervisor will give it to the employee to sign and date all
copies in item 19 and return them to the supervisor. The
employee's signature does not necessarily indicate agreement with
the performance rating. The date in item 19c will be the date
that the employee was notified officially of the summary rating
level assigned.
f. After the employee signs the performance rating, the
supervisor will distribute it, with the correct box checked at the
bottom of page 1 for each recipient. If the employee refuses to
sign and date the rating, the supervisor will attempt to solve the
problem. If it cannot be solved, the supervisor will note the
employee's refusal in item 19, enter the date, and distribute the
rating.
Declassified and Approved For Release 2012/10/04: CIA-RDP90-00530R000400690008-0
?
Declassified and Approved For Release 2012/10/04: CIA-RDP90-00530R000400690008-0
U1S.
?di)
23 May 1986
Appendix B.
Office of Personnel Management Approval
United States
Office of
Personnel Management
Mr. Raymond J. sumser
Director of Civilian Personnel
Department of the Army
Washington, D. C. 20310-0300
103, AR 690-400
Washington, D.C. 20415
O. &IA, Reg. To Vcoo lielnow?
APR I 0 1986
Dear Mr. Sumser:
The purpose of this letter is to approve the Performance
Appraisal related parts of the Department of the Army's
Performance Management Plan of the Performance Management
System in accordance with 5 CFR Part 430, Subparts A and B.
This letter also acknowledges that the Performance Appraisal
related parts (i.e., Parts II, III and VI of the PMRS
checklist, FPM Bulletin 540-30) of the Department of the
Army's Performance Management Plan of the Performance
Management and Recognition System were approved by the
Office of Personnel Management on January 16, 1986, in
accordance with 5 U.S.C. 4305, 5 U.S.C. 5409, and FPM
Bulletin 540-31. This letter supercedes the letter of
January 16, 1986, in that it approves modifications to that
system forwarded to this office on April 8, 1986, (e.g.,
changes in the names of summary rating levels 1 and 2 from
*unsatisfactory and ?minimally satisfactory ? to
Declassified and Approved For Release 2012/10/04: CIA-RDP90-00530R000400690008-0
103, AR 690-400
23 May 1986
2. Post these changes per DA Pam 310-13.
3. File this interim change in front of the "400" series of
chapters in the basic Federal Personnel Manual.
(DAPE-CPL)
By Order of the Secretary of the Army:
JOHN A. WICKHAM, JR.
General, United States Army
Chief of Staff
Official:
R. A. DILWORTH
Brigadier General, United States Army
The Adjutant General
Distribution:
Active Army, ARNG, USAR: To be distributed in accordance
with DA Form 12-4 requirements for the FPM.
40
'U.S. GOVERNMENT PRINTING OFFICE: 1986-491-00020546
?
ntro. ri A 0067 flfil
Declassified and Approved For Release 2012/10/04: CIA-RDP90-00530R000400690008-0