DEFENSE INTELLIGENCE AGENCY SUPERVISOR'S GUIDE TO PERSONNEL

• Document Type: CREST
• Collection: General CIA Records
• Document Number (FOIA) /ESDN (CREST): CIA-RDP90-00530R000400810004-0
• Release Decision: RIFPUB
• Original Classification: K
• Document Page Count: 192
• Document Creation Date: December 23, 2016
• Document Release Date: January 2, 2013
• Sequence Number: 4
• Content Type: MISC

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DEFENSE INTELLIGENCE AGENCY
SUPERVISOR'S GUIDE TO PERSONNEL
Directorate for Human Resources
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DEFENSE INTELLIGENCE AGENCY
TABLE OF =TENTS
Page
INTRODUCTION
CHAPTER 1: PERSONNEL MANAGEMENT OVERVIEW 1-1
Unit 1: Personnel Policy and the Role of the Directorate
for Human Resources 1-2
Unit 2: Personnel Management Evaluation 1-6
Unit 3: Equal Employment Opportunity and Affirmative Action. 1-9
CHAPTER 2: POSITION MANAGEMENT 2-1
Unit 1: Position Management and the Civilian Table of
Organization 2-2
Unit 2: Establishing a Position 2-7
CHAPTER 3: STAFFING AND PROMOTIONS 3-1
Unit 1: Preparing to Fill a Position 3-2
Unit 2: Details/Other Temporary Measures 3-5
Unit 3: Competitive and Noncompetitive Procedures 3-12
Unit 4: Selecting and Appointing the Candidate 3-18
Unit 5: Trial Period 3-28
CHAPTER 4: CAREER DEVELOPMENT 4-1
Unit 1: Career Ladders 4-2
Unit 2: Selection For and Acquiring Training 4-5
CHAPTER 5: MANAGING EMPLOYEE PERFORMANCE AND CONDUCT 5-1
Unit 1: Performance Appraisal 5-2
Unit 2: Employee Awards 5-11
Unit 3: Dealing with Performance Problems 5-17
Unit 4: Taking Disciplinary Actions 5-20
Unit 5: Employee Grievance and Appeal Procedures 5-32
CHAPTER 6: HOURS OF WORK, ATTENDANCE, AND LEAVE 6-1
Unit 1: Hours of Work 6-2
Unit 2: Leave Administration 6-13
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DEFENSE INTELLIGENCE AGENCY
TABLE OF CONTENTS
Page
CHAPTER 7: PAY AND BENEFITS 7-1
Unit 1: Compensation 7-2
Unit 2: Benefits 7-11
CHAPTER 8: EMPLOYEE STRESS, ILLNESS, AND INJURY 8-1
Unit 1: Dealing with Illness and Injury 8-2
Unit 2: Dealing With The Troubled Employee 8-7
CHAPTER 9: MANAGING OVERSEAS EMPLOYEES 9-1
Unit 1: DIA Overseas Employees 9-2
Unit 2: Dependents/Foreign Nationals 9-7
CHAPTER 10: CONCLUDING PERSONNEL ACTIONS 10-1
Unit 1: Retirement 10-2
Unit 2: Resignation and Termination 10-6
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DEFENSE INTELLIGENCE AGENCY
INTRODUCTION
Purpose
The DIA Supervisor's Guide to Personnel Management provides you with
information to help you with your personnel management responsibilities. It
is designed to assist new supervisors and managers during their orientation,
and experienced supervisors and managers in their daily supervisory duties.
It is not meant as a replacement for classroom training nor is it intended to
supplant the Directorate for Human Resources, which should always be consulted
before taking any non?routine action. It is not all?inclusive, but covers
only the responsibilities which are most widely shared by DIA supervisors.
Rather, the Guide is designed to give you an overview of your personnel
responsibilities and to serve as a quick reference resource which will:
o Identify key personnel tasks in which supervisors/managers are involved;
o Provide guidance in how to perform each task;
o Cite the appropriate regulation associated with each task.
Organization
The-Supervisor's Guide includes 10 chapters, each covering a significant
personnel area. Each chapter is further divided into units and sub?topics
containing detailed information. Each chapter begins with a brief Overview,
giving a general summary of the chapter and an outline of its contents.
Similarly, each chapter unit begins with an Introduction, which contains a
contents summary and a Finding Help box, which refers you to the page on which
information for each sub?topic begins.
Official Guidance
The Guide references official regulations and other helpful material. These
references are provided to help you to locate more information on the topic in
question. An Official Guidance box is included to assist you.
How to Use the Supervisor's Guide
New supervisors and those new to DIA may find it useful to read through the
entire manual to obtain a quick overview of their personnel management
responsibilities. All supervisors/managers can use the Guide as a ready
reference on particular issues, as follows:
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DEFENSE INTELLIGENCE AGENCY
INTRODUCTION
1. Refer to the Table of Contents to locate the Chapter and Unit which relate
to the issue and the topic in which you are interested. ?
2. Turn to the Chapter and read the Chapter Overview for a general
introduction to the subject.
3. Then turn to the appropriate Unit and read the Unit Introduction.
4. Use the Finding Help box to locate the sub-topic(s) relating to your
interest.
5. Read the information in the selected sub-topic sections.
6. As necessary, refer to the Official Guidance box for sources of additional
information.
7. Lay out in detail your proposed course of action, after consulting with an
appropriate representative of the Directorate for Human Resources.
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CHAPTER 11 PERSONNEL MANAGEMENT OVERVIEW
UNIT 1: PERSONNEL POLICY AND THE ROLE OF THE DIRECTORATE FOR
HUMAN RESOURCES
OVERVIEW As a supervisor/manager, you are responsible for a variety of
functions affecting the employees under your supervision. If
you have worked in other organizations and personnel systems,
you may find that DIA has a distinctive philosophy in this
regard, as well as its own practices and regulations. These
differences stem in part from the fact that DIA is specifically
exempted by law from most of the provisions of the Civil Service
Reform Act of 1978 and from the Classification Act of 1949,
which govern personnel management in the Federal Government as a
whole. The DIA Directorate for Human Resources is an active
participant in helping DIA supervisors/managers to fulfill their
personnel responsibilities effectively.
CHAPTER 1 Chapter 1 contains three units describing DIA's personnel
CONTENTS philosophy and the role of the Directorate for Human Resources;
how the effectiveness of the personnel program is evaluated;
and equal employment opportunity and affirmative action.
o Unit 1: Personnel Policy and the Role of the Directorate
for Human Resources.
- Principles of DIA Civilian Personnel Policy.
- The Role of the Directorate for Human Resources.
o Unit 2: Personnel Management Evaluation.
- General Procedures.
- Formal Evaluation Procedures.
- Self-Assessment Procedures.
o Unit 3: Equal Employment Opportunity and Affirmative
Action
- Supporting Affirmative Action
- Special Programs
- DoD and DIA Policy on Discrimination
Promoting Nondiscrimination
- The EEO Complaint Process
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CHAPTER 1: PERSONNEL MANAGEMENT OVERVIEW
UNIT 1: PERSONNEL POLICY AND THE ROLE OF THE DIRECTORATE FOR HUMAN
RESOURCES
INTRODUCTION
FINDING HELP
Personnel management in the Federal Government in general
is governed by the Civil Service Reform Act of 1978 (CSRA)
and by the Classification Act of 1949. DIA, however, has
been exempted from the Classification Act by PL98-618 and
from the merit pay and Senior Executive Service provisions
of the CSRA by PL97-89. The CSRA itself exempts DIA from
its performance appraisal, personnel research/demonstration
projects, and labor relations provisions. With the
latitude afforded by these exemptions, DIA has evolved a
unique and progressive personnel management system.
Critical to the effective functioning of this system is
close collaboration between the Directorate for Human
Resources and DIA's supervisors/managers, working together
to achieve excellence in carrying out DIA's mission.
IF YOU WANT TO KNOW ABOUT.... GO TO....
o Principles of DIA civilian
personnel policy
o The role of the Directorate
for Human Resources
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CHAPTER 1: PERSONNEL MANAGEMENT OVERVIEW
UNIT 1: PERSONNEL POLICY AND THE ROLE OF THE DIRECTORATE FOR HUMAN
RESOURCES
Principles of DIA Civilian Personnel Policy
It is the policy of the DIA to use civilians in all positions that do not
require:
o military incumbents for reasons of law, training, security, discipline,
rotation, or military readiness; or
o a military background for successful performance of the duties.
In carrying out their responsibilities for civilian personnel management, DIA
supervisors/managers are to be guided by the merit system principles in the
Civil Service Reform Act of 1978 (5 USC 2301 (b)):
o Recruitment should be from qualified individuals from appropriate sources
in an endeavor to achieve a work force from all segments of society and
selection and advancement should be determined solely on the basis of
relative ability, knowledge and skills, after fair and open competition
which assures that all receive equal opportunity.
o All employees and applicants for employment should receive fair and
equitable treatment in all aspects of personnel management without regard
to political affiliation, race, color, religion, national origin, sex,
marital status, age, or handicapping condition, and with proper regard for
their privacy and constitutional rights.
o Equal pay should be provided for work of equal value, with appropriate
consideration of both national and local rates paid by employers in the
private sector, and appropriate incentives and recognition should be
provided for excellence in performance.
o All employees should maintain high standards of integrity, conduct and
concern for the public interest.
o The Federal work force should be used efficiently and effectively.
o Employees should be retained on the basis of the adequacy of their
performance, inadequate performance should be corrected and employees
should be separated who cannot or will not improve their performance to
meet required standards.
o Employees should be provided effective education and training in cases in
which such education and training would result in better organizational
and individual performance.
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CHAPTER 1: PERSONNEL MANAGEMENT OVERVIEW
UNIT 1: PERSONNEL POLICY AND THE ROLE OF THE DIRECTORATE FOR HUMAN
RESOURCES
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o Employees should be:
Protected against arbitrary action, personal favoritism, or coercion
for partisan political purposes, and
Prohibited from using their official authority or influence for the
purpose of interfering with or affecting the result of an election or
a nomination for election.
o Employees should be protected against reprisal for the lawful disclosure
of information which the employees reasonably believe evidences:
a violation of law, rule, or regulation, or
mismanagement, a gross waste of funds, or an abuse of authority,
substantial and specific danger to public health or safety.
or a
Any employee who has authority to take or recommend any personnel action shall
not:
o Discriminate for or against any employee or applicant for employment on
-the basis of race, color, religion, sex, national origin, age,
handicapping condition, marital status or political affiliation.
o Solicit or consider any recommendation or statement, oral or written, with
respect to any individual who requests or is under consideration for any
personnel action unless such recommendation or statement is based on the
personal knowledge or records of the person furnishing it and consists of
an evaluation of the:
work performance, ability, aptitude, or general qualifications of
such individual, or
character, loyalty,or suitability of such individual.
o Coerce the political activity of any person (including the providing of
any political contribution or service), or take any action against any
employee or applicant for employment as a reprisal for the refusal of any
person to engage in such political activity.
o Deceive or willfully obstruct any person with respect to such person's
right to compete for employment.
o Influence any person to withdraw from competition for any position for the
purpose of improving or injuring the prospects of any other person for
employment.
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CHAPTER 1: PERSONNEL MANAGEMENT OVERVIEW
UNIT 1: PERSONNEL POLICY AND THE ROLE OF THE DIRECTORATE FOR HUMAN
RESOURCES
o Advocate for DIA employment, promotion or advancement any individual Who
is a relative.
o Take or fail to take a personnel action with respect to any employee or
applicant for employment as a reprisal for "Whistle-blowing" or for the
exercise of any appeal right granted by law, rude, or regulation.
o Take or fail to take any other personnel action if the taking of or
failure to take such action violates any law, rule, or regulation
implementing, or directly concerning, the merit system principles outlined
above.
The Role of The Directorate For Human Resources
The Directorate for Human Resources (RHR) is an indispensable aid to DIA's
supervisors/managers in accomplishing their mission. Supervisors/managers
need to be fully cognizant of their personnel responsibilities and to
understand the pitfalls of proceeding in personnel matters without being
adequately informed. Personnel specialists are available to support
supervisors/managers in taking personnel actions to stave off possible
problems before they arise. For this reason, supervisors/managers should
consult an appropriate Human Resources Manager early in the process of taking
a personnel action. Equally, the Directorate for Human Resources is
responsible for aiding supervisors in executing such fundamental duties as
performance management and employee development.
OFFICIAL GUIDANCE: DIAR 22-52, Statement of Personnel Policy for Civilian
Personnel
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CHAPTER 1: PERSONNEL MANAGEMENT OVERVIEW
UNIT 2: PERSONNEL MANAGEMENT EVALUATION
INTRODUCTION
FINDING HELP
The DIA personnel management program is subject to
continuing evaluation of its efficiency and effectiveness,
with the objective of maximizing the service it provides to
supervisors/managers. For the most part, the review
process is primarily the responsibility of the Directorate
of Human Resources. However, since the ultimate test of
the effectiveness of the human resources management program
is how well it assists DIA's supervisors in planning for,
obtaining, developing, and utilizing human resources for
mission accomplishment, you may from time to time be asked
to contribute to the evaluation process.
IF YOU WANT TO KNOW ABOUT.... GO TO....
o General procedures Page 1-7
o Formal evaluation procedures Page 1-7
o Self-assessment procedures Page 1-8
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CHAPTER 1: PERSONNEL MANAGEMENT OVERVIEW
UNIT 2: PERSONNEL MANAGEMENT EVALUATION
General Procedures
The DIA personnel management evaluation (PME) program is a systematic,
periodic review providing an objective and authoritative assessment of the
effectiveness of ongoing personnel management activities. It provides
feedback to responsible officials so that corrective improvements can be
implemented. To the maximum extent possible, existing inspection and
evaluation programs will be used to elicit information on personnel management
to minimize the number of reviews and duplication of data.
The Directorate for Human Resources (RHR) is responsible for managing the PME
program, conducting formal evaluations and issuing subsequent reports, and
preparing self-assessment guidelines. The major components and the special
offices of the DIA are responsible for:
o adhering to applicable laws, regulations, policies, and procedures of
personnel management programs
o providing representatives to work with RHR on formal evaluations, and
o conducting self-assessment reviews
Formal Evaluation Procedures
RESPONSIBILITY
RESPONSIBLE OFFICE/GROUP
o
Establishing and maintaining a formal
Directorate for Human
evaluation program covering each
organization once every four years
Resources (RHR)
o
Developing specific measures for evalua-
ting the effectiveness of personnel
management programs
RHR
o
Providing the personnel to conduct the
evaluation
RHR/Appropriate component
o
Preparing a formal written report con-
taining findings, accomplishments,
needed improvements, and recommended
corrective actions
RHR
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CHAPTER 1: PERSONNEL MANAGEMENT OVERVIEW
UNIT 2: PERSONNEL MANAGEMENT EVALUATION
Self-Assessment Procedures
Every Directorate/Office is responsible for conducting a biennial self-
assessment of each personnel management program using their own personnel and
following guidelines provided by RHR. RHR will identify the applicable
personnel management programs. Self-assessment is not required during years
when a formal evaluation is accomplished.
The assessment will be conducted by questionnaires and/or interviews. RHR
will meet with the Directorate head to discuss the results of the review, an
action plan to effect any needed corrective action, RHR assistance in
implementing the action plan, and, if applicable, the need for a formal
evaluation.
OFFICIAL GUIDANCE: DIAR 20-3, DIA Personnel Management Evaluation (PME)
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CHAPTER 1: PERSONNEL MANAGEMENT OVERVIEW
UNIT 3: EQUAL EMPLOYMENT OPPORTUNITY AND AFFIRMATIVE ACTION
INTRODUCTION
FINDING HELP
Basic to DIA personnel policies is the commitment to insure
a workplace free of discrimination, in which all personnel
actions are made without regard to the employee's age, sex,
race, religion, color, marital status, national origin,
political affiliation, or physical or mental handicap.
Affirmative Equal Employment Opportunity (EEO) efforts
contribute to the creation of a work environment that:
o enhances individual and unit effectiveness
o attracts and retains high caliber staff.
IF YOU WANT TO KNOW ABOUT.... GO TO....
o Supporting Affirmative Action Page 1-10
o Special Programs Page 1-10
o DoD and DIA Policy on
Discrimination Page 1-10
o Promoting Nondiscrimination Page 1-11
o The EEO Complaint Process Page 1-12
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CHAPTER 1: PERSONNEL MANAGEMENT OVERVIEW
UNIT 3: EQUAL EMPLOYMENT OPPORTUNITY AND AFFIRMATIVE ACTION
Supporting Affirmative Action
Ensuring nondiscrimination and furthering Equal Employment Opportunity (EEO)
require continuing actions which use the DIA personnel system as a creative
tool for improving employment and advancement opportunities for all
individuals.
Affirmative employment activities are an integral part of the supervisory
function. Performance in this area is a vital element in the appraisal of
your supervisory effectiveness. The EEO Manager and Counselors can provide
technical assistance, but it is your direct responsibility as a supervisor to
ensure that decisions you make affecting employees in your unit are free from
discrimination.
Special Programs
Special emphasis programs represent single, protected classes of employees.
The U.S. Office of Personnel Management (OPM) assists agencies in developing
creative approaches to recruitment, employment, placement, and training
designed to increase opportunities for minorities and women through such
programs as the Federal Women's Program, Hispanic Employment Program, and
Upward Mobility Program. (See Chapter 4)
DoD and DIA Policy on Discrimination
Equal employment opportunity is to be provided for all persons as an integral
part of every aspect of personnel policy and practice in the employment,
development, and advancement and treatment of employees in DIA. Personnel
actions and personnel management practices will be based solely on merit and
fitness in such a manner as to demonstrate full adherence to the letter and
spirit of Federal law and public policy guaranteeing equal employment
opportunity without regard to race, age, color, religion, sex, national
origin, marital status, political affiliation, or handicapping condition. In
recognition of the dignity and equality of each individual citizen, all
activities, facilities, and services operated, sponsored, or participated in
by DIA will be available to all employees on an equal basis without any type
of segregation or discrimination. Complaints of discrimination will be given
prompt and fair consideration, and every effort will be made to assure just
and expeditious disposition of each complaint. Complainants and others who
participate in the presentation, review or adjudication of such complaints
will be free from restraint, interference, coercion, discrimination or
reprisal.
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CHAPTER 1: PERSONNEL MANAGEMENT OVERVIEW
UNIT 3: EQUAL EMPLOYMENT OPPORTUNITY AND AFFIRMATIVE ACTION
Effective leadership and accomplishments by individuals in operating an EEO
program will be used as a criterion for providing recognition, awards and
advancement to civilian employees.
Promoting Nondiscrimination
Discrimination against individuals based on race, color, religion, sex, age,
marital status, national origin, handicapping condition or political
affiliation is prohibited by law, but even if it were not, it would have to be
opposed because it violates American standards of fairness, and undermines
effective management. Supervisors ensure a workplace free of discrimination
by taking steps to create a work environment where all employees are treated
fairly and humanely. The elimination of discrimination in the workplace
enhances individual and unit effectiveness and attracts higher caliber
employees.
Use the following guidelines to promote nondiscrimination in your work unit:
o Provide employees reasonable accommodation with respect to work
scheduling in order to permit religious observance.
? Be certain in all personnel actions you take to avoid discriminating
against applicants or employees.
o In taking an action that might be viewed as discriminatory, make
certain that the reasons and basis for the action are substantial and
thoroughly documented.
o Consider each employee as an individual; don't make assumptions about
his/her capabilities based on group stereotypes.
o Avoid jokes and comments reflecting an any class or group of people
and discourage this kind of behavior among staff members.
o Be responsive to informal expressions of concern regarding
experiences of perceived discrimination.
o Be evenhanded in applying rules, regulations, standards, and the like.
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CHAPTER 1: PERSONNEL. MANAGEMENT OVERVIEW
UNIT 3: EQUAL EMPLOYMENT OPPORTUNITY AND AFFIRMATIVE ACTION
The EEO Complaint Process
DIA employees and applicants for employment (except non-U.S. citizens abroad)
may use the EEO complaint process to present allegations of discrimination on
the basis of race, color, religion, sex, sexual harassment, national origin,
age, or physical or mental handicap. In general, the EEO complaint procedure
provides for:
o informal precomplaint counseling
o investigation of the allegation
o the right to a DIA decision without a hearing or the right to a
hearing on the matter conducted by the EEOC
o the right to appeal the DIA decision to the EEOC, and
o the right to file a civil action in a Federal District Court.
OFFICIAL GUIDANCE: DIAR 22-27, Equal Employment Opportunity
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CHAPTER 2: POSITION MANAGEMENT
OVERVIEW
Executive, supervisory, and managerial personnel at all levels
in DIA are required to organize their work and that of their
subordinates in the most efficient and economical manner that
will make optimum use of their human resources. This can be
accomplished through effective position design both during
initial structuring of an organization and when programs undergo
changes which abolish and/or realign positions.
CHAPTER 2 Chapter 2 contains two units, one describing the position
CONTENTS management process in DIA and its Civilian Table of Organization
(CTO), and the other, the way in which positions are established.
o Unit 1: Position Management and the Civilian Table of
Organization
Principles of Effective Position Management
- Position Planning
Civilian Table of Organization (CTO)
- Supervisory/Managerial Responsibilities in Position
Management
o Unit 2: Establishing a Position
- Position Classification
- Position Descriptions
- Annual Review of Positions
- Control of Grade Escalation
Grades
- Rank-in-person Promotions
- Complaints and Appeals
and of Positions at High
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CHAPTER 2: POSITION MANAGEMENT
UNIT 1: POSITION MANAGEMENT AND THE CIVILIAN TABLE OF ORGANIZATION
INTRODUCTION
FINDING HELP
As a supervisor/manager, you are responsible for assigning
duties and responsibilities to positions to ensure
effective and efficient accomplishment of the mission and
functions for which you are accountable. Positions should
be planned so that there are logical entrance levels and
patterns for progression to more skilled and higher graded
positions. Such planning will result in job relationships
where pay rates reflect the work performed. The Civilian
Table of Organization (CTO) is the civilian position
management control document for DIA, a subset of the Joint
Table of Distribution (JTD).
IF YOU WANT TO KNOW ABOUT.... GO TO....
o Principles of effective
position management
o Position planning
o Civilian Table of
Organization (CTO)
o Supervisory/managerial
responsibilities in
position management
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CHAPTER 2: POSITION MANAGEMENT
UNIT 1: POSITION MANAGEMENT AND THE CIVILIAN TABLE OF ORGANIZATION
Principles of Effective Position Management
The process of structuring an organization involves the subdivision of
missions and functions into systems, processes, and, finally, tasks as the
basic mit, i.e., the position. In dealing with an existing organization, any
of the following conditions may appropriately lead supervisors/managers to
consider changing the nature and mix of positions under their aegis:
o a change in the nature of the organization's work
o a change in the volume of the organization's work
o a change in the technology associated with the work
o the existence of dead-end jobs and career ladders with missing rungs
o new position authorizations (spaces) or significant decrease in
authorizations
o a desire to enhance the efficiency/effectiveness of the organization.
Reorganizations often involve the deletion of existing positions in one Deputy
Directorate and the gain of new positions in another. Whenever a
reorganization is contemplated, management officials should discuss the plan
with RHR well in advance to consider the effect the proposal will have on
existing positions and requirements. When the proposed reorganization will
impact on more than one Deputy Directorate or on the target grades shown in he
Civilian Table of Organization, the Senior Human Resources Board (see below)
must give its approval.
Position Planning
Positions should be planned so that there are logical entrance levels and
career patterns for progression to more skilled and higher graded positions as
employees gain skill and become ready to assume increased responsibility. The
result will be effective job relationships where pay rates reflect the
difficulty and responsibility of the work performed, and the qualifications
required to do it. Effective position planning will assure that:
o assignments requiring higher level and scarce skills are concentrated in
as few positions as possible
o there are clerical positions to support those of a professional,
administrative, and technical nature
o trained and experienced employees are available for filling higher level
vacancies within DIA.
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CHAPTER 2: POSITION MANAGEMENT
UNIT 1: POSITION MANAGEMENT AND THE CIVILIAN TABLE OF ORGANIZATION
Civilian Table of Organization (CTO)
The CTO is the civilian position management control document for DIA. On it
are listed all authorized civilian positions below the DISES level, except
wage system, part-time, foreign national and temporary positions. For each
position, the incumbent's or on-board grade level is shown at the right, while
the left side shows the target grade level. The target grade represents the
full performance or expert level of work:
o In positions covered by career ladders, knowledges, skills and abilities
are defined for the expert level.
o In other positions, the classification standard defines the full
performance level of work.
The target grade is not the authorized grade for the incumbent, but rather the
career ladder potential of the position within a particular office. The
target grade is open to all qualified employees within that office. The
incumbent's grade may be higher, lower, or the same as the target grade.
Vacant positions are shown with only the target grade entry.
o The total of all target grades divided by the number of authorized
positions in a directorate gives the target average grade level for that
directorate.
o The total of all an-board (incumbent) grades divided by the number of
billets authorized for the organizational unit gives the on-board average
grade level for the organization.
Both of these averages are shown an the CTO for each organizational unit and
cumulated up to the Deputy Directorate or Special Office level.
The DIA Senior Human Resources Board (SHRB) is responsible for management of
the CTO. The SHRB membership consists of the Executive Director (ED),
Chairman, and each Deputy Director for.
The Assistant Deputy Director for Human Resources (RHR) acts as Executive
Secretary, and the Comptroller (0C), as financial advisor.
When the SHRB approves a proposed reorganization, the CTO target grades for
the gaining and losing organizations will be recomputed. When work complexity
increases, a higher target grade may be warranted for a group of positions.
The proposed changes in the CTO will be discussed with RHR and then presented
to the SHRB for approval. If the CTO target grades are changed, the target
grade averages will be recomputed.
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CHAPTER 2: POSITION MANAGEMENT
UNIT 1: POSITION MANAGEMENT AND THE CIVILIAN TABLE OF ORGANIZATION
A bank of CTO promotions for each organization is permitted annually within
the budget estimate. Each non-competitive promotion made counts as one
promotion point, regardless of grade. Each Deputy Director for and the
Executive Director must manage positions within the authorized target average
grade level established for his/her subordinate organization, and shall
establish controls within subordinate directorates to ensure that the approved
target average grade levels and promotion points are not exceeded. Positions
may be realigned within an organization without reference to the SHRB if the
position titles, series and target grades are kept constant.
The DIA Senior Human Resources Board (SHB) is responsible for management of
the CTO.
Supervisory/Managerial Responsibilities in Position Management
DIA supervisors/managers:
o establish and maintain within their area of responsibility an effective
position structure which is consistent with approved mission, workforce
authorizations, DIA personnel policies, and administrative authority, and
which'will achieve optimum balance of economy, effectiveness, and employee
motivation and/or development.
o utilize appropriate standard position descriptions (PD) to the maximum
extent.
o certify in writing that:
- each PD is an accurate statement of the major duties and
responsibilities of the position and its organizational relationships
- the position is necessary to carry out those DIA functions for which
the supervisor is responsible.
o establish and maintain an official operating PD file containing copies of
each PD used in the organization. The file:
- will assist in planning, carrying out, and evaluating work
performance of subordinates
- will be useful in organizational analyses
manpower data base
and maintenance of the
should be readily accessible to employees who request to review their
own position description.
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CHAPTER 2: POSITION MANAGEMENT
UNIT 1: POSITION MANAGEMENT AND THE CIVILIAN TABLE OF ORGANIZATION
o comply with position management procedures relative to the CTO.
OFFICIAL GUIDANCE: DIAR 22-22, Civilian Personnel Position Management
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CHAPTER 2: POSITION MANAGEMENT
UNIT 2: ESTABLISHING A POSITION
INTRODUCTION
FINDING HELP
Supervisors/managers are responsible for making effective
use of the personnel spaces allocated to them. When you
determine that a new position is needed or an old one needs
to be recast, you must have a position description for it.
In DIA, most of the time you will be able to properly
describe a position using one of the standard PD's prepared
for DIA's career ladders.
IF YOU WANT TO KNOW ABOUT.... GO TO....
Position classification Page 2-8
o Position Descriptions Page 2-8
o Annual review of positions Page 2-9
o Control of grade escalation
and of positions at high
grades Page 2-10
o Rank-in-person promotions Page 2-10
o Complaints and appeals Page 2-11
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CHAPTER 2: POSITION MANAGEMENT
UNIT 2: ESTABLISHING A POSITION
Position Classification
The DIA has been exempted under PL98-618 from provisions of the Classification
Act of 1949 (Title 5, Section 5332). Under PL98-618 rates of basic pay for
DIA civilian officers and employees are to be fixed in relation to the rates
of basic pay provided in the General Schedule for positions which have
corresponding levels of duties and responsibilities. Except for members of
the Defense Intelligence Senior Executive Service (DISES), no officer or
employee may be paid at a basic rate in excess of the highest rate of basic
pay of the General Schedule. The Directorate of Human Resources will classify
positions based on approved position descriptions. These classifications are
shown as the target grade on the left side of the CTO.
Position Descriptions
A position description (PD) identifies the major duties and responsibilities
of a position. It is a basic and essential ingredient of any position
management or position classification program. The PD provides an official
record of a decision by the responsible management officials that certain work
is to be performed by an employee or group of employees. While it is possible
to design an individualized PD for positions with unique responsibilities,
most positions in DIA will be able to be described using standard PD's drawn
up to cover a number of like positions within a given organizational element
or even DIA-wide.
Supervisors/managers are responsible for determining the duty assignments of
each position and for using standard PD's to the maximum extent possible.
Standard (multi-purpose) PD's covering a number of similar positions will be
jointly developed by representatives of management and of the Directorate for
Human Resources (RHR). RAR will also provide advice and guidance, as needed,
to supervisors/managers on PD matters, and will prescribe the format and
content of PD's. Copies of al1 PD's will be maintained by KIR and, for
positions other than DISES, also by the immediate supervisor of the position.
An employee must always be given access to his/her PD.
The PD system is rooted in the career ladders provided for each of DIA's major
occupational groups. Each ladder has up to four levels--entry, mid-level,
expert, and senior expert. In each career ladder, a PD is provided for the
higher grade at each level (if there is more than one grade at a level) up
through the expert (full performance) level. A statement of difference is
provided for the lower grade. PD's are also provided for the first-level and
for the second-level supervisors.
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CHAPTER 2: POSITION MANAGEMENT
UNIT 2: ESTABLISHING A POSITION
USING THE SIMPLIFIED POSITION DESCRIPTION SYSTEM
o Determine duties of the position.
o Compare these to the standard PD's and select the best match.
o Prepare a personnel action package.
o Submit the package for review by higher level supervision and the
control point.
o On receipt of the approved PD, notify the incumbent of the position
of the action taken.
o Review position documentation periodically to determine if the PD
still accurately describes the duties of the position.
Annual Review of Positions
Supervisors/managers must annually review all occupied positions under their
control to determine if they are necessary and accurately described. A vacant
position is reviewed when the supervisor seeks to fill it. For encumbered
positions this review takes place at the time ,of the performance appraisal.
This permits the supervisor to discuss the accuracy of the PD and the DIA Form
300 codes with the incumbent, and to certify to the accuracy or inaccuracy of
the PD and DIA Form 300 codes on DIA Form 124 (Employee Appraisal). Major
revisions or a proposed removal of an employee from the standard description
in use will require that supervisors provide RHR with a draft for review. All
DIA Form 300 code changes and drafts will be transmitted attached to the
completed DIA Form 124. Whenever a position is vacated, the supervisor will
certify as to the accuracy of the PD and DIA Form 300 codes before any
recruitment to fill the vacancy begins. Positions no longer necessary should
be abolished.
Position Management Review
Beyond the supervisory certification process, RHR is responsible for checking
the accuracy of PD's by a technique called the Position Management Review.
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CHAPTER 2: POSITION MANAGEMENT
UNIT 2: ESTABLISHING A POSITION
The human resource manager will interview an employee at the work site,
discuss the work operation in detail, and examine work samples and
products. Findings will be discussed with and verified by the supervisor
and then will be subject to detailed analysis. Reviews may be made for a
variety of reasons, including:
when major changes are found during the regular supervisor-employee
review
when requests have been made to change positions
under certain conditions of reorganization or functional realignment
The human resource manager will make arrangements for the review through
the employee's supervisor.
Control of Grade Escalation and of Positions at High Grades. Good management
dictates that employees be compensated equitably for the work they perform.
Many agencies have found that there is a tendency for average grade levels to
climb, partly because positions are graded higher than their actual duties and
responsibilities warrant. It is incumbent on supervisors/managers to adhere
to the grade limits in the CTO and not to permit pressure of outside
competition for quality personnel to inflate position descriptions. In
particular, higher-level duties should be concentrated in as few positions as
possible, rather than spreading them thinly over a number of positions,
thereby increasing their grades. Rank-in-person promotions (See below) should
be reserved for those clearly deserving them.
Rank-in-Person Promotions
Rank-in-person promotion is based on the impact of a particular incumbent of a
specified position which augments the duties and responsibilities of the
position beyond the CTO target grade. This impact is generally transferable
to another position listed on the CTO at the same target grade (i.e., GS-15 to
GS-l5), but is generally not transferable to another position with a lower
target grade (i.e., GS-l5 to GS-14). Individuals may be considered for such a
promotion only upon nomination by management. Consideration will generally be
limited to employees who have a minimum of two years experience in DIA and of
one year in the impacted position. The nomination and consideration process
for rank-in-person promotion is as follows:
o RHR will issue a call for such promotion nominations twice a year, in
April and October, to the Executive Director and Deputy Directors for.
o RHR will specify the format of submission.
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CHAPTER 2: POSITION MANAGEMENT
UNIT 2: ESTABLISHING A POSITION
o The Executive Director and the Deputy Directors for will consider
nominations, bearing in mind that the promotion(s) must not result in the
Directorate's exceeding its average target grade in the CTO.
o Promotions recommended will be prioritized by each Deputy Directorate or
Special Office.
o The Career Programs Selection Board will review all nominations and
prepare recommendations.
o Recommendations will be submitted to the Director, DIA (DR) for final
decision.
o Nominees will be notified by RHR as soon as possible after the decision by
the DR.
o Promotions will be effective the pay period following the DR's approval.
There is no charge to the CTO promotion point bank for rank-in-person
promotions.
Complaints and Appeals
At any time that an employee believes that the classification assigned to
his/her position is in error, he/she may appeal the classification.
DIA ADMINISTRATIVE CLASSIFICATION APPEAL SYSTEM
41
ACTION
INDIVIDUAL
RESPONSIBLE
PRIOR
CONSULTATION
WITH RHR
REQUIRED?
o Bring the question as to title,
series, or grade of a position
to the attention of the
supervisor.
o Explain the basis for the
existing classification,
orally or in writing.
Incumbent of
the position
Supervisor
No
Optional
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CHAPTER 2: POSITION MANAGEMENT
UNIT 2: ESTABLISHING A POSITION
DIA ADMINISTRATIVE CLASSIFICATION APPEAL SYSTEM (Can't)
PRIOR
CONSULTATION
INDIVIDUAL
WITH RHR
ACTION
RESPONSIBLE
REQUIRED?
o If dissatisfied with the super-
Incumbent of
No
visor's response, may appeal to
the position
Assistant Deputy Director or
equivalent in staff offices
within 10 calendar days of
receiving the response.
o Within 30 calendar days of the
Assistant
Yes
receipt of the appeal, provide
Deputy
the employee with a written
Director or
decision.
equivalent
o If dissatisfied with that deci-
Incumbent of
No
sion, may further appeal to his/
her Deputy Director for (or
the position
Staff Office Head) within 14
calendar days.
o Within 30 calendar days of the
Deputy Director for
Yes
receipt of the appeal, provide
the employee with a written
decision.
o If dissatisfied with that
or equivalent
Incumbent of
No
decision, may further appeal
to Executive Director within
of the position
14 calendar days.
o Within 60 calendar days of the
Executive
Yes
receipt of the appeal, provide a
final DIA decision.
Director
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CHAPTER 2: POSITION MANAGEMENT
UNIT 2: ESTABLISHING A POSITION
An employee appealing a classification is entitled to be represented by an
attorney or other representative. The employee must designate the name of the
representative in writing. DIA may disallow as an employee's representative:
o an individual whose activities as an employee representative would cause a
conflict of interest or position
o an individual who cannot be released from official duties because of
priority needs of Government
o an employee whose release would give rise to unreasonable costs to the
Government, or
o any person who does not possess appropriate security clearance. (DIA will
not initiate clearance action solely for the purpose of employee
representation).
OFFICIAL GUIDANCE: DIAR 22-22, Civilian Personnel Position Management
DIAR 22-14 A&B, Civilian Personnel Processing of
Personnel and Position Actions
DIAR 22-58, DIA Performance Appraisal System
A Step-by-Step Supervisor's Guide for Using the
Intelligence Professional Simplified Position
Description System. 14 August 1986
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CHAPTER 3: STAFFING AND PROMOTIONS
OVERVIEW Preparing to fill a position involves organizing information to
guide the search for, and the review of, applicants for vacant
positions in your work unit. This information includes the
recommended qualifications requirements against which applicants
will be screened, the rating factors for evaluating qualified
applicants and ideas concerning the best recruitment strategy.
The guidance you provide impacts on both who will apply for the
position and the ability of the person hired to fill the
position. Promotions of on-board employees need also to be made
with the greatest care.
As a supervisor/manager, you are responsible for working closely
with the Directorate for Human Resources in preparing to fill
vacant positions or to recommend a promotion.
CHAPTER 3 Chapter 3 contains 5 units, each of which relates to your respon-
CONTENTS sibilities for taking staffing actions and recommending
promotions.
o Unit 1: Preparing to Fill a Position
- DIA Staffing Policy
- Initiating Recruitment Actions
- How to go About Filling the Position
o Unit 2: Details/Other Temporary Measures
- Details
- Temporary Employment
- Consultants and Experts
o Unit 3: Competitive and Non-competitive Procedures
- Preliminary Steps in Filling Civilian Positions
Merit Selection
- Evaluating Candidates
Non-competitive Procedures
o Unit 4: Selecting and Appointing the Candidate
Through
Selecting the Most Appropriate Candidate from a Merit
Selection Certificate
- Special Staffing Actions
- In-processing and Indoctrination of Civilian Personnel
Resolving Complaints
o Unit 5: Trial Period
- The Use of Trial Periods
- Procedures in Using Trial Periods
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CHAPTER 3: STAFFING AND PROMOTIONS
UNIT 1: PREPARING TO FILL A POSITION
INTRODUCTION
FINDING HELP
Preparing to fill a position involves organizing
information to guide the search for and the review of
applicants for vacant positions in your work unit.
Thorough preparation is essential for all staffing actions
and more than repays the investment by increasing the
probability of a successful placement and by avoiding
complaints and challenges.
IF YOU WANT TO KNOW ABOUT.... GO TO....
o DIA staffing policy Page 3-3
o Initiating recruitment actions Page 3-3
o How to go about filling the
position Page 3-3
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CHAPTER 3: STAFFING AND PROMOTIONS
UNIT 1: PREPARING TO FILL A POSITION
DIA Staffing Policy
Staffing in DIA will be done through fair and equitable practices with the
object of obtaining the best qualified candidates available to meet DIA's
total requirements for employment and assignment. Selections will be based on
qualifications and job-related criteria that are relevant to successful
performance in DIA's highly sensitive positions. All DIA staffing actions
will be executed without regard to race, color, sex, age, religion, national
origin, political affiliation, or any other non-merit factor. Reasonable
accommodation will be made in cases involving applicants with Physical or
mental handicaps. In staffing from outside DIA, eligibles with veteran's
preference will be given preference for employment consistent with Government
policy, to the extent administratively feasible. The appointment of guards,
messengers and custodians will be made from among preference eligibles so long
as such eligibles are available.
Although more than one member of an immediate family may be employed in DIA,
normally no more than one member of the same immediate family may be assigned
to the same organizational element at the Division level or below. Good
judgment must be used in placing such employees to assure that situations are
not created which will embarrass management or employees. If employees in the
same organization marry, management will cooperate with the Directorate for
Human Resources in arranging an appropriate reassignment. No official or
supervisor of DIA who has the authority to make or recommend selections of
personnel may advocate a close relative for appointment or promotion. Any
supervisor/manager who needs advice on the application of DIA staffing policy
should consult the Directorate for Human Resources.
Initiating Recruitment Actions
SF 52, Request for Personnel Action, is the basic document used by
supervisors/managers to initiate recruitment actions. The form will be
completed in duplicate, and approved, before forwarding the original to RHR.
The supervisor/manager will retain the duplicate until RHR informs him/her of
the final action taken on the request. Detailed instructions for completing
the SF 52 are found in DIAR 22-14, Enclosure 1, but for the most part
supervisors/managers will be able to complete the form adequately without
consulting these instructions.
How to Go About Filling the Position
Frequently a supervisor may choose how a given position is to be filled from
among a variety of options. These options can be grouped according to whether
or not competitive selection procedures must be used.
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CHAPTER 3: STAFFING AND PROMOTIONS
UNIT 1: PREPARING TO FILL A POSITION
Competitive merit selection procedures will apply except when:
o RHR determines that it is not practical or in the best interest of
DIA and/or employees to adhere to normal competitive selection
procedures (e.g., in the event of a significant reorganization when
compelling mission-related circumstances exist, or in staffing
positions in narrow or isolated career fields)
o RHR determines that the position is one where external resources
would provide the most appropriate source of candidates (e.g.,
non-professional positions at GS-6 or below, professional or
technical positions at GS-12 or below, wage system positions,
positions where DIA would benefit from external recruitment to obtain
critically needed skills)
o the non-competitive promotion policy cited in DIAR 22-49 applies.
Salary is, of course, an important element in recruitment for vacancies.
Normally, there is little latitude in this regard, but in the case of certain
hard-to-fill categories of positions, a salary rate in excess of the minimum
rate may be authorized. Advanced hiring rates will be permitted only when
substantial attempts to obtain the best qualified candidates at minimum rates
are unsuccessful. The Senior Review Board, based on information and advice
from the Directorate for Human Resources, will determine the occupational
shortage groups for which advanced hiring rates will be authorized. The
Assistant Deputy Director for Human Resources, in consultation with the
Assistant Deputy Director of the hiring organization, may authorize an
employment offer in designated shortage occupations. RHR will advise you on
how to proceed in specific cases.
OFFICIAL GUIDANCE: DIAR 22-49, Civilian Personnel Staffing
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CHAPTER 3: STAFFING AND PROMOTIONS
UNIT 2: DETAILS /OTHER TEMPORARY MEASURES
INTRODUCTION
FINDING HELP
Supervisors/managers may sometimes find it advantageous to
fill positions on a temporary basis. Among the conditions
in which a temporary action may be advantageous are:
o when the regular incumbent of the position is away
only temporarily
o when the nature of the duties of the position reflects
a short-term need
o when there is a short-term workload increase
o when rotational assignment to the position is to be
used for development of the skills of DIA employees
? when there is a special project.
IF YOU WANT TO KNOW ABOUT.... GO TO....
o Details Page 3-6
o Temporary employment Page 3-10
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CHAPTER 3: STAFFING AND PROMOTIONS
UNIT 2: DETAILS /OTHER TEMPORARY MEASURES
Details
A detail is the temporary assignment of an employee without change in civil
service or pay status, to a position other than the one held under a current
appointment or to duties distinct from those of employee's official position.
Among the situations in which the use of details may be expedient are:
o when a temporary shortage of personnel, or an exceptional volume of
work seriously interrupts the regular work schedule of an element
o when a new position is being created, or reorganization or
realignment of duties makes it necessary to assign employees
temporarily to other duties and responsibilities until the new
assignment can be reflected in manpower allocation actions
o when short-term assignments not of a continuous nature are required
o when assignment to different duties would contribute to an employee's
career developnent.
Details should not be over-used, and appropriate controls and records must be
maivtained to insure that:
o the details are consistent with good administration
o a record of actual work assignments is maintained to credit employees
with additional experience for career purposes.
Excessive detailing or the renewal of details, the conclusion of details
followed by the immediate redetailing of employees to the same or similar
positions, or rotating employees by detail to the same or similar positions
(except for training, to perform a special assignment, or pending position
change) are to be avoided.
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CHAPTER 3: STAFFING AND PROMOTIONS
UNIT 2: DETAILS/OTHER TEMPORARY MEASURES
LIMITATIONS ON DETAILS
IF DETAIL IS TO ....
LIMITATION
A position classified at the same
or lower grade
No more than 1 year in increments
of up to 120 days.
An unclassified position
No more than 120 days; no renewal.
A higher-graded position during
a major DIA reorganization
No more than 1 year in increments
of up to 120 days; see last item
regarding competition
A higher graded position not during
a major DIA reorganization
No more than 240 days in incre-
ments of up to 120 days; see last
item regarding competition
A position for rotational assign-
ment career development
No more than 3 years.
A position at higher grade or
with known promotion potential
(other than rotational assignment)
If for more than 60 days, must be
by competitive merit promotion
procedures, except that selection
is exempt from panel action where
applicable; the supervisor/manager
certifies his/her selection from
eligible list.
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CHAPTER 3: STAFFING AND PROMOTIONS
UNIT 2: DETAILS/OTHER TEMPORARY MEASURES
DETAILING PROCEURES AND RESPONSIBILITIES
NATURE OF
ACTION
SUPERVISORY/MANAGERIAL
RESPONSIBILITIES
PROCEDURE
Detail of more
o Issue appropriate written
May be authorized infor-
than 1 week but
notice to employee (For
mally between the DIA
not in excess
shorter detail no written
offices concerned. May
of 30 days with-
notice is needed)
not need to be reported.
in the same
May not be extended or
geographical
o Discuss with the employee:
renewed without following
location
procedures for longer
- reason(s) of the detail
details.
- nature of duties to be
per
- expected period of detail
- effect upon his/her
employment status
- any attendant travel and/
or travel limitations
- termination of detail and
- expected return of employee
to his/her official
position
Detail in excess
o Consult RHR prior to
Requires prior approval
of 30 days, but
requesting
of RHR. Submit request
not in excess
in duplicate on SF 52.
of 120 days
o Initiate request sufficiently
Include information as
in advance to permit securing
to:
the approval of RHR
- reason(s) for the
o Discuss with the employee,
as above
detail (under Item F14,
Remarks by Requesting
Office)
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CHAPTER 3: STAFFING AND PROMOTIONS
UNIT 2: DETAILS/OTHER TEMPORARY MEASURES
DETAILING PROCEDURES AND RESPONSIBILITIES (Cont 'd)
NATURE OF
ACTION
SUPERVISORY/MANAGERIAL
RESPONSIBILITIES
PROCEDURE
Detail in excess
- position descrip -
of 30 days, but
tion or nature of
not in excess of
duties to be per -
120 days (cont'd)
formed (if detail
is not to esta-
blished position)
- name and location
of activity to
which detailed
- duration of detail.
Detail of
o Evaluate the employee's
120 days
performance, if the
or more
appraisal becomes due
Extension of
o Initiate request
Along with a written
detail
statement justifying the
request, must be sub-
mitted on SF 52 by the
requesting office at
least 2 weeks before the
expiration date of the
detail.
Detail outside the
o Prepare necessary docu-
Prepare DDF 1610 (Request
geographic location
mentation
and Authorization for TDY
involving travel
Travel of DOD Personnel)
o If detail is in excess
with appropriate state-
of 30 days, follow
ment of justification
instructions under that
for approval and pre-
entry as well
paration of travel
orders.
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CHAPTER 3: STAFFING AND PROMOTIONS
UNIT 2: DETAILS/OTHER TEMPORARY MEASURES
DETAILING PROCEDURES AND RESPONSIBILITIES (Cont 'd)
NATURE OF
ACTION
SUPERVISORY/MANAGERIAL
RESPONSIBILITIES
PROCEDURE
Termination of
detail
o Return the employee to
his/her official position
within the approved
period of detail or
te on
on completion of the
detail
Submit SF 52 to RHR.
Item 5 of SF 52 will
show "Termination of
Detail and Item 6,
which the detail ended.
An employee on detail will continue to be carried in the personnel authoriza-
tion of the activity from which detailed. Time and attendance records for
employees detailed for more than 30 days will be maintained by the office to
which the employee is detailed. For shorter details, the detailing office
will maintain the record, obtaining time and attendance data from the office
to which the employee is detailed.
Temporary Employment
Temporary employment of personnel with highly specialized skills at salaries
not to exceed that of GS-15 is useful to accomplish essential programs or
projects that are not of a continuing nature, when regular DIA personnel are
not available for such service.
REQUIREMENTS OF TEMPORARY APPOINTMENTS
o Each request for employment of a temporary employee must be approved by
the Comptroller and RHR.
o Normally, a temporary appointment will not exceed I year.
o Each temporary position will be formally established, described and graded
in accordance with DIA position management classification authorities and
procedures.
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CHAPTER 3: STAFFING AND PROMOTIONS
UNIT 2: DETAILS /OTHER TEMPORARY MEASURES
REQUIREMENTS OF TEMPORARY APPOINTMENTS (Cont'd)
o Individuals may be recruited and appointed to temporary positions as
exemptions from DIA's regular selection and promotion procedures, but they
are required to meet the total DIA qualifications for the temporary
position.
o Temporary appointees are subject to statutory requirements related to dual
compensation and employment of retired members of the Armed Forces.
o Temporary employees may be appointed to regular full-time permanent
positions, under normal staffing procedures.
'OFFICIAL GUIDANCE: DIAR 22-15, Details
DIAR 22-32, Temporary Employment
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CHAPTER 3: STAFFING AND PROMOTIONS
UNIT 3: COMPETITIVE AND NONCOMPETITIVE PROCEDURES
INTRODUCTION Positions may be filled competitively or noncompetitively.
No matter which method is used, candidates must be
evaluated for basic eligibility. When a position is filled
competitively, eligible candidates usually must, in
addition, be evaluated against the specific criteria
established for the position. Both determinations of
eligibility and evaluations are based on information
contained in applications, supplemental statements, and
appraisals of performance and potential. Competitive merit
selection procedures will generally apply.
FINDING HELP
IF YOU WANT TO KNOW ABOUT.... GO TO....
o Preliminary steps in filling
civilian positions through
merit selection Page 3-13
o Evaluating candidates Page 3-14
o Noncompetitive procedures Page 3-15
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CHAPTER 3: STAFFING AND PROMOTIONS
UNIT 3: COMPETITIVE AND NONCOMPETITIVE PROCEDURES
Preliminary Steps in Filling Civilian Positions Through Merit Selection
When a position is to be filled competitively, management and RHR must first
determine the most appropriate area of consideration - the geographical or
organizational area within which a search for eligible candidates is
conducted. External candidates may be considered concurrently with DIA
employees, if desired. For positions at GS-13 and above in the Intelligence
Career Development Program, the area of consideration will include registrants
in the DISCAS system. It is also neccesary to develop qualifications criteria
for the vacancy based on the knowledges, skills, and abilities in the
applicable career ladder. (See Chapter 4, Unit 1)
Generally, a vacancy announcement will then be issued by RHR:
o The announcement may cover a specific position or positions. In
these instances, it must be open for at least 2 weeks. Announcements
open to sources external to DIA will generally extend for 30 days.
o When a continuing staffing need exists, standing announcements with
no closing date may be issued.
o Announcements will include, as a minimum:
- position title, series and grade
- area of consideration
- the organization in which the vacancy is found
- description of duties
qualifications requirements
- opening and closing dates, and how to apply
- statement of Equal Employment Opportunity
o Generally, announcements which have recently opened will be listed in
the DIA Bulletin.
? Paid or unpaid advertising may be used when the area of consideration
includes the concurrent consideration of external candidates.
Depending an the grade level of the vacancy, RHR or the candidate
evaluation panel will decide on what basis the qualifications of
applicants will be assessed. If written tests are to be used, they must
be approved and administered by RHR. Generally, written tests will be
used only where effectiveness of the test for the purpose for which it is
to be used has been pre-established through acceptable personnel
measurement techniques, using criteria of effectiveness acceptable to
personnel measurement experts.
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CHAPTER 3: STAFFING AND PROMOTIONS
UNIT 3: COMPETITIVE AND NONCOMPETITIVE PROCEDURES
External candidates (individuals not employed as civilians by DIA) must meet
DIA total qualification requirements:
o DIA-specified minimum education, training and/or experience relevant
to the position for which considered; and an interview by a civilian
personnel representative (Where applicable, this review may include
test requirements, selective placement factors, and interview by a
management official.)
o For GS-132 and GS-110 positions at GS-11 and below, they must take
the Analyst Aptitude Test Battery (AAT) with the exception of:
candidates for imagery analyst positions and
candidates who previously held analyst positions in the
Intelligence Community.
Test scores will be used in making selections in conjunction with
other factors such as the application and interview. Cut-off scores
will not be used to screen-out candidates.
"o Consideration of inquiries to former employers and candidate- and/or
DIA-developed references
o Agency clearance and suitability standards and criteria. As a
minimum, each external candidate is subject to favorable completion
of a background investigation. This may include the results of a
polygraph examination.
o Satisfactory medical examination for. positions having physical
qualification requirements.
Evaluating Candidates in Merit Selection
The first step in evaluating candidates is to determine their basic
eligibility. RHR will screen applicants against the qualification criteria
stated in the announcement. (For highly technical positions, a subject matter
expert may assist RHR.) The screening will be based on information submitted
on the reverse of the announcement and, for current DIA employees, data in the
PMIS or DISCAS. External candidates will provide information on an SF 171.
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CHAPTER 3: STAFFING AND PROMOTIONS
UNIT 3: COMPETITIVE AND NONCOMPETITIVE PROCEDURES
A candidate evaluation panel will be used for all GS-15 positions filled on a
permanent basis and will be used, upon management request, for positions at
GS-14 and below, or when determined to be appropriate by RHR. The panel is
appointed by RHR and consists of 3 to 5 individuals who have significant
knowledge of the career ladder, discipline, or function of the position to be
filled. Panel members must be full-time DIA civilian employees or DIA
military officers; representation from both groups is desirable. The presence
of a non-voting EEO representative and a personnel representative is required
when the panel meets. The grades of voting panel members must equal or exceed
the grade level of the position being filled.
The function of the panel is to review the qualifications of candidates who
meet the basic eligibility requirements and to draw up a list of the most
highly qualified candidates to be presented to the selecting official. (When
qualification requirements are highly technical, the panel may also do most of
the initial screening for basic eligibility.) The panel review should be
based on applicable career ladder kaowledges, skills and abilities. Awards
received by employees will be given due consideration when employees are
evaluated for promotion. Panels are encouraged to interview candidates (in
person or by telephone) in addition to evaluating the paper record. The panel
has 30 days to decide on the 3 to 5 candidates deemed to be best qualified and
recemmended to the supervisor of the vacancy. On receipt of the panel's
recommendations or the list of eligibles from Rim, the selecting official is
responsible for selecting from among the candidates referred. (See Unit 4
below)
Noncompetitive Procedures
Noncompetitive promotions of employees, except those under the wage system,
are subject to the following provisions:
o Employees may be promoted only after serving a minimum of one year in
the next lower grade, except that an employee may be:
- promoted two grades in one year to a position not higher than
GS-5 provided the employee meets minimum DIA qualification
requirements for the higher graded position (i.e., 6 months of
GS-3 experience for promotion to GS-4 and 1 year of GS-4
experience for promotion to GS-5 in general, administrative,
clerical, and office services positions).
- advanced to a grade previously held on a permanent basis in the
Federal Government, or promoted to the next higher grade,
provided the advancement is to a position in the same line of
work as that previously held and DIA minimum qualification
requirements for the position are met.
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CHAPTER 3: STAFFING AND PROMOTIONS
UNIT 3: COMPETITIVE AND NONCOMPETITIVE PROCEDURES
- promoted two grades to a position not higher than GS-11 if
he/she has served continuously in DIA prior to 1 October 1986 in
a 2-grade interval position.
- promoted two grades to a position not higher than GS-11 if
he/she had, prior to 1 October 1986, been serving under an
Upward Mobility Program leading to a 2-grade interval position
under the Classification Act of 1949.
o After serving a minimum of one year in his/her present grade, an
employee may be:
- given a career promotion to the next higher grade in the same
assignment, if the grade is at or below the authorized target
level in the CTO. Management must certify the availability of a
sufficient quantity of work at the higher grade,
promoted to the next higher grade in the same assignment if that
grade is above the target level for the assignment shown in the
CTO, provided the promotion is approved by the Director based
upon rank-in-person factors. (See Chapter 2, Unit 2)
promoted to the next higher grade in a new position after having
satisfactorily completed the requirements of the DIA Upward
Mobility Program (See Chapter 4)'
promoted when that employee had been previously selected through
competitive procedures for a detail of over 60 days to the same
position.
Managers have the right to staff vacancies through reassignment. Reassignment
effected at management's initiative will be subject to RHR certification of
employee eligibility.
Employees may request reassignment independent of any vacancy announcement to
assist in career development, or in certain cases, in meeting a compelling
personal need. It is DIA's policy to assist such employees whenever possible
consistent with the best interests of DIA and of the employee. Supervisors/
managers are required to fully consider employee-initiated requests for
reassignment and to make every attempt to resolve the request within the
boundaries of their management control.
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CHAPTER 3: STAFFING AND PROMOTIONS
UNIT 3: COMPETITIVE AND NONCOMPETITIVE PROCEDURES
EMPLOYEE-INITIATED REASSIGNMENT PROCEDURE
o Employee submits request through channels to Assistant Deputy Directorate
level or equivalent.
? Each level examines current and projected vacancies to determine if the
request can be met at that level with no significant adverse effect on
mission accomplishment.
- If so, the organization should initiate an SF 52 and forward it
through channels to RHR.
- If not, the Directorate will transmit the request to RHR with an
endorsement stating the reason(s) why the request was not acted on.
(Copy provided to employee)
o RHR may arrange an interview with the employee to determine qualifications
and/or to discuss the employee's wish to be reassigned.
o RHR will examine all DIA vacancies to determine those positions for which
the employee is qualified and suitable.
o For vacancies for which the employee is qualified, the employee will be
referred to the selecting official concurrently with other qualified
candidates.
o If after sufficient opportunity, the empldyee has not been selected for
reassignment, RHR will consult with the employee and management officials
to determine the next course of action.
In all noncompetitive actions, candidates must meet the established
qualification requirements of the position.
OFFICIAL GUIDANCE: DIAR 22-49, Staffing
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CHAPTER 3: STAFFING AND PROMOTIONS
UNIT 4: SELECTING AND APPOINTING THE CANDIDATE
INTRODUCTION
FINDING HELP
Selecting the right candidate insures that your unit is
effectively staffed to perform its mission. Poor selection
decisions undermine you unit's ability to fulfill its
assigned responsibilities. Similarly, a protracted
appointment process denies you the services of your new
selectee and may negatively affect the morale of all
candidates. As a supervisor/manager, you are the selecting
official for positions in your unit, and you are
responsible for initiating the appointment process. You
need to understand the selection and appointment processes
to staff your unit effectively and to ensure that your
actions conform with laws, policies and regulations, and
thus are not liable to be successfully challenged by
non-selected candidates. You are responsible for giving
all candidates full and fair consideration, and for making
timely selection decisions on candidates provided by RHR or
the panel.
IF YOU WANT TO KNOW ABOUT....
GOTO....
o Selecting the most appropriate
candidate from a merit selection
certificate
o Special staffing actions,
o In-processing and indoctrination
of civilian personnel
? Resolving complaints
Page 3-19
Page 3-21
Page 3-23
Page 3-27
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CHAPTER 3: STAFFING AND PROMOTIONS
UNIT 4: SELECTING AND APPOINTING THE CANDIDATE
Selecting the Most Appropriate Candidate from a Merit Selection Certificate
When the rating process is completed, the candidate evaluation panel's
recommendations, or the list of eligibles screened by RHR, are referred to the
selecting official for selection action.
STEPS IN SELECTION
STEP
DESCRIPTION
Review qualifi-
cations of
those referred
o
Review list of certified candidates and quail-
fications material on each to determine if
additional information is needed or desirable to
enable you to select from among the candidates.
Complete
selection
interviews
o
Interviewing candidates either in person or by
telephone is encouraged. Interviews are helpful
in clarifying previously supplied information, in
determining the candidate's interest in and
attitude toward the position, and in evaluating
oral communications skills. The one-time payment
of interview travel expenses of candidates for
shortage category positions is authorized;
however, it must be done well in advance.
Make selection
o
The selecting official:
- may select any of those certified
- may request that the area of consideration
be broadened if all candidates certified are
either not available, or do not in the
selecting official's judgment possess all
the qualifications necessary to perform in
the position. Reasons must be conveyed to
RHR in writing. RHR will determine validity
of the reasons and act accordingly
- may not announce the selection until RHR has
received and reviewed the certificate.
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CHAPTER 3: STAFFING AND PROMOTIONS
UNIT 4: SELECTING AND APPOINTING THE CANDIDATE
STEPS IN SELECTION (Cont'd) _
STEP
DESCRIPTION
Obtain
necessary
concurrences
o
Selecting official will clear the proposed
selection with whatever higher level approvals
are prescribed within the Directorate. The
supervisor has 30 calendar days, subject to one
15-day extension, to make a firm decision. If no
selection has been made in 45 days, the request
for personnel action may be rescinded.
Transmit to RHR
o
The documentation of the selection will be
transmitted to RHR for review and action.
Notify Selectee
o
o
o
o
After RHR has confirmed that the proposed
selection meets all regulatory requirements, it
will make a formal offer to the selected
candidate and will notify candidates who were not
selected. Only RHR may make a selection
commitment or position offer to the selectee.
Upon acceptance of the offer RHR will notify the
selecting official, and will contact the
appropriate administrative officer or supervisor
of the selectee concerning release.
A DIA employee selected for promotion or
reassignment will always be released within 30
calendar days of the notification by RHR.
However, ad hoc assistance may be provided via
mutual agreement between the losing and gaining
offices.
Selections are subject to the selectee's
obtaining necessary security clearance.
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CHAPTER 3: STAFFING AND PROMOTIONS
UNIT 4: SELECTING AND APPOINTING THE CANDIDATE
Special Staffing Actions
1. Employment of Retired Military Personnel
The first consideration in filling positions in DIA is to insure the
appointment of fully qualified individuals - generally, the best qualified
available. In most cases this should be a candidate selected from among
eligible employees of DIA or from among DoD employees registered in the
Intelligence Career Development Program in accordance with in-service
placement and promotion procedures. Sometimes, however, it becomes necessary
to recruit from outside DIA and retired members of the Armed Forces have every
right to seek and be considered for civilian DIA positions on the same basis
as other external candidates. However, there is a special obligation to
insure that consideration of retired members of the Armed Forces is extended
on an equitable basis and that there is strict compliance in spirit and
procedure with the merit system principle of open competition. This means
that even the appearance of preferential treatment of retired military
applicants must be avoided.
The following must be strictly observed before employing any retired member of
the Armed Forces:
o Full consideration will be given to eligible and qualified DIA
employees.
o When it has been determined that there is not a sufficient base of
qualified and available DIA employees (or former employees in the DIA
Reemployment Priority Program), recruitment for the position will be
conducted so as to insure that reasonable efforts are made to obtain
applicants from all possible sources and so as to avoid any suspicion
of attempts to restrict competition.
- The vacancy must be well-publicized.
- Recruitment must be conducted over a long enough time
all interested candidates an opportunity to apply.
to give
- Qualification requirements must not be designed to give
advantage to a particular individual.
- Every reasonable effort must be made to locate qualified
candidates before appointing a retired member of the Armed
Forces.
- When appointing a retired member of the Armed Forces, it must be
clearly established that he/she is better qualified than any
in-service candidate.
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CHAPTER 3: STAFFING AND PROMOTIONS
UNIT 4: SELECTING AND APPOINTING THE CANDIDATE
o Positions will not be held open pending the retirement of a member of
the Armed Forces, in order to provide that person an opportunity to
be appointed to the position. Any delay in active recruiting for a
vacancy must be fully justified for reasons unrelated to the
impending retirement.
o If the vacant position was last occupied by the proposed appointee or
another military incumbent, it must be clearly demonstrated that the
proposed change to civilian incumbency is to meet a bona fide
management need and not to afford civilian employment to the proposed
appointee.
After the equitable consideration of all candidates and having adhered to the
above principles, sometimes the best candidate is found to have been separated
from military service for less than 180 days. The appointment can be made if
equally well-qualified candidates are not available among current employees
considered under in-service placement and promotion procedures, nor among
those individuals required to be considered in priority placement programs or
on reemployment priority lists, and intensive external recruitment efforts
have failed to produce any better qualified candidates. In either case, the
selecting official will submit through channels a memorandum to RHR proposing
the appointment. When, after review, it is confirmed that the appointment of
the retiree would best serve DIA's interests and that the appointment adheres
to the above principles, RHR will request the approval of the Director, DIA to
appoint the candidate prior to the end of the 180-day waiting period.
2. Reemployment Program
Priority consideration for employment will be given to former DIA employees
displaced by Reduction-in-Force. Former non-temporary employees are entitled
to this consideration for 1 year from the date of the employee's date of
separation. Non-selection of such former employees must be endorsed by the
Executive Director or by the appropriate Deputy Director.
3. Priority Reassignment Program
This program is intended to facilitate the placement of DIA employees who have
been designated surplus or overage. Such employees, as well as those former
employees having return rights including those returning from overseas assign-
ment, will receive mandatory consideration for any vacancy for which they are
qualified, prior to the issuance of a vacancy announcement. Non-selection of
such candidates must be endorsed by the Executive Director or by the appro-
priate Deputy Director.
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CHAPTER 3: STAFFING AND PROMOTIONS
UNIT 4: SELECTING AND APPOINTING THE CANDIDATE
The DIA is required by statute to provide return (reemployment) rights to
certain former employees at a grade comparable with that held at the time of
departure from DIA. These Statutory Return Rights may apply (but are not
limited) to these circumstances:
o initial entrance or recall to active military duty
o separation for employment in designated Federal agencies
In the interest of good management and employee morale the DIA may offer
Administrative Return Rights at a grade comparable to that held at the time of
leaving DIA to those employees selected for DoD overseas employment
(Intelligence Career Development Program).
Employees with either of these return rights may, upon return to DIA, be
placed in a billeted position without regard to competitive action. All
return rights must be negotiated and approved by RHR prior to separation from
DIA and documented on SF 50 (Notification of Personnel Action).
In-Processing and Indoctrination of Civilian Personal
The in-processing procedures of DIA are to:
o insure that the appointments of all newly-assigned employees are
properly documented and meet all legal/regulatory requirements
o assist new employees in adjusting readily to their jobs and job
environment, in acquiring positive attitudes toward the work of DIA,
and in becoming familiar with DIA and the organizational unit to
which they are assigned.
THE IN-PROCESSING PROCEDURE
STEP
DESCRIPTION
Entrance on-duty
processing
Each new civilian employee of DIA will:
o receive initial orientation from RHR covering
these topics:
- a brief explanation of his/her appointment
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CHAPTER 3: STAFFING AND PROMOTIONS
UNIT 4: SELECTING AND APPOINTING THE CANDIDATE
THE IN-PROCESSING PROCEDURE (Cont 'd)
STEP
DESCRIPTION
Entrance on-duty
- employee rights, opportunities, and
processing
privileges
(Cont 'd)
- leave, pay, health benefits, insurance,
retirement, and compensation for injury
- merit promotion policy, equal employment
opportunity, and incentive awards programs
- employee development, training
opportunities, and upward mobility
- trial periods and performance appraisals
- responsibilities and obligations of
employees.
o
complete necessary appointment forms, take an
oath of office and visit the offices listed on
DIA Form 185, Part A (Incoming Check List) before
reporting to his/her duty assignment.
o
receive an appointment packet for delivery to the
immediate supervisor; this will be assembled for
each new employee and will contain:
- DIA Form 313 (Supervisor's Check List for
Inducting a New Employee) - a basic
discussion guide to be used by supervisors
in indoctrinating new employees into their
jobs and work environment.
- AY Form 1287 (Time and Attendance) - form
used by timekeepers and certifying
supervisors for recording attendance for pay
purposes.
- Civilian Personnel Information Booklet -
handbook designed to acquaint newcomers with
basic benefits, privileges and
responsibilities of DIA employees.
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CHAPTER 3: STAFFING AND PROMOTIONS
UNIT 4: SELECTING AND APPOINTING THE CANDIDATE
THE IN-PROCESSING PROCEDURE (Cont'd)
STEP
DESCRIPTION
Entrance on-duty
processing
(Cont'd)
o within 2 weeks of arrival in DIA be provided an
orientation by an official of the assigned
Directorate who will outline the missions and
functions of the organization.
o be scheduled to attend the DIA Orientation for
Newly-Assigned Personnel as soon as possible
after entrance on duty.
o be provided with information regarding the
mandatory reporting requirements of PL91 -121 on
defense-related employment and sign an acknow-
ledgment if he/she is paid at a rate equal to or
greater than the minimum rate for GS-13.
Supervisory
processing
The immediate supervisor of a new employee will:
o appoint an experienced employee as sponsor to
assist the new employee (after receiving
notification that an offer of employment letter
is being prepared)
o receive a new employee and acquaint him/her with
the job and work environment using DIA Form 313
as a basic discussion guide
o insure that each new employee receives a
Directorate-level orientation
o make periodic checks on the employee's progress
to discuss his/her accomplishments or problems
experienced
o insure that the indoctrination of newly employed
personnel includes a security orientation
outlining the purpose and principles of the
security program and the employee's personal
responsibility for protecting classified
information, as well as the reading and
initialing of DIAR 50-2, Information Security
Program, and DIAR 60-6, Standards of Conduct.
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CHAPTER 3: STAFFING AND PROMOTIONS
UNIT 4: SELECTING AND APPOINTING THE CANDIDATE
THE DI-PROCESSMG PROCEDURE (Cont id)
STEP
DESCRIPTION
Civilian
Personnel
Sponsor
processing
The civilian sponsor appointed by the supervisor
provides newly assigned employees with personalized
assistance before and during the DIA in-processing.
An appropriate amount of official duty time during the
regular work day will be afforded to sponsors to
complete the following tasks:
o
Within 7 days after being notified by RHR that
the new employee has accepted the job offer, the
sponsor will dispatch a welcome letter.
o
After initial correspondence, if feasible, the
sponsor should contact the incoming employee by
telephone and establish personal contact.
o
Offer further assistance, as needed:
- furnishing information regarding housing,
schools, transportation, etc.
- arranging for temporary housing such as
guest house, motel or other accommodations
(The sponsor must not commit the newcomer
financially without his/her consent.)
- furnishing additional information, if
requested (If in doubt about such a
request, the sponsor should consult RHR.)
o
If possible, sponsors should arrange to meet new
employees who arrive from outside the local
area. In all cases, the sponsor will:
- accompany the new employee during
in-processing the day he/she enters on duty
(Sponsors should plan to arrive at the RHR
Processing Room at 1000 hours on that day.
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CHAPTER 3: STAFFING AND PROMOTIONS
UNIT 4: SELECTING AND APPOINTING THE CANDIDATE
THE IN-PROCESSING PROCEDURE (Cont'd)
STEP
DESCRIPTION
Civilian Personnel
Sponsor processing
(Cont 'd)
- insure that office and desk space have been
prepared
- introduce the new employee to co-workers
- take any other reasonable action to assit
the new employee and/or family in becoming
settled in the area.
Resolving Complaints
Managers/supervisors and/or RHR will be fully responsive to an employee's
questions or complaints regarding the operation of DIA's staffing program.
Every effort will be made to resolve problems on an informal basis. If a
matter cannot be resolved informally, the employee may pursue it on a formal
basis.
Complaints which allege that the required procedures were not followed may be
considered under DIA grievance procedures (See Chapter 5, Unit 5). Before
filing a complaint, an employee should discuss the matter the RHR. Complaints
based solely on non-selection from a properly developed list of candidates or
reassignment to a position with a lower target grade level will not be
accepted. Non-selection based on alleged discrimination will be considered
under EEO complaint procedures (See Chapter 7, Unit 2).
Appropriate records of staffing actions will be maintained to serve as
evidence that the selections were made on a sound, fair, and merit basis and
to provide answers to questions that management and employees may raise. RHR
will maintain an individual file on each action for 1 year from the completion
date of the action. In no case will an employee be permitted access to
records pertaining to other employees.
OFFICIAL GUIDANCE: DIAR 22-49, Civilian Personnel Staffing
DIAR 22-9, Employment of Retired Military Personnel
DIAR 22-13, Civilian Personnel In- and Out-Processing
and Indoctrination of Civilian Personnel
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CHAPTER 3: STAFFING AND PROMOTIONS
UNIT 5: TRIAL PERIOD
INTRODUCTION
FINDING HELP
Most newly-appointed personnel must complete a one-year
trial period to further assess their overall qualifications
and suitability for continued employment in DIA's sensitive
intelligence environment. This trial period makes a
significant contribution toward the integration of new
employees into the permanent work force. It provides a
final indispensable test - -that of observation in the work
environment and actual performance an the job - -which no
preliminary measuring methods can approach in validity.
During the trial period, the new employee's conduct and
performance in the actual duties of the position will be
observed, and, if they are found inadequate, the employee
may be separated.
IF YOU WANT TO KNOW ABOUT.... GO TO....
o The use of trial periods
Page 3-29
o Procedures in using trial periods Page 3-29
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CHAPTER 3: STAFFING AND PROMOTIONS
UNIT 5: TRIAL PERIOD
The Use of Trial Periods
The trial period provides DIA with a measure of protection against the
retention of any person, who in spite of having met preliminary qualification
requirements and satisfied initial pre-employment checks, is found In actual
performance on the job to be lacking in overall fitness (or potential to
acquire fitness), or not to be fully suitable for continued employment with
DIA. In addition to satisfactory performance of job requirements, the
employee must exhibit other desirable characteristics such as high standards.,
of integrity, a mature personality, good work habits, respect for higher
authority and fellow employees, and willingness to learn and improve. An
employee who is determined during the one-year trial period to be deficient in
these qualities,' or who does not meet DIA suitability requirements, will not
be retained in DIA.
All employees newly appointed to DIA are required to serve a one-year trial
period with the following exceptions:
o employees serving on temporary appointments; however, should an
employee be converted to an appointment without time limitation, a
trial period is required beginning with the date of appointment
conversion
o former DIA employees who have satisfactorily completed a one-year
trial period and who are rehired within 6 months of their date of
separation or who are exercising statutory or administrative
re-employment rights with DIA.
First-line supervisors are responsible for:
o insuring full and fair evaluation of an employee's suitability,
abilities, and capacities during the trial period
o rendering the interim Fifth Month Employee Trial Period Assessment
o rendering, in conjunction with the next higher level reviewer, a
final trial period recommendation on DIA Form 257 (Notice of
Completion of Probationary or Trial Period).
Procedures in Using Trial Periods
An employee required to serve a trial period will be so notified on SF 50
(Notification of Personnel Action) issued at the time of his/her appointment.
The supervisor will also receive written notice when an employee reporting for
duty is subject to a trial period, and another notice when the Fifth Month
Employee Trial Period Assessment is due. This interim assessment is to assure
that supervisors deal forthrightly with trial period employees in regard to
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CHAPTER 3: STAFFING AND PROMOTIONS
UNIT 5: TRIAL PERIOD
Procedures in Using Trial Periods (Cont'd)
any matters which may impact on the satisfactory completion of the trial
period. Ninety days prior to the end of an employee's trial period, the
supervisor will receive DIA Form 257 (Notice of Completion of Probationary or
Trial Period).
Supervisors must make their final recommendations to RHR no later than the
tenth month of the trial period as to whether or not the employee should be
retained in the permanent work force. However, if at any time during the
trial period, the employee fails to demonstrate his/her suitability for
continued employment, separation action may be initiated by the supervisor,
who will contact RHR immediately. EquaLly, any unsatisfactory performance or
derogatory information about the employee during the final 2 months of the
trial period (after a supervisor has recommended the employee's retention)
could adversely affect the earlier 10-month assessment.
ACTIONS RESULTING FROM TRIAL PERIOD ASSESSMENT
NATURE OF
ASSESSMENT
ACTIONS
Entirely
o
Supervisor will sign certification on DIA Form 257 and
Satisfactory
return it to RHR for filing in the employee's Official
Personnel Folder.
o
A letter will be sent by RBR to the employee notifying
him/her of satisfactory completion of the trial period.
Warrants
o
If employee has not been fully satisfactory in his/her
Consideration
present position, but has demonstrated the capacity of
for Reassign-
being a useful DIA employee in some other role, the
ment
supervisor, after receiving next higher-level approval,
should so indicate on DIA Form 257, providing
information on those duties which the individual can
perform acceptably.
o
The notification should be forwarded to RHR as soon as
possible to facilitate possible placement action. RHR
should be notified by telephone as soon as the
determination is contemplated.
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CHAPTER 3: STAFFING AND PROMOTIONS
UNIT 5: TRIAL PERIOD
ACTIONS RESULTING FROM TRIAL PERIOD ASSESSMENT (Cont'd)
NATURE OF
ASSESSMENT
ACTIONS
Warrant
Consideration
for Reassign-
ment (Conttd)
o
After review of the individual's record and consulta-
tion with the supervisor, RHR may attempt to reassign
the individual subject to DIA needs and available
billets. If reassignment is not possible, the
employee may be terminated prior to completion of
the trial period.
Unsatisfactory
o
o
o
o
Supervisor will consult with the next higher level of
supervision. If concurrence is obtained, the
supervisor will sign DIA Form 257 and will prepare a
detailed written statement to RHR, through his/her
supervisor, specifying the deficiencies in
performance, conduct, or Character which disqualify
the employee for continued DIA employment. The
statement must give enough factual information about
the employee to make the basis for the action clear.
The supervisor will then discuss the deficiencies with
the employee.
Supervisor will forward the notification to RHR as
soon as possible before the due date and notify RHR-4
by phone of the action.
On receipt of this notice, RHR will review and
evaluate the case for adequacy of the determination
prior to taking any action to terminate the employee.
If possible, the employee will be notified of the
termination action in writing at least 2 weeks in
advance. The notice of termination will contain
insofar as possible, the reason(s) for the
termination. A SF 50 (Notification of Personnel
Action) giving the effective date of the separation
will accompany the termination notice.
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CHAPTER 3: STAFFING AND PROMOTIONS
UNIT 5: TRIAL PERIOD
ACTIONS RESULTING FROM TRIAL PERIOD ASSESSMENT (Cont'd)
NATURE OF
ASSESSMENT
ACTIONS
Unsatisfactory
(Cont'd)
o
o
When disqualifying, derogatory, or suitability
information is derived from outside the employee's
normal environment, the information will be furnished
to RHR. The matter will be reviewed and appropriate
consideration given to terminating the employee during
the trial period. MIR will prepare and coordinate the
termination notice with appropriate DIA officials
before effecting the action.
The employee's separation must be effected before the
employee has completed the trial period. Otherwise,
notice requirements applicable to the separation of an
employee must be followed (See Chapter 5, Unit 4).
The termination action must be made effective no later
than the day before the trial period will have been
,completed (2 days before the anniversary date of the
employee's appointment).
An employee terminated during the trial period has no statutory or regulatory
right of appeal. However, an employee may appeal on the grounds that the
termination was based on discrimination because of race, color, age, religion,
sex, marital status, national origin, or handicapping condition. An appeal of
this kind must be submitted to DIA within 15 calendar days and will be
processed as an EEO appeal (See Chapter 7, Unit 2), but will not defer the
trial period termination action.
OFFICIAL GUIDANCE: DIAR 22-31, Civilian Personnel Trial Periods
1
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CHAPTER 4: CAREER DEVELOPMENT
OVERVIEW As a supervisor/manager, employee development is an integral, part
of your responsibility to help ensure that the. organization's
future needs for employees with particular Icnowledges and skills
will be tet.
Individual career appraisal helps a supervisor/manager and an
employee to think through needs for maintaining and improving
job-related knowledge and skills and to set realistic goals to
help meet Chose needs.
CHAPTER 4 Chapter 4 contains 2 units which highlight the supervisor/
CONTENTS manager's role in employee career development.
o Unit 1: Career Ladders
- DIA Policy
- Supervisory/Managerial Responsibilities
Upward Mobility Program
o Unit 2: Selection For and Acquiring Training
Selecting an Individual for Development
- The Career Programs Selection Board (CPSB)
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CHAPTER 4: CAREER DEVELOPMENT
UNIT 1: CAREER LADDERS
INTRODUCTION
FINDING HELP
A career ladder is the combination of progressive knowledge
and skills needed to advance to higher-graded positions in
a particular occupation. It is DIA's policy to provide a
career development program which will insure a well-trained
and educated, highly motivated, loyal, professional work-
force, proud of its contribution to the security of the
United States. A key part of this program is the establish-
ment of career ladders for major occupational groups.
IF YOU WANT TO KNOW ABOUT.... CO TO....
? DIA policy Page 4-3
o Supervisory/managerial
responsibilities Page 4-3
? Upward Mobility Program Page 4-3
4-2
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CHAPTER 4: CAREER DEVELOPMENT
UNIT 1: CAREER LADDERS
DIA Policy
To lead the military intelligence community requires an environment which
attracts, develops, and retains highly qualified personnel. It is DIA policy
to provide a career development program which will result in a well-trained
and educated workforce, abreast of political and technological developments,
highly motivated, loyal, and proud of its contributions to the security of the
United States. A critical element in this program is the establishment for
major occupational groups of career ladders, which systematically set forth
the knowledge and skills progressively needed to advance to higher graded
positions in each occupation.
Supervisory/Managerial Responsibilities
Supervisors who rate performance are responsible for assessment of the level
and kind of knowledge/Skills held by their employees in a given career
ladder. Comparison of the knowledge/skills level of each employee with the
level shown in the career ladder as being necessary for his/her grade in the
occupation will reveal any shortfall. It is the supervisor's first
responsibility to address such shortfalls by training or developmental work
assignments, and then to enhance each employee's knowledge and skills for
advancement up the ladder.
RBR is responsible for management of the career development system, which
includes a thorough review of each ladder every 3 years. A Subject Matter
Expert (SME) is designated for each ladder. The SME is responsible for
technical advice to supervisors on the assessment of employees' knowledge and
skills and guidance to employees in the ladder. The SME may initiate updates
of the career ladder knowledge/skills, if he/she deems it appropriate.
Upward Mobility Program
The goal of the DIA Upward Mobility Program (UMP) is to provide DIA employees
presently engaged in nonprofessional activities an opportunity to enter into
technical and professional career ladders. The UMP is a planned, accelerated
training and development program designed to equip employees to perform in
identified target positions. Participants are employees in positions at GS-9
and below and equivalent wage rates Who are in positions or occupational
series which do not enable them to realize their full potential. All
nonprofessional, paraprofessional and wage-grade personnel Who have been
continuously employed in DIA for 2 years or more may apply for an Upward
Mobility target position.
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CHAPTER 4: CAREER DEVELOPMENT
UNIT 1: CAREER UDDERS
The UMP candidate will be trained to perform the duties of the UMP target
position and, upon successful completion of the required training program,
will be reassigned or promoted to the position. A UMP target position may not
exceed the GS-9 grade level. Each IMP selectee will have an individual
development plan (IDP), a formal documented agreement between DIA and the
trainee specifying the training and developmental activities which must be
satisfactorily completed in a specified time period in order to qualify the
trainee for the target position.
OFFICIAL GUIDANCE: DIAR 22-30, Career Ladders
DIAR 22-57, Civilian Personnel Upward Mobility
Program
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CHAPTER 4: CAREER DEVELOPMENT
UNIT 2: SELECTION FOR AND ACQUIRING 1RAINING
INTRODUCTION
FINDING HELP
Employees must be selected for development and training to
enhance the present and future accomplishment of DIA's
mission, without discrimination because of race, religion,
color, natural origin, age, sex, handicapping condition or
other factors unrelated to the need for training. The
selection of employees for training is usually a sensitive
process and requires proper handling. The best way to
avoid problems is to clearly communicate to employees the
criteria used in making the selection. Candidates for
training which will prepare an employee for career or
occupational change, or as part of a promotion program such
as upward mobility, must be identified using merit
selection procedures.
IF YOU WANT TO KNOW ABOUT.... GO TO....
Selecting an individual
for career development
The Career Programs
Selection Board (CPSB)
Page 4-6
Page 4-6
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CHAPTER 4: CAREER DEVELOPMENT
UNIT 2: SELECTION FOR AND ACQUIRING TRAINING
Selecting an Individual for Career Development
Long-term development and training opportunities are to improve an employee's
performance of present duties and of reasonably anticipated future duties.
Both development and training must be designed in accordance with established
career ladders which specify requirements at each level of competency. It is
a management responsibility to nominate DIA employees to be considered for
long-term career development or training opportunities. In making such
nominations, supervisors must make the benefit to DIA their primary
consideration. Self-application procedures may be used to supplement
management nomination. Equally, an employee may decline selection, which
normally rules him/her out from future consideration.
Long-term development and training opportunities will generally be limited to
employees who have at least 2 years of continuous, full-time employment in
DIA, and who are assigned to a permanent DIA billet. Training for the sole
purpose of obtaining an academic degree is prohibited; an employee may,
however, earn a degree if it is an incidental by-product of needed training.
The Career Programs Selection Board (CPSB)
A Career Programs Selection Board (CPSB) manages all long-term civilian career
development and training opportunities. The Director, DIA retains final
authority for selections.
After the Director, DIA has acted on the CPSB nominations, selectees will be
notified promptly by the Executive Secretary. In some cases, the institution
or organization providing the development opportunity retains the right of
screening candidates proposed by DIA. The Executive Secretary is responsible
for all submissions and related communications for such programs.
While on developmental assignment, the trainee regains assigned to his/her
permanent billet, but attendance and leave matters will be coordinated by the
gaining organization with the trainee's permanent supervisor. The permanent
supervisor will also forward routine personnel actions (e.g., within grade or
cost-of-living increases) to the gaining organization, and will insure
appropriate coordination/completion. A representative from RHR will process
any personnel actions involved in the career program's implementation, prepare
memoranda of understanding for rotational assignments, manage the billet
control, and coordinate assignments external to DIA with OSD.
OFFICIAL GUIDANCE: DIAR 22-25, Career Programs Selection Board
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CHAPTER 4: CAREER DEVELOPMENT
UNIT 2: SELECTION FOR AND ACQUIRING TRAINING
INTRODUCTION
FINDING HELP
Employees must be selected for development and training to
enhance the present and future accomplishment of DIA's
mission, without discrimination because of race, religion,
color, natural origin, age, sex, handicapping condition or
other factors unrelated to the need for training. The
selection of employees for training is usually a sensitive
process and requires proper handling. The best way to
avoid problems is to clearly communicate to employees the
criteria used in making the selection. Candidates for
training which will prepare an employee for career or
occupational change, or as part of a promotion program such
as upward mobility, must be identified using merit
selection procedures.
IF YOU WANT TO KNOW ABOUT.... GO TO....
Selecting an individual
for career development
The Career Programs
Selection Board (CPSB)
Page 4-6
Page 4-6
4-5
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CHAPTEFt 4: CAREER DEVELOPMENT
UNIT 2: SELECTION FOR AND ACQUIRING TRAINING
Selecting an Individual for Career Development
Long-term development and training opportunities are to improve an employee's
performance of present duties and of reasonably anticipated future duties.
Both development and training must be designed in accordance with established
career ladders which specify requirements at each level of competency. It is
a management responsibility to nominate DIA employees to be considered for
long-term career development or training opportunities. In making such
nominations, supervisors must make the benefit to DIA their primary
consideration. Self-application procedures may be used to supplement
management nomination. Equally, an employee may decline selection, which
normally rules him/her out from future consideration.
Long-term development and training opportunities will generally be limited to
employees who have at least 2 years of continuous, full-time employment in
DIA, and who are assigned to a permanent DIA billet. Training for the sole
purpose of obtaining an academic degree is prohibited; an employee may,
however, earn a degree if it is an incidental by-product of needed training.
The Career Programs Selection Board (CPSB)
A Career Programs Selection board (CPSB) manages all long-term civilian career
development and training opportunities. The Director, DIA retains final
authority for selections.
After the Director, DIA has acted on the CPSB nominations, selectees will be
notified promptly by the Executive Secretary. In some cases, the institution
or organization providing the development opportunity retains the right of
screening candidates proposed by DIA. The Executive Secretary is responsible
for all submissions and related communications for such programs.
While on developmental assignment, the trainee remains assigned to his/her
permanent billet, but attendance and leave matters will be coordinated by the
gaining organization with the trainee's permanent supervisor. The permanent
supervisor will also forward routine personnel actions (e.g., within grade or
cost-of-living increases) to the gaining organization, and will insure
appropriate coordination/completion. A representative from RBR will process
any personnel actions involved in the career program's implementation, prepare
memoranda of understanding for rotational assignments, manage the billet
control, and coordinate assignments external to DIA with OSD.
OFFICIAL GUIDANCE: DIAR 22-25, Career Programs Selection Board
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7
(71
'0
f+
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CHAPTER 5: MANAGING EMPLOYEE PERFORMANCE Ah) CONDUCT
OVERVIEW Managing employee performance and conduct involves establishing
performance standards, monitoring and evaluating employee perfor-
mance, motivating individuals and work groups, and providing
rewards when appropriate and sanctions when necessary. The
accomplishment of these tasks requires managerial and interper-
sonal skills, awareness of DIA's needs, and knowledge of legal,
regulatory and procedural requirements.
CHAPTER 5
CONTENTS Chapter 5 contains 5 units, which deal with these activities:
o Unit 1: Performance Appraisal
- The DIA Performance Appraisal System
- Performance Planning
- Competencies, Performance Areas, and Standards
- The Performance Appraisal Process
Requests for Reconsideration of Ratings
- Communicating With Employees
? Unit 2: Employee Awards
- Employee Incentive Awards
- Quality Step Increases and Sustained Superior
- Performance Awards
- Awards from Outside DIA
- Certificates of Achievement and Letters of
Commendation and Appreciation
o Unit 3: Dealing with Performance Problems
Counseling and Other Remedial Strategies
- Reassignment, Demotion, and Removal
? Unit 4: Taking Disciplinary Actions
Principles of Discipline
- Supervisor's Disciplinary Responsibilities
DIA Behavior Standards
- Types of Disciplinary Actions
- Effecting Adverse Actions
o Unit 5: Employee Grievance and Appeal Procedures
- Employee Grievance System
- Appeals from Adverse Actions
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CHAPTER 5: MANAGING EMPLOYEE PERFORMANCE AND CONDUCT
UNIT 1: PERFORMANCE APPRAISAL
INTRODUCTION
FINDING HELP
Performance appraisal is sometimes regarded by supervisors
as "personnel office red-tape." It is, on the contrary, a
multi-purpose procedure which is absolutely fundamental to
effective management. The appraisal of employee performance
is a system designed to recognize and reward effective
employees and to identify ineffective ones so that remedial
measures can be taken. It is an integral part of a sound
employee/supervisor relationship, which provides the
necessary communication on work objectives and standards of
performance, and which permits the development of plans for
improving personal performance and productivity. (Because
performance appraisal undergirds the employee career
development system, another aspect of the subject is
discussed in Chapter 4, Unit 2.) Systematic and accurate
evaluations of employees:
o Depend on performance standards linked to the work
unit's mission and the employee's position description,
o Enhance performance, career development, and
professional growth of employees, and,
o Provide the basis for preparing other personnel
decisions regarding within-grade increases,
reassignments, promotions, development, reduction -
in -grade, and removal.
Although performance ratings are documented annually,
performance appraisal is actually a continuous
process. The hallmark of effective performance
appraisal is communication between the supervisor and
the employee.
IF YOU WANT TO KNOW ABOUT.... GO TO....
o The DIA Performance Appraisal
System Page 5-4
o Competencies, performance
areas, and standards Page 5-6
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CHAPTER 5: MANAGING EMPLOYEE PERFORMANCE AND CONDUCT
UNIT 1: PERFORMANCE APPRAISAL
FINDING HELP (Cont'd)
IF YOU WANT TO KNOW ABOUT.... GO TO....
o The performance appraisal
process Page 5-6
o Communicating with employees
Page 5-10
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CHAPTER 5: MANAGING EMPLOYEE PERFORMANCE AND CONDUCT
UNIT 1: PERFORMANCE APPRAISAL
The DIA Performance Appraisal System
It is DIA's policy to operate a performance appraisal system which:
o provides for periodic appraisals of employee job performance,
o encourages employee participation in establishing performance
standards,
o uses the results of appraisals as input for training, rewarding,
reassigning, promoting, reducing in grade, retraining, and removing
employees.
The DIA performance appraisal system provides for appraising total performance
by appraising competencies (i.e., Characteristics which lead to job success)
and performance areas (i.e., groups of related or associated position
elements), thereby introducing an important degree of flexibility and
subjectivity while retaining job-relatedness. The essential features of the
system are:
o Establishment of performance standards which will, to the maximum
extent feasible, permit the accurate evaluation of job performance on
the basis of position-related criteria.
o Communication to each employee at the beginning of the appraisal
period of the standards, competencies, and performance areas of
his/her position.
o Evaluation and periodic review of each employee's performance during
the appraisal period on the basis of such standards.
o Recognition and reward of employees whose performance warrants it.
o Assistance to employees in attaining at least Fully Successful
performance levels.
o Reassignment, reduction in grade, or removal of employees who fail to
attain Fully Successful performance levels.
Supervisors/managers who rate the performance of employees will:
o in consultation with each employee, identify competencies,
performance areas, and standards at the beginning of the rating
period and coordinate, as appropriate, with higher level management.
o revise performance plans in consultation with the employee, as
necessary, during the rating period.
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CHAPTER 5: MANAGING EMPLOYEE PERFORMANCE AND CONDUCT
UNIT I: PERFORMANCE APPRAISAL
o prepare and maintain an accurate position description for each
employee and certify the accuracy of the description annually. (See
Chapter 2, Unit 2).
? keep cognizant of employee's performance and throughout the rating
period inform employees of specific areas in which improvement is
needed and how to make the improvement.
o recommend awards and other appropriate incentives, for eligible
employees whose work is significantly above performance requirements.
o render a timely annual appraisal of each employee's performance.
o coordinate appraisal and award recommendations with higher level
management, as appropriate.
o provide a copy of the final appraisal to the employee.
o take or propose corrective or adverse action, as appropriate, when
the performance of an employee is below established standards.
Managers who are reviewing officials will:
? insure that rating officials under their supervision are familiar
with the performance appraisal program.
o insure that the performance expectations/requirements of each
position are realistic, fair, and reasonable in relation to other
positions in the reviewing official's organization, and that they
reflect organizational priorities, goals and objectives.
o review performance appraisals and award recommendations for
thoroughness, objectivity, soundness, and documentation sufficiency;
adjust ratings, as needed, and provide justification.
o periodically evaluate subordinate supervisors, considering their
effectiveness in meeting their performance evaluation
responsibilities.
o provide reconsideration of an appraisal if requested in writing.
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CHAPTER 5: MANAGING E4PLOYEE PERFORMANCE AND CONDUCT
UNIT 1: PERFORMANCE APPRAISAL
ANNUAL PERFORMANCE APPRAISAL PERIOD FOR DIA EMPLOYEES
POSITION TYPE
o Professional Intelligence
o Professional Support
o Managerial/Supervisory
o Clerical/Administrative;
Technicians, Wage System
APPRAISAL PERIOD
1 July - 30 June
1 April - 31 March
1 October - 30 September
1 January - 31 December
Appraisals must be submitted by the rating official no later than 5 workdays
after the close of the rating period. Review, approval, and feedback to the
employee must be completed within 20 workdays following the rating period.
Appraisals are then forwarded to ERR.
Competencies, Performance Areas, and Standards
Job-based competencies, performance areas, and standards have been developed
for the 5 DIA occupational groups: Professional Intelligence, Clerical,
Support Professionals, Technicians and Wage System, and Managerial/
Supervisory. They were obtained systematically by gathering extensive data
from samples of incumbents in all units, grades and types of position. The
specific competencies, performance areas, and standards to be used in the
rating for a given position and grade level are determined from lists in the
appropriate resource manuals for the given occupational group.
The Performance Appraisal Process
Appraisal of employee performance is a continual process even though it
normally culminates in a single formal annual rating. The employee's immediate
supervisor is usually responsible for appraising performance. It is important
for morale, personnel management, employee benefits and career development
that employees receive accurate and timely performance appraisals. Managers
at successive levels must assure the effective performance of subordinate
managers in performance planning and appraisal duties.
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CHAPTER 5: MANAGING EMPLOYEE PERFORMANCE AND CONDUCT
UNIT 1: PERFORMANCE APPRAISAL
Appraisal of performance is closely integrated with performance planning.
When progress or adjustments in the latter are conscientiously discussed
during the year, there Should be no rating surprises at the end of the rating
period. The planning and appraisal process consists of 6 major steps (See
DIAM 22-58, DIA Performance Appraisal Process, Appendix I):
o Selection of relevant competencies, performance areas, and standards
o Initial interview between employee and supervisor to review these
o Periodic review of performance and relevance of established
competencies, performance areas, and standards
o Interview to discuss annual appraisal of the employee's performance
and the determined rating
o Reviewing official's action
o Feedback of final rating to the employee
It is recommended that supervisors maintain a temporary file of each employee's
performance records, which should include the performance plan and appraisal,
coaching/counseling records, warnings, reprimands, and the like. Throughout
the appraisal period, supervisors should keep notes on subordinates' perfor-
mance to ensure significant events are not overlooked or forgotten. In
particular, the notes should record events for which no formal written records
are maintained, such as client comments and supervisor/employee discussions.
For competencies and performance areas lacking tangible products, notes should
include a record of key incidents which exemplify the employee's performance.
(A supervisor's miscellaneous uncirculated notes if they are not used as a
basis for the rating do not constitute a system of records under the Privacy
Act, and are, therefore, ordinarily not available to the employee.)
Employees will be evaluated based on a comparison of their performance with
the standards established for each competency and performance area of their
positions. The evaluation process will result in:
o a rating of each designated competency and performance area
identified in the planning phase, and
o an overall rating derived from a composite of the summary competency
and individual performance area ratings.
Each competency and performance area will have established performance
standards at the Outstanding, Fully Successful, and Unsatisfactory performance
levels. A supervisor must compare the employee's performance with the
standards and determine which performance level most accurately represents the
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CHAPTER 5: MANAGING EMPLOYEE PERFORMANCE AND CONDUCT
UNIT 1: PERFORMANCE APPRAISAL
employee's performance. Two intermediate levels - Exceeds Fully Successful
and Minimally Satisfactory - may be selected by interpolation (e.g., if an
employee's performance exceeds the Fully Successful standard, but falls short
of the Outstanding standard, the Exceeds Fully Successfully level should be
assigned.) A numeric rating of from 5 to 1 (Outstanding = 5, Unsatisfactory =
1) is entered on DIA Form 124, Sections C and D, Part 2a, for each competency
and performance area.
A Summary Adjective Rating of Competencies is calculated by dividing the sum
of the ratings for all the competencies by the number of competencies. This
average rating is translated into an adjective rating as follows:
Average Rating
4.5 and above
3.5 - 4.4
2.5 - 3.4
1.5 - 2.4
1.4 and below
Summary Adjective Rating
Outstanding
Exceeds Fully Successful
Fully Successful
Minimally Satisfactory
Unsatisfactory
The Summary Rating of Competencies has the weight of a single performance area.
An Overall Adjective Performance Rating is determined by a composite of the
Summary Adjective Rating of Competencies and the individual performance area
ratings. If the Summary Rating of Competencies is less than Fully Successful,
then no overall rating above Minimally Satisfactory can be assigned. Equally,
if any performance area is rated less than Fully Successful, then no overall
rating of Outstanding can be given. The overall rating is entered on DIA Form
124, Section B, Part 1(a).
ASSIGNING OVERALL RATINGS BELOW FULLY SUCCESSFUL
STEP
DESCRIPTION
Warning Letter
o At least 90 days before a rating of Minimally
Satisfactory or Unsatisfactory is assigned, the
supervisor must give the employee a warning
letter informing the employee specifically:
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CHAPTER 5: MANAGING EMPLOYEE PERFORMANCE AND CONDUCT
UNIT I: PERFORMANCE APPRAISAL
ASSIGNING OVERALL RATINGS BELOW FULLY SUCCESSFUL (Cont'd)
STEP
DESCRIPTION
Warning Letter
- how performance fails to meet the require-
(Cont'd)
ments of the position
- how performance may be improved
- what efforts will be made to assist and/or
train the employee in improving performance
- that he/she has 90 days to bring about the
improvement
- that an overall rating of Minimally
Satisfactory or Unsatisfactory will be
rendered if performance does not improve to
meet requirements
- that if the necessary improvement is made a
Fully Successful rating will be given and
the warning letter will not be retained in
the employee's official personnel folder
o
Before issuance, the supervisor will consult and
coordinate with a higher level supervisor and the
Directorate for Human Resources (KHR). The
original letter will be given to the employee, a
copy retained by the supervisor, and a copy
forwarded to RHR to be filed in the official
personnel folder.
Assistance
o
The supervisor must give the employee planned
assistance to improve his/her performance. If
within 90 days the employee's performance:
- improves sufficiently to warrant a Fully
Successful rating, the supervisor will
complete the appraisal form with a Fully
Successfully rating. On receipt of the DIA
Form 124 by RHR, the warning notice will be
destroyed
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CHAPTER 5: MANAGING EMPLOYEE PERFORMANCE AND CONDUCT
UNIT 1: PERFORMANCE APPRAISAL
ASSIGNING OVERALL RATINGS BELOW FULLY SUCCESSFUL (Cont'd)
STEP
DESCRIPTION
Assistance
(Cont'd)
- does not improve sufficiently, the
supervisor, after consulting with the
appropriate higher level supervisor and
coordinating with RHR, will deliver to the
employee the written notice of Minimally
Satisfactory or Unsatisfactory rating. This
will be followed by appropriate management
action (See Unit 3 below).
Communicating with Employees
The essenceof the performance planning/performance appraisal process is
communication between employees and supervisors. It begins with communicating
expectations to the employee by the identification of competencies,
performance areas, and standards at the beginning of the appraisal period by
monitoring and feeding back the employee's success in meeting standards. Any
change in the ground rules needs to be conveyed promptly and reflected in the
performance plan.
Coaching is an aspect of communication which demands a high level of patience
and energy on the part of the supervisor. Its objective is to improve
subordinates' job effectiveness and efficiency, and it occurs daily not
sporadically. The related skill of providing positive and negative feedback
in a timely manner is a critical aspect of the performance appraisal process.
Effective feedback results in improved performance or in sustained good
performance on the part of the person receiving it. Feedback expressed in
terms of concrete behaviors is more likely to be understood and acted on by
the employee (e.g., "You have failed to meet critical deadlines three times in
the last month," NOT "You're not reliable."). The supervisor must be able to
specify clearly where development is needed and to make sound development
suggestions to the employee. Finally, for employees who are performing very
effectively, there is no better reinforcement than the supervisor's telling
the employee face-to-face that his/her performance is exceptional.
OFFICIAL GUIDANCE: DIAM 22-58, DIA Performance Appraisal System
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CHAPTER 5: MANAGING EMPLOYEE PERFORMANCE AND CONDUCT
UNIT 2: EMPLOYEE AWARDS
INTRODUCTION
FINDING HELP
Public recognition rewards superior ideas and outstanding
group and individual performance. Recognition also
enhances the morale and motivation of other employees by
encouraging them to emulate the superior performance. The
DIA employee incentive awards program provides honorary and
cash awards that recognize creativity and productivity; it
also includes provisions for nominating DIA employees for
awards conferred from outside DIA and for rewarding
employee suggestions that contribute to the efficiency and
economy of DIA operations and the work of the Federal
Government.
As a supervisor, you need to be aware of the importance of
informal recognition that you can provide. You also need
to be familiar with the procedures for taking advantage of
DIA's formal awards program. It is your responsibility to
ensure that all employees have an equal opportunity to earn
awards and to encourage those under your supervision to
submit suggestions.
IF YOU WANT TO KNOW ABOUT.... GO TO....
o Employee incentive awards Page 5-12
o Quality Step Increases (QSI)
and Sustained Superior
Performance Awards (SSP) Page 5-13
o Awards from outside DoD Page 5-15
o Certificates of Achievement
and Letters of Commendation
and Appreciation Page 5-15
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CHAPTER 5: MANAGING EMPLOYEE PERFORMANCE AND CONDUCT
UNIT 2: EMPLOYEE AWARDS
Employee Incentive Awards
It is the policy of DIA to encourage the fullest participation of DIA
employees in improving government operations, and to recognize and reward
personnel at all levels, individually or in groups, for:
o contributions to efficiency, economy, and other improvements in
Government operations that are above those normally expected, and
o special achievements in the public interest in connection with, or
related to, their official employment.
Managers/supervisors are responsible for:
o identifying program and operational areas where superior results may
warrant recognition
o identifying individuals or groups of employees whose contributions,
acts, services, or superior accomplishments merit commendation, and
o submitting recommendations for awards.
A record of all monetary awards and letters of commendation granted a civilian
employee will be filed in his/her personnel folder.
MOST COMMON AWARDS IN DIA
TYPE OF AWARD
DESCRIPTION
APPROVING OFFICIAL
o Special
o A one-time lump sum cash amount
o Depends on amount of
Act or
granted to individuals or groups
award (See DIM'! 22-16
Service
for accomplishments of tangible
for approving
Awards
or intangible benefit within or
authority).
(SAS)
outside assigned job responsibi-
lities. When within job respon-
sibilities, the contribution
must be substantially superior
to normal performance require-
ments. (See DIAR 22-16 for
benefits calculation.)
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CHAPTER 5: MANAGING EMPLOYEE PERFORMANCE AND CONDUCT
UNIT 2: EMPLOYEE AWARDS
INTRODUCTION
FINDING HELP
Public recognition rewards superior ideas and outstanding
group and individual performance. Recognition also
enhances the morale and motivation of other employees by
encouraging them to emulate the superior performance. The
DIA employee incentive awards program provides honorary and
cash awards that recognize creativity and productivity; it
also includes provisions for nominating DIA employees for
awards conferred from outside DIA and for rewarding
employee suggestions that contribute to the efficiency and
economy of DIA operations and the work of the Federal
Government.
As a supervisor, you need to be aware of the importance of
informal recognition that you can provide. You also need
to be familiar with the procedures for taking advantage of
DIA's formal awards program. It is your responsibility to
ensure that all employees have an equal opportunity to earn
awards and to encourage those under your supervision to
submit suggestions.
IF YOU WANT TO KNOW ABOUT.... GO TO....
o Employee incentive awards Page 5-12
o Quality Step Increases (QSI)
and Sustained Superior
Performance Awards (SSP) Page 5-13
o Awards from outside DoD Page 5-15
o Certificates of Achievement
and Letters of Commendation
and Appreciation Page 5-15
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CHAPTER 5: MANAGING EMPLOYEE PERFORMANCE AND CDNDUCT
UNIT 2: EMPLOYEE AWARDS
Employee Incentive Awards
It is the policy of DIA to encourage the fullest participation of DIA
employees in improving government operations, and to recognize and reward
personnel at all levels, individually or in groups, for:
o contributions to efficiency, economy, and other improvements in
Government operations that are above those normally expected, and
o special achievements in the public interest in connection with, or
related to, their official employment.
Managers/supervisors are responsible for:
o identifying program and operational areas where superior results may
warrant recognition
o identifying individuals or groups of employees whose contributions,
acts, services, or superior accomplishments merit commendation, and
o submitting recommendations for awards.
A record of all monetary awards and letters of commendation granted a civilian
employee will be filed in his/her personnel folder.
MOST COMMON AWARDS IN DIA
TYPE OF AWARD
DESCRIPTION
APPROVING OFFICIAL
o Special
o A one-time lump sum cash amount
o Depends on amount of
Act or
granted to individuals or groups
award (See DIAM 22-16
Service
for accomplishments of tangible
for approving
Awards
or intangible benefit within or
authority).
(SAS)
outside assigned job responsibi-
lities. When within job respon-
sibilities, the contribution
must be substantially superior
to normal performance require-
ments. (See DIAR 22-16 for
benefits calculation.)
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CHAPTER 5: MANAGING EMPLOYEE PERFORMANCE AND CONDUCT
UNIT 2: EMPLOYEE AWARDS
TYPE OF AWARD
DESCRIPTION
APPROVING OFFICIAL
- Director's
- Gold medal, certificate and
- Director, DIA
Award
citation. The highest award
for Ex-
the Director may bestow on
ceptional
DIA civilians. Normally, not
Civilian
more than 6 will be granted
Service
annually on a very selective
basis for exceptional service
and achievements of paramount
significance to DIA, DoD and/
or the Federal Government.
Nominations solicited
annually.
- DIA Award
- Gold medal, certificate, and
- Director, DIA
for Men-
citation for contributions of
torious
the highest scope, exception-
Civilian
ally meritorious, and worthy
Service
of special acclaim. Normally,
not more than 8 will be
granted in any year.
Nomination procedure same as
for Director's Award for
Exceptional Civilian Service.
Quality Step Increases (QSI) and Sustained Superior Performance Awards (SSP)
For performance that is far above what is normally expected, there are two
forms of monetary awards which have substantially the same criteria:
o The Quality Step Increase (QSI) is an increase in a General Schedule
employee's basic pay rate to the next higher rate of his/her grade,
and is used to recognize sustained high quality performance which is
expected to continue.
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CHAPTER 5: MANAGING EMPLOYEE PERFORMANCE AND CONDUCT
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The Sustained Superior Performance Award (SSP) is a lump-sum one-time
cash award used to recognize superior performance sustained by an
employee for a minimum 12-month period at the same grade level.
Since, once a QSI is awarded, the benefit continues from year to year, use of
the QSI should be limited to cases in which it can reliably be predicted that
the employee will continue to make an exceptional contribution to the work of
DIA. Thus the SSP, but not the QSI, can be used to reward performance of an
employee temporarily detailed to a position or performance in a peak workload
situation not expected to continue. Equally, the SSP can be used when an
employee is in the top step of his/her grade. No more than one monetary award
for high-quality performance (QSI or SSP) can be granted within a 24-month
period from the closing date of the period of performance upon which the last
previous cash award was based.
Quality Step Increases should be used by managers for GS employees at all
levels as an incentive to stimulate sustained high-quality performance and as
an award where special salary recognition is warranted. QSI's are in addition
to regular step increases and are not considered to be equivalent increases in
compensation. This means that an employee who receives a QSI does not start a
new waiting period to meet the time requirements for the next regularly
scheduled step increase. Care must be exercised to assure that quality
increases are not repeatedly awarded to the same employee as a matter of
routine. QSI's may be awarded for overall high quality performance maintained
for a minimum of 12 months at the same grade level.
Supervisors will recommend QSI's and SSP's on DIA Form 124, concretely
demonstrating that performance sustained over, 12-months has exceeded normal
requirements in the important elements of the position. Information
previously documented on DIA Form 309 (Supervisor's Record of Employee) should
be useful in preparing evidence of high-quality performance. The supervisor's
recommendation of an employee for a QSI certifies that based on past
experience, he/she believes that the employee's level of performance is likely
to continue.
A promotion is considered one of the highest forms of recognition. An employee
who has been thus recognized for a given period of high-quality performance
cannot not be considered for a QSI. The recipient of a QSI may also be
granted an honorary award or a one-time cash award under the provision for a
Suggestion Award or a Special Achievement Award for a special act or service
If the period of high quality performance also resulted in innovations,
substantial savings, inventions, or special accomplishments of a truly
exceptional nature.
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CHAPTER 5: MANAGING EMPLOYE:E PERFORMANCE AND CONDUCT
UNIT 2: EMPLOYEE AWARDS
Awards from Outside DoD
Many awards are offered by organizations outside DIA for which DIA employees
may be nominated. Normally, these awards are made on a very selective basis,
and only individuals who have made outstanding contributions should be
nominated. Nominations will be solicited from supervisors upon receipt of
announcements from the award sponsors.
Certificates of Achievement and Letters of Commendation and Appreciation
Certificates of Achievement and Letters of Commendation may be used to
recognize achievements of performance which would not normally meet the
criteria for higher awards or where other awards are not appropriate. They
can be used to recognize significant performance achievements of shorter
duration than required for most other awards, or substituted for higher level
awards when considered appropriate. Letters of Appreciation are used to
express thanks to employees.
TYPE OF AWARD
DESCRIPTION
Certificate of
o
Based on one or more of the following
Achievement
achievements that:
-
Demonstrate commendable resourcefulness and
initiative in devising and improving work methods
and procedures resulting in savings of manpower,
time, space, or materials.
-
Favorably affect employee morale resulting in
distinctly improved work performance and esprit
de corps.
-
Meet DIA mission requirements or special
workloads, involving unexpected difficulties
and operational demands through personal
diligence and initiative.
-
Provide outstanding leadership for the
administration and management of projects or
programs and their successful completion, or in
the redirection of objectives and efforts to meet
unique or emergency situations.
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CHAPTER 5: MANAGING EMPLOYEE PERFORMANCE AND CONDUCT
UNIT 2: EMPLOYEE AWARDS
TYPE OF AWARD
DESCRIPTION
Certificate of
Achievement
(Cont'd)
o
o
The contributions should cover about 90 days or more
unless the significance of the achievement itself is
the sole basis.
Will not be granted:
- at the time of retirement or separation as a
token of appreciation, unless all other
criteria are met
- when another award has been granted on the same
justification.
Letters of
Commendation
o
See DIAM 22-16.
Letters of
Appreciation
o
Suitable When services or contributions are better
than would have been expected, or when services or
contributions were provided by employees from other
offices or organizations.
- Also appropriate at the time of retirement,
separation, or transfer when performance resulted
in a job better than that normally expected.
- All DIA officials may sign letters of
appreciation.
- Do not become part of the employee's official
personnel folder.
OFFICIAL GUIDANCE: DIAM 22-16, Civilian Awards Program
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CHAPTER 5: MANAGING EMPLOYEE PERFORMANCE AND CONDUCT
UNIT 3: DEALING WITH PERFORMANCE PROBLEMS
INTRODUCTION
FINDING IMP
As a supervisor, it is your responsibility to let employees
know in specific terms when and how their performance does
not meet the fully successful standards, and to develop
courses of action that may enable the employees to improve
their performance. Although this process of feedback and
guidance culminates in the annual formal appraisal, it
should be ongoing throughout the year.
Wnen performance deficiencies and their causes are identi-
fied, a variety of remedial actions are available. If,
then, performance does not improve to fully successful
levels, other personnel actions may be required.
You should contact the Office of Civilian Personnel at the
first sign of a real problem, so that the best course of
action may be initiated. They will help you counsel the
employee and show you how to document the counseling. They
will also help make sure you are in compliance with law and
regulations in all actions you take.
IF YOU WANT TO KNOW ABOUT.... GO TO?.
o Counseling, coaching, and
other remedial strategies
o Reassignment, demotion,
and removal
Page 5-18
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CHAPTER 5: MANAGING EMPLOYEE PERFORMANCE AND CONDUCT
UNIT 3: DEALING WITH PERFORMANCE PROBLEMS
Counseling, Coaching, and Other Remedial Strategies
At any time a supervisor perceives that an employee's performance is falling
short, he/she should prepare to counsel or coach the employee. The counseling
should be positive, constructive, and designed to:
o let the employee know specifically in what respect performance is
deficient, and
o develop a course of action that may enable the employee to improve
performance.
Employees should be encouraged to advance reasons for their performance
problems and to participate in determining a remedial course of action.
Coaching requires a large amount of patience and energy as well as close
attention to individual employee needs. It occurs daily rather than
occasionally. A good coach will recognize individual differences and must
have a sincere interest in helping an employee to improve.
In a performance feedback session, the supervisor must first establish and
maintain rapport with the employee and clearly state the purpose of the
interview. During the interview the supervisor should:
o give clear, understandable feedback in terms of actual behavior
o establish goals and deadlines to motivate the subordinate
o provide positive feedback for instances of good performance
o make specific developmental suggestions to the subordinate
o display interest in the employee's professional growth
o make appropriate commitments and set realistic goals to resolve any
conflict with the employee
o coach the employee toward any conflict resolution needed with others
o maintain a composed and professional attitude throughout the session,
even if the subordinate becomes angry.
Reassignment, Demotion and Removal
If the employee's performance does not improve to the required level during
the period allowed for improvement (or if he/she does improve, but returns to
the same weak performance on the same performance element), the superior
should consider arranging a reassignment, or proposing demotion or removal.
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CHAPTER 5: MANAGING. EMPLOYEE PERFORMANCE AND CONDUCT
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An employee with a permanent, conditional, career, or career conditional
appointment will be given a 30-day advance notice of the reasons for
reassignment to a lower grade, the right to reply to such notice, and a notice
of final decision after consideration of the reply.
If no reassignment or demotion is possible, it may be necessary to initiate
removal action to separate the employee from the Federal service. A removal
(or any other adverse action) may not be based solely on the fact that the
employee has received an unsatisfactory performance rating. The adverse
action in such a case must be based on specifically described deficiencies and
reasons which warrant the conclusion that the adverse action is for just
cause. By the same token, an employee with a current official performance of
minimally successful or better may be removed for inefficiency. In this case,
the adverse action should be based only on the period of time since the end of
the period on which the official performance rating was based.
The 30-day advance notice of reasons for separating an employee for
inefficiency will include specific details on:
o the standard of performance required in area(s) of deficiencies
o how the standard of performance has not been met
o the efforts made to assist the employee to meet the standard of
performance.
The employee is also entitled to reply to the notice and to receive a notice
of final decision after consideration of his/her reply.
OFFICIAL GUIDANCE: DIAR 22-7, Adverse Actions
DIAM 22-58, DIA Performance Appraisal System
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CHAPTER 5: MANAGING EMPLOYEE PERFORMANCE AND CONDUCT
UNIT 4: TAKING DISCIPLINARY ACTION
INTRODUCTION
FINDING HELP
In addition to actions taken for reasons of unacceptable
performance, disciplinary actions are taken to correct
deficiencies of conduct. While sometimes deficiencies of
conduct may be difficult to distinguish from performance
difficulties, particularly where attitude and behavior
affect performance, it is important to differentiate
between the types of deficiencies because the procedures
required to remedy conduct problems differ in some respects
from those used for performance problems.
Misconduct includes violation of DIA regulations (e.g.,
abuse of leave, falsification of travel vouchers),
violation of DIA conduct standards (e.g., conflict of
interest and financial disclosure requirements), and
violation of general conduct standards (e.g., insubordina-
tion). DIA will not interfere in the private lives of its
employees but expects employees, on and off duty, to behave
so as not to reflect unfavorably on the agency. It
requires employees to be honest, reliable, trustworthy, of
good character and reputation, and unquestionably loyal to
the Government and DIA.
As a supervisor, you need to know how to identify and
minimize misconduct by those under your supervision. If
misconduct occurs, you need to know how to use the
available range of disciplinary actions.
IF YOU WANT TO KNOW ABOUT.... CO TO....
o Principles of discipline Page 5-21
o Supervisor's disciplinary
responsibilities Page 5-21
o DIA behavior standards Page 5-22
o Types of disciplinary actions Page 5-27
o Effecting adverse actions Page 5-31
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CHAPTER 5: MANAGING EMPLOYEE PERFORMANCE AND CONDUCT
UNIT 4: TAKING DISCIPLINARY ACTION
Principles of Discipline
Discipline involves relationships between supervisors, individual employees
and groups of employees, and relationships of each individual employee to
his/her associates and supervisor and to the organization. Discipline must be
self-motivated, not imposed from outside. Employees will be fully informed of
the conditions of their employment and of applicable laws, rules, regulations
and DIA policy relating to conduct. Employees who are in doubt about specific
standards of conduct will consult their supervisors, who in turn will consult
RHR as necessary. Employees should be familiar with the Code of Ethics for
Government Service.
DIA places primary emphasis on prevention of situations requiring disciplinary
actions through effective employee-management relations. When disciplinary
actions cannot be avoided, appropriate action will be taken promptly,
impartially, and constructively. Employees involved will be fully informed of
the reasons for the action against them. The objective of disciplinary action
is correction and rehabilitation, not punishment.
Supervisors' Disciplinary Responsibilities
Orientation sessions and formal or informal talks by supervisors will be used
periodically to draw employees' attention to their responsibilities and
obligations. Information on conduct is not to be presented in a threatening
manner. Instead, every effort will be made to stress the advantages of
adhering to the rules, regulations and standards, and to promote cooperative
discipline. Emphasize that the purpose of conduct requirements is the same as
the purpose of laws generally - to protect society against an irresponsible
minority, to protect the individual against arbitrary action, and to permit
the organization to function.
The state of discipline is an indicator of the quality of supervision
exercised. A supervisor achieves good discipline through instruction, good
example, and practice which influence employees to abide by rules,
regulations, and procedures, and aid them in controlling their emotions, and
developing correct habits of behavior. Good discipline is stimulated by
supervisors in giving employees the opportunity to express their views on
matters affecting them, considering these views, and recognizing individual
dignity and the need for a sense of security. It is enhanced further by
appropriate recognition of employees' contributions, and by giving employees a
sense of accomplishment, pride in the organization, and confidence in the
personal integrity, consideration, and understanding of supervisors. And it
is fostered and sustained by firm and decisive leadership and consistently
fair and equal treatment of all employees.
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CHAPTER 5: MANAGING EMPLOYEE PERFORMANCE AND CONDUCT
UNIT 4: TAKING DISCIPLINARY ACTION
The supervisor will:
o Maintain an office/shop atmosphere conducive to good
employee-management relations and efficient work production.
o Inform employees of rules, regulations, and standards of conduct.
o Take all possible steps to prevent situations which might lead to
having to take disciplinary actions.
o Gather and analyze all of the facts and carefully consider
circumstances and principles before initiating disciplinary action.
o Constructively admonish employees individually and in private
whenever necessary.
o When essential, recommend more severe disciplinary action to the
appropriate operating officials.
RHR will provide advice and assistance to supervisors, operating officials,
and employees on disciplinary matters.
DIA Behavior Standards
DIA has established standards of conduct in a variety of areas.
AREA OF CONDUCT
BEHAVIOR STANDARD
Safeguarding
o
Official DIA records and business will not be
Information
disclosed to anyone, or made the subject of
conversation in or out of the office, except so
far as is necessary to the proper discharge of
official duties, and then only to authorized
persons. Employees are subject to the penalties
of laws and Executive Orders relating to
safeguarding military information.
o
Speeches and articles, in official or private
capacity, are subject to security regulations and
any applicable requirements for clearance by
security officials.
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CHAPTER 5: MANAGING EMPLOYEE PERFORMANCE AND CONDUCT
UNIT 4: TAKING DISCIPLINARY ACTION
AREA OF CONDUCT
BEHAVIOR STANDARD
Complaints,
Grievances,
and Appeals
o
While DIA desires that employees seek to resolve
problems or grievances locally, the right of
employees, individually or collectively, to
petition Congress, or any Member thereof, or to
furnish information to either House of Congress,
or to any committee or Member thereof, shall not
be denied or interfered with.
o
However, DIA materials, equipment, or time will
not be used by employees in connection with
petitions and representations to Congress. The
requirement for safeguarding information applies
to such petitions, representations, or
appearances.
Private
o
Employees may engage in private employment, with
Employment
or without compensation, and acquire private in-
and Interests
terests in businesses, provided such employment
or interests will not:
- interfere with efficient performance of
their DIA duties
- conflict with, or give rise to suspicion of
conflict with, the interests of the United
States or DIA, or
- bring discredit upon or cause criticism of
DIA.
o
An employee engaged in or contemplating
employment outside DIA during off-duty hours must
report such employment.
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CHAPTER 5: MANAGING EMPLOYEE PERFORMANCE AND CONDUCT
UNIT 4: TAKING DISCIPLINARY ACTION
AREA OF CONDUCT
BEHAVIOR STANDARD
Political
Activities
o
o
An employee may hold State, territorial, or local
office if it does not conflict with his/her
duties, and is not in conflict with law, Executive
Order, or with regulations prescribed by OPM.
Caution must be exercised to avoid any Dartisan
political activity which is prohibited by law.
Where doubt exists as to the propriety of holding
a given office, the employee will secure advice
through RHR.
Employees who hold commissions as notaries public
are prohibited from charging fees for performing
any notarial act for an officer clerk or employee
of the government in his/her official capacity or
for any other person during the hours of such
notary's service to the Government, including
lunch periods. Violation is grounds for removal.
Teaching
Positions
o
o
Employees are prohibited from using privileged
government information in preparing other persons
for examinations of OPM or the Board of Examiners
of the Foreign Service.
Employees will inform RHR whenever they accept
outside teaching positions or engage in teaching
activities. Determination will be made as to
whether the activity is permitted by law, and if
not prohibited, a notation to that effect will be
placed in the employee's Official Personnel
Folder.
Gifts
o
Employees will not solicit contributions nor make
donations for a gift or present to another
employee or official for the purpose of obtaining
any form of preferential treatment or
consideration.
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CHAPTER 5: MANAGING EMPLOYEE PERFORMANCE AND CONDUCT
UNIT 4: TAKING DISCIPLINARY ACTION
AREA OF CONDUCT
BEHAVIOR STANDARD
Gifts (Cont'd)
o
o
Employees or officials will not accept or agree
to accept directly or indirectly any money,
contract, or other thing of value for the purpose
of having their official decisions or actions
influenced thereby, or for giving, procuring, or
aiding to procure a Government contract for any
person.
Supervisors will not require any service personal
to the supervisor and not connected with official
duties, from any employee.
Canvassing,
Soliciting
and Peddling
o
Canvassing, soliciting, and peddling are
prohibited within DIA. Employees will not be
permitted to engage in these practices, and other
persons desiring to do so will not be admitted to
any area. Exceptions may be permitted for
activities of a broad social nature, or which are
beneficial to employees and which have been
specifically authorized by the Director.
Unauthorized
Absence
o
Employees are required to obtain approval of
absence from duty (See Chapter 6, Unit 2). Any
absence which is not approved will be charged as
absence without leave and should be followed by
appropriate disciplinary action.
Indebtedness
o
Employees will pay just financial obligations in
a timely manner, especially those imposed by law
such as taxes. Special attention will be given
in resolving complaints alleging indebtedness of
employees to Federal, State or local governments.
Employees will be interviewed about such indebted-
ness and there will be follow-up to insure
fulfillment of payment agreements. Collection of
Federal taxes by levy from the salary of a
Federal employee is authorized by law.
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CHAPTER 5: MANAGING EMPLOYEE PERFORMANCE AND CONDUCT
UNIT 4: TAKING DISCIPLINARY ACTION
AREA OF CONDUCT
BEHAVIOR STANDARD
Indebtedness
o
Creditors and collectors will be denied access to
(Cont'd)
employees during working hours for the purpose of
presenting or collecting claims. Operating
officials and supervisors who receive debt
complaints by telephone will inform the creditor
to submit the complaint by letter to RHR. Upon
receipt of such a debt complaint RHR will
initiate appropriate action to resolve the
matter. It will assure prompt, courteous replies
to indebtedness complaints. Creditors have the
sole responsibility for extending credit.
Therefore, RHR will ascertain that creditors have
made a reasonable effort to collect the
delinquent account before taking other action.
o
The receipt of a letter from a creditor alleging
employee indebtedness is not to be construed as
an offense for which disciplinary action may be
taken. The offense is the failure without just
cause to discharge a debt acknowledged to be
valid. Where an employee maintains with
reasonable substantiation that a debt is not
valid, disciplinary action is appropriate only
after failure to comply with a court judgment.
Engaging in
o
Any civilian employee convicted in a court of
Riots and
Civil Disorders
competent jurisdiction of inciting, promoting,
or carrying on a riot (or any group activity
resulting in material damage to property, or
injury to persons which is found to be in
violation of laws designed to protect persons or
property in the community concerned) will be
removed from his/her position under adverse
action procedures. Prior to initiating such
action, management officials must coordinate with
RHR.
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CHAPTER 5: MANAGING EMPLOYEE PERFORMANCE AND CONDUCT
UNIT 4: TAKING DISCIPLINARY ACTION
Tvves of Disciplinary Actions
In selecting a disciplinary action in a particular case, the supervisor should
normally choose the least severe action required by law or regulation which
will be likely to remedy the employee's unacceptable conduct. Below are
listed types of disciplinary actions, in order of severity, which are
available to supervisors in carrying out their responsibilities. Supervisors
must contact RHR before proceeding with any disciplinary action.
TYPE OF ACTION
DESCRIPTION
Oral
o
A discussion between a supervisor and an employee
Admonishment
on the subject of the employee's conduct or his/
her failure to observe a rule, regulation or
administrative action of a lesser nature.
o
When the need for an admonishment arises, the
supervisor will:
- gather and carefully review all
facts/findings concerning the infraction
- advise the employee of the facts/findings
- provide the employee an opportunity to .
express his/her views and explain the
circumstances orally and/or in writing
within 7 calendar days if the employee feels
the action is unwarranted
- weigh carefully the facts and the employee's
explanation, and
- if convinced that an admonishment is still
in order, so advise the employee, including
ways in which he/she can improve.
o
Admonishments are to be noted on an attachment to
the supervisor's Record of Employees, DIA Form
309, but will not be made part of the employee's
official personnel folder.
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CHAPTER 5: MANAGING EMPLOYEE PERFORMANCE AND CONDUCT
UNIT 4: TAKING DISCIPLINARY ACTION
TYPE OF ACTION
DESCRIPTION
Oral
Admonishment
(Cont'd)
o
If at any time after an admonishment, the
supervisor considers that the employee's conduct
problems have cleared up, the employee will be so
advised and the notation on the DIA Form 309
amended or expunged.
Letter of
Instruction
o
o
o
A written communication with an employee on the
subject of the employee's conduct as in the oral
admonishment. The letter of instruction may be
used instead of the oral admonishment or to
confirm it.
Letters of Instruction should place particular
emphasis on specific steps the employee can take
to improve the employee's behavior.
All actions described under Oral Admonishment
apply to Letters of Instruction, except that the
employee does not have an opportunity to respond.
Official
Reprimand
o
o
A formal letter to an employee on the subject
of significant misconduct, or repeated infractions
of a lesser nature. Official Reprimands are
temporary records that are filed in the official
personnel folder. (For purposes of subsequent
disciplinary action, an official reprimand is
equated in severity with suspension.)
An official reprimand is recommended by the
immediate supervisor to the appropriate operating
official, who will throughly investigate the
matter. If justified, the letter of official
reprimand will be prepared by the operating
official. It will include a full exposition of
the misconduct and notice that the employee may
reply in writing and/or in person if he/she feels
the reprimand is unwarranted. The employee will
also be informed that unless the penalty is
reduced, the reprimand will remain in the
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CHAPTER 5: MANAGING EMPLOYEE PERFORMANCE AND CONDUCT
UNIT 4: TAKING DISCIPLINARY ACTION
TYPE OF ACTION
DESCRIPTION
Official
Reprimand
(Cont'd)
employee's official personnel folder for up to 3
years along with the employee's reply. After
reviewing the employee's reply, the operating
official may withdraw or sustain the reprimand.
The supervisor will make appropriate notations on
the DIA Form 309.
Suspension
o
Temporary enforced absence from duty in a non-pay
status, which may be imposed for significant
misconduct or repeated infractions of a lesser
nature. Among factors which may have a bearing
on whether to invoke this severe penalty are the:
- number of previous repetitions of the offense
- seriousness of the offense
- overall or long-range effect of the penalty
as well as its immediate effect
- effect of the penalty on the employee and on
other employees
- effect on handling the workload
- penalties imposed for comparable offenses
DIA-wide
- penalty requirements of law or regulation.
o
Adverse action procedures must be followed.
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CHAPTER 5: MANAGING EMPLOYEE PERFORMANCE AND CONDUCT
UNIT 4: TAKING DISCIPLINARY ACTION
TYPE OF ACTION
DESCRIPTION
Removal
o
The most severe adverse action. The facts and
circumstances must be analyzed carefully and must
support the conclusion that the employee has
clearly demonstrated his/her unwillingness or
refusal to conform to the rules of conduct.
Normally, a progression of disciplinary measures
will have been applied in an effort to rehabili-
tate the employee before it is decided to remove
him/her. However, some violations are so
flagrant or serious as to warrant removal even
for a first offense.
o
Adverse action procedures must be followed.
In choosing the most appropriate form of discipline to apply, a supervisor
should bear these considerations in mind:
o reasonableness. A disciplinary action demands the exercise of
judgment so that an employee will not be penalized out of proportion
to the character of the offense. A primary criterion should be the
previous record of service and work history of the employee.
o Degree. The least severe penalty which, in the judgment of the
operating official, will accomplish the desired corrective action,
will be taken.
? Repetition. The previous commission of related or unrelated offenses
will have a bearing on the choice of action.
o Mitigation. Any enticement or provocation, the grade and nature of
the employee's position, the gravity of the offense and whether or
not the disciplinary action accords with justice in the particular
situation will be carefully considered.
o Constructiveness. The extent to which the penalty will serve as an
example to other employees, the opportunity for rehabilitation of the
employee concerned and the possible effect on production will be
taken into account.
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CHAPTER 5: MANAGING EMPLOYEE PERFORMANCE AND CONDUCT
UNIT 4: TAKING DISCIPLINARY ACTION
o Correctiveness. The aim of disciplinary action will be directed
toward correcting and improving behavior rather than punishment.
o Consistency. To assure equitable and uniform treatment for all
employees, the principle of "like penalties for like offenses" will
be followed. (The Civilian Personnel Office, whose records indicate
the history and circumstances of infractions throughout DIA, will
provide guidance.)
Effecting Adverse Actions
All adverse actions must adhere to certain procedural requirements. A number
of court decisions have emphasized the importance of strict compliance by a
Federal agency with its own regulations in taking such actions. An employee
cannot waive his/her rights granted by law or regulation. Generally, the
procedures require advance notice, right to reply, and notice of final
decision. The applicability of a specific procedure depends on the personnel
action being taken, the type of appointment held by the employee, the
existence or completion of a trial period, and the employee's entitlement to
veteran's preference. To avoid costly procedural errors, supervisors should
seek the guidance of RHR when considering taking an adverse action.
OFFICIAL GUIDANCE: DIAR 22-6, Conduct of Employees
DIAR 22-7, Adverse Actions
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CHAPTER 5: MANAGING EMPLOYEE PERFORMANCE AND CONDUCT
UNIT 5: EMPLOYEE GRIEVANCE AND APPEAL PROCEDURES
INTRODUCTION
FINDING HELP
DIA employees' rights are provided for and protected by
Federal statutes, OPM regulations, and DIA policies and
procedures. Supervisory decisions may be subject to
review, within and outside DIA, under mechanisms
established by all these authorities.
As supervisor, you need to understand the several procedures
by which DIA employees can air complaints or contest person-
nel actions, your role in each, and how that role differs in
the various procedures. In every instance, assistance is
available from RHR. On receiving a complaint, you should
seek such assistance prior to taking any other action.
IF YOU WANT TO KNOW ABOUT.... OD TO....
o Employee grievance procedures Page 5-33
o Appeals from adverse actions
Page 5-33
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CHAPTER 5: MANAGING EMPLOYEE PERFORMANCE AND CONDUCT
UNIT 5: EMPLOYEE GRIEVANCE AND APPEAL PROCEDURES
Employee Grievance Procedures
Supervisors/managers are responsible for:
o ensuring that grievance procedures (DIAR 22-12) are available to
employees
o being aware of employee concerns and dissatisfaction
o taking prompt action to resolve problems within the supervisor's
control before they become grievances
o accepting grievances and attempting to resolve them promptly and
objectively
o rejecting grievances at the earliest possible step when they do not
meet established criteria
o consulting with any parties to the grievance or anyone who might aid
in its resolution
o following thorough on grievances in accordance with the procedures
and times outlined in DIAR 22-12
o putting required changes into effect when a grievance is upheld.
Appeals from Adverse Actions
An employee who wishes to seek reconsideration of a decision to take adverse
action against him/her has certain rights of appeal, designed to insure that
both employee and management points of view receive full and objective
consideration. The only adverse actions covered by the appeal processes
described below are:
o discharge for cause
o suspensions for more than 30 days
o furlough without pay for 30 days or less, and
o reduction in grade or pay.
An employee has the right to be accompanied, represented and advised by a
representative of his/her choice. An appeal may be submitted by the employee
or the representative. Appellants, their representatives and witnesses will
be free from restraint, interference, coercion, discrimination, or reprisal.
They will be allowed a reasonable amount of official time, normally not to
exceed 3 working days to prepare the appeal. Official time and/or annual
leave needed in excess of this will be at the discretion of management.
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CHAPTER 5: MANAGING. EMPLOYEE PERFORMANCE AND CONDUCT
UNIT 5: EMPLOYEE GRIEVANCE AND APPEAL PROCEDURES
Sometimes an appellant will make a timely allegation in writing that an
adverse action was based on discrimination because of race, age, creed, sex,
color, religion, national origin, or handicapping condition. The employee
must be informed by DIA of the right to proceed either under the above appeal
procedure or under Equal Employment Opportunity appeal procedures and of the
scope of review provided in each. The employee must elect which avenue to
pursue.
OFFICIAL GUIDANCE: DIAR 22-12, Employee Grievance System
DIAR 22-21, Employee and Management Relations
DIAR 22-7, Adverse Actions
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CHAPTER 6: HOURS OF. WORK, ATTENDANCE, AND LEAVE
OVERVIEW As a supervisor, you have the major ongoing responsibility for
the administration and management of staff time and duty
status. In order to fulfill these responsibilities, you need to:
o Understand the limitations that are set by law and DIA
regulations on your authority to establish work schedules,
control absences, and make assignments
o Know about required forms and procedures, and
o Recognize related responsibilities for qualitative
management of these essentially quantitative areas of
personnel management.
CHAPTER 6 Chapter 6 contains two units, which present information on the
CONTENTS following:
o Unit 1: Hours of Work
- Scheduling working hours
Fair Labor Standards Act (FLSA)
- Special duty
- Hazardous weather/environment dismissals
o Unit 2: Leave Administration
- Leave policy and supervisory/managerial
responsibilities
- Attendance as an indication of deeper problems
- Using various types of leave
- Time and attendance certification
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CHAPTER 6: HOURS OF. WORK, ATTENDANCE, AND LEAVE
UNIT 1: HOURS OF WORK
INTRODUCTION
FINDING HELP
The basic workweek for U.S. civilian full-time employees of
DIA is 40 hours, consisting of five 8-hour days, Monday
through Friday from 0830 through 1700 with a 30-minute
lunch period. There are, however, a variety of possible
deviations from this schedule with which supervisors need
to be familiar in order to deal with special situations
such as emergency workloads. Some of these deviations,
such as overtime, have compensation implications, and
supervisors should be aware of possible alternative ways of
dealing with unusual workloads.
IF YOU WANT TO KNOW ABOUT.... GO TO....
o Scheduling working hours Page 6-3
o Fair Labor Standards Act (FLSA) Page 6-5
o Special duty Page 6-6
o Hazardous weather/environment Page 6-13
dismissals
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CHAPTER 6: HOURS OF WORK, ATTENDANCE, AND LEAVE
UNIT 1: HOURS OF WORK
Scheduling Working Hours
The basic workweek for all U.S. civilian employees of DIA, apart from experts
and consultants, is 40 hours, consisting of five 8-hour days, Monday through
Friday, from 0830 to 1700 hours with a 30-minute lunch period. Minor
deviations (i.e., beginning each 8-hour day within the period 0700 to 0930 and
ending it between 1530 to 1800) are considered normal tours of duty. Any
change in normal duty hours that affects 50 or more employees must be
submitted to the Civilian Personnel Office at least 90 days in advance of the
proposed effective date for approval.
When conditions require, the weekly 40-hour tour of duty may be scheduled to
include Saturday and Sunday or may be scheduled over fewer than 5 days or not
more than 6 days beginning at 0001 on Sunday and extending through 2400 hours
on Saturday. Reasons for an uncommon or irregular tour of duty together with
a schedule for the tour will be submitted to the CPO for approval at least 5
calendar days prior to implementation. Such deviations will generally be
authorized only where the service provided is required on a continuing
around-the-clock basis or must be performed outside regular working hours. It
is highly desirable for all changes in work schedules to be explained
personally to employees concerned. Employees should be given an opportunity
to discuss problems that may result with supervisors, who should consider the
hardship and try to accommodate bona fide needs.
SCHEDULING PRINCIPLES
o Whenever possible, 2 consecutive days off will be provided in each
workweek. As a minimum, one regular day off, preferably Sunday, will
be provided.
o Nonworking days should be staggered when it is necessary to provide
6- or 7-day coverage.
o The tour for each full-time employee will cover a minimum of 40 hours.
o So far as practicable, the daily tour of duty should be established
in full hours. When fractional hours are required, the tour will be
expressed in full hours and quarter-hour multiples.
o The daily tour will be scheduled during the same hours each day
(unless this will seriously disrupt operations or increase costs).
o No breaks in working hours in excess of 1 hour should be scheduled.
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CHAPTER 6: HOURS OF WORK, ATTENDANCE, AND LEAVE
UNIT 1: HOURS OF WORK
SCHEDULING PRINCIPLES
o When changes in duty tours are necessary, as much advance notice as
possible will be given the employee. (Unless prevented by
circumstances, tours will be scheduled in advance over periods of not
less than one week.)
o Frequent schedule changes and fluctuations between day and night work
should be avoided. Employees should remain on the same shift for at
least 2 weeks.
o RHR may authorize a rescheduling of the regular workweek on the
written recommendation by operating elements to allow employees to
take courses in educational institutions, when the rearrangement does
not appreciably interfere with the work to be accomplished. No
premium pay or other personnel costs will be incurred solely because
of the rescheduling. While the courses need not be directly related
to DIA's work, they should help to equip the employee for more
effective work in DIA. (Goverment- sponsored training is taken on
official time and does not require tour of duty rescheduling.)
o As far as possible, official travel should be scheduled during duty
hours.
LUNCH PERIODS
o The authorized lunch period is 30 minutes.
o Where one or two shifts are in operation, time for lunch will be
scheduled apart from the tours of duty.
o In functions operating with three 8-hour shifts and an overlap to
permit a 30-minute lunch break per shift is impossible, a lunch break
of 20 minutes of less may be counted as time worked, if workers spend
the break near their work stations. If the work schedule does not
include the lunch period or if more than 20 minutes is taken off, the
time spent at lunch is not compensable.
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CHAPTER 6: HOURS OF WORK, ATTENDANCE, AND LEAVE
UNIT 1: HOURS OF WORK
LUNCH PERIODS (Cont'd)
o Lunch periods during periods of overtime work are not counted as part
of the tour and are not compensated.
Fair Labor Standards Act (FLSA)
When considering the authorization of overtime work, supervisors need to be
cognizant of the coverage of the Fair Labor Standards Act, which governs hours
of work and compensation for work performed during overtime for certain types
of employees. Employees are classified as exempt or non-exempt depending on
whether or not they are covered by FLSA. The two categories are treated
somewhat differently in respect to overtime compensation.
Generally, exempt employees include executive, supervisory, administrative and
professional employees, plus locality rate foremen. Non-exempt employees
include secretaries, clerical, and other non-supervisory employees.
Exempt employees:
o receive overtime compensation for hours in excess of 40 per week or 8
per day during the administrative work week (0001 hours on Sunday
through 2400 hours on Saturday)
o may be compensated for irregular or occasional overtime unless
compensatory time in lieu of pay is authorized
o are generally paid overtime at 150 percent of basic pay rate; however,
- a non-wage board employee whose rate of basic compensation is at
the maximum rate for GS-15 is not eligible for overtime pay or
compensatory time
- an exempt employee cannot be paid at a rate which causes the
employee's aggregate pay rate for any pay period to exceed the
maximum rate for GS-15, nor can he/she be given a rate of
overtime pay which exceeds the overtime rate payable to an
employee in GS-10, Step 1.
o at the discretion of management may be granted paid overtime during a
period in which annual leave is taken.
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CHAPTER 6: HOURS OF WORK, ATTENDANCE, AND LEAVE
UNIT 1: HOURS OF WORK
Non-exempt employees shall be compensated for every minute of regular overtime
work. A quarter of an hour shall be the largest fraction of an hour used for
crediting irregular or occasional overtime work. When irregular or occasional
overtime work is performed in other than the full fraction, odd minutes shall
be rounded up or down to the nearest full fraction of an hour used to credit
overtime work.
An employee's position description carries a notation as to whether he/she is
exempt or non-exempt.
Special Duty
All DIA employees are subject to remaining available on a 24-hour basis for
recall to duty to work regular and irregular overtime, and to work uncommon
tours of duty when required.
1. Standby Duty
An employee performs standby duty if he/she is officially ordered to
remain at or within the confines of his/her duty station, not
performing actual work but remaining in readiness to perform actual
work should the need arise. An employee is entitled to overtime
compensation or compensatory time off for standby duty when performed
outside of his/her regular scheduled tour of duty.
2. On Call Duty
On call duty consists of periodic on call assignments established by
an operating element on a rotating basis. Such an assignment
requires an employee to be on call for emergencies by being near a
telephone where he/she can be contacted. On call duty is not a part
of the administrative workweek and an employee is not entitled to
receive overtime or compensatory time off for on call duty unless
he/she is required to return to his/her place of employment.
3. Night Duty
Night duty is regularly scheduled work (not overtime) performed
between 1800 and 0600 hours. Such duty will be kept to a minimum,
but circumstances sometimes make it necessary. General Schedule and
Wage employees are treated differently in regard to payment of a
night duty differential.
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CHAPTER 6: HOURS OF WORK, ATTENDANCE, AND LEAVE
UNIT 1: HOURS OF WORK
o For General Schedule employees, the night differential is 10
percent of the basic rate of compensation. This rate applies to
the actual number of hours of night work during a tour of duty.
To qualify for a night differential, the tour of duty must be
scheduled at least one week in advance and must include night
periods on at least 1 day of the two or more workweeks involved.
o the night shift differential for Wage employees will be paid in
accordance with the current approved locality wage schedule.
When half or more of an employee's regularly scheduled shift
falls between the hours of 1800 and 0600, he/she will be paid
the night differential for the entire shift.
When daylight saving time goes into effect during a scheduled
shift, employees are considered on duty for the normal number of
hours provided the lost hour is charged to leave. If not, pay
will be allowed only for the actual hours worked. On the other
hand, when standard time returns, shift employees will be paid
for the actual hours worked.
4. Overtime
Each hour of work in excess of 8 hours in a day or of 40 hours in an
administrative work week that is officially ordered or approved, and
performed by an employee is considered overtime work. Overtime will
be authorized only to the extent necessary to accomplish essential
workloads created by emergencies. When possible, assistance from
other parts of DIA should be obtained during normal working hours to
eliminate the need for overtime.
Overtime scheduled in advance on stated days and recurring over a
period of at least 2 administrative, work weeks is considered regular
overtime. A workweek established to include regular overtime
consists of the 40-hour basic workweek, plus the overtime. The
period of required overtime must be identified by calendar days and
by the number of hours per day. When establishing tours of duty
including regular overtime, supervisors will observe the following
principles:
o A tour of duty including regular overtime is not to extend
beyond 48 hours in an administrative workweek, except under
extraordinary circumstances.
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CHAPTER 6: HOURS OF WORK, ATTENDANCE, AND LEAVE
UNIT 1: HOURS OF WORK
o Regular overtime will be requested for the shortest possible
period and renewed as necessary.
Overtime performed on an intermittent or occasional basis, even
though scheduled in advance, is considered irreRular overtime.
Whenever it is impracticable to prescribe a regular schedule of
definite hours of duty for each workday of an administrative
workweek, the 40 hours of the basic workweek are considered the
regularly scheduled workweek and all additional hours of authorized
and approved duty are irregular overtime. Overtime work involving a
period of less than 2 administrative workweeks is also considered
irregular overtime. Use of irregular overtime must be restricted to
activities where operating requirements fully justify it. Such
overtime will be scheduled as far in advance as feasible.
A quarter hour is the minimum period for which overtime will be
paid. Overtime of less than that will be dropped. Any unscheduled
overtime performed on a day when the employee was not scheduled to
work, or for which he/she is required to return to his/her place of
employment, will be considered to be at least 2 hours in duration for
purposes of compensation.
AUTHORIZING OVERTIME
ACTION
DESCRIPTION
Request for
o
The supervisor prepares DIA Form 42 (Request for
Overtime
Irregular Overtime), describing the requirement,
giving name(s), grade(s), and salary of the
employee(s), and stating the number of overtime hours
requested for each employee, and its dates and times.
RHR maintains a list of clerical employees who have
volunteered to do overtime work outside their
organization. Supervisors may use the list whenever
requirements exceed their own office's overtime
capability.
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CHAPTER 6: HOURS OF WORK, ATTENDANCE, AND LEAVE
UNIT 1: HOURS OF WORK
AUTHORIZING OVERTIME (Cont'd)
ACTION
DESCRIPTION
Approval of
Request
o
The request will be forwarded through Channels to one
of the following, their deputies or designated assis-
tants, for employees within their organizational
elements: Executive Director, DIA; Deputy Directors
for; Defense Attaches.
Implementation
o
On approval the employee(s) will be notified and the
request forwarded through the immediate supervisor,
for the payroll records of the appropriate timekeeper.
When official travel cannot be scheduled during normal work hours,
the travel time will be considered compensable hours of work if the
travel:
o requires performance of work while traveling,
o is carried out under arduous conditions, or
o results from an event which could not be scheduled or controlled
administratively by DIA alone or acting in concert with other
Government entities, and
o the overtime is officially ordered or approved.
When travel time outside working hours is noncompensable, the reasons
for requiring such travel will be documented and filed with the
employee's DIA Form 309 (Supervisor's Record of Employee). On
request, the supervisor will provide the employee with a copy of the
documented reasons.
5. Compensatory Time
Compensatory time in lieu of paid overtime is an amount of time off
equal to the time spent in irregular or occasional overtime.
Compensatory time may be taken only during the basic hours of
scheduled work compensated at straight time.
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CHAPTER 6: HOURS OF WORK, ATTENDANCE, AND LEAVE
UNIT 1: HOURS OF WORK
Wage employees must be given paid overtime, not compensatory time.
Conversely, other employees whose rate of pay exceeds the maxiumum
rate of GS-10 may be required to accept compensatory time in lieu of
paid overtime. (In such a case, the employee will be notified of the
requirement at the time the overtime is ordered.) Non-wage employees
at any pay rate may request and be granted compensatory time. (The
employee's initials on the time and attendance report are evidence of
the request.)
Compensatory time off:
o normally will be taken in the same pay period as the overtime was
worked
o may be delayed no longer that the close of the fourth pay period
after that in which the overtime was worked.
If an employee is prevented from meeting the latter deadline through
no fault of his/her own, he/she will be paid for the overtime
worked. Supervisors should make every effort to permit employees to
take compensatory time off in a timely manner.
6. Sunday Time
Regularly scheduled non-overtime work on a Sunday will be kept to the
minimum necessary to maintain essential activities and services. Any
employee whose regularly scheduled tour includes an 8-hour period of
non-overtime duty of which any part falls between midnight Saturday
and midnight Sunday will be paid extra at the rate of 25 percent of
his/her basic hourly compensation rate for each hour of work
performed during that 8-hour period.
7. Holiday Duty
Legal holidays are observed by DIA. Work on these days will not be
required except under unusual circumstances or for the maintenance of
essential activities and services. Approval for holiday work will be
obtained as for irregular overtime. For work on a holiday, an
employee will be paid an additional amount equal to his/her basic
rate of pay. U.S. citizens employed by DIA overseas may be excused
from work on a holiday in the local area when:
o Federal work may not properly be performed (e.g., the building
in which the employees work is closed, local transportation is
discontinued), or
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CHAPTER 6: HOURS OF WORK, ATTENDANCE, AND LEAVE
UNIT 1: HOURS OF WORK
o The Defense Attache, in consultation with the Chief of Mission,
has determined that U.S. employees may be excused out of respect
for local custom. Such absence will not result in loss of pay
or charge to leave, except that if the local holiday occurs
while the employee is on leave, leave will be charged for the
holiday. An employee who works during normal working hours on
a local holiday is not entitled to additional compensation.
The following applies to full-time U.S. citizen employees on regular tours of
duty:
OBSERVANCE OF U.S. HOLIDAYS
IF HOLIDAY FALLS ON....
THEN....
o
o
o
a workday
a Sunday
a Saturday
o
o
o
the workday will be observed as a holiday.
the following workday will be observed as a
holiday. If overtime is required on the
Sunday, payment will be made at overtime
rates.
the immediately preceding workday will be
observed as a holiday. If overtime is
required on the Saturday, payment will be
made at overtime rates.
The following provisions apply to full-time U.S. citizen employees eligible
for excused absence for holidays, who work 40-hour weekly tours of duty
consisting of other than 8 hours a day, Monday through Friday.
o The first regular nonworkday in the employee's workweek will
correspond to Sunday for holiday benefits; the second will correspond
to Saturday.
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CHAPTER 6: HOURS OF WORK, ATTENDANCE, AND LEAVE
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o When an employee's basic workday covers portions of two calendar
days, the entire daily tour will be regarded as falling on the day on
which it starts, for the purpose of determining holiday benefits.
When such a workday begins on a holiday, the entire daily tour will
be regarded as falling on the holiday. When such a workday begins on
the day before the holiday, on the other hand, the entire tour is
regarded as falling on the day before the holiday.
? If an employee has two daily tours of duty which start on the
holiday, the supervisor will determine which will be regarded as the
holiday tour; the employee will be required to work or be in a leave
status for the other tour.
OBSERVANCE OF U.S. HOLIDAYS (IRREGULAR TOURS OF DUTY)
IF HOLIDAY FALLS ON....
THEN....
o
a workday
o
the workday will be observed as a holiday.
o
a Sunday and the
employee's basic
workweek does not
include Sunday
o
the following workday will be observed as a
holiday; if overtime is required on the
Sunday, payment will be made at overtime
rates.
o
a Saturday and the
employee's basic
workweek does not
include Saturday
o
the immediately preceding workday will be
observed as a holiday; if overtime is
required on the Saturday, payment will be
made at overtime rates.
o
a nonworkday
(Labor Day and
Thanksgiving only)
o
the following workday will be observed as a
holiday; payment for any overtime work
required on Labor Day or Thanksgiving will
be at overtime rates.
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CHAPTER 6: HOURS OF WORK, ATTENDANCE, AND LEAVE
UNIT 1: HOURS OF WORK
OBSERVANCE OF U.S. HOLIDAYS (IRREGULAR TOURS OF DUTY) (Cont'd)
IF HOLIDAY FALLS ON....
THEN....
o
a nonworkday other
than Saturday or
Sunday (for all
other holidays)
o
if the employee's workweek includes Sunday
and the holiday falls on the first regular
nonworkday of his/her administrative work-
week, his/her next basic workday will be
observed as a holiday. (For this purpose,
the first nonworkday of the administrative
workweek has been designated as the day in
lieu of Sunday. If overtime work is
required on this first nonworkday, payment
for such overtime will be at overtime rates.
o
a regular non-
workday (other
than the first)
of the employee's
administrative
workweek)
o
the workday immediately preceding the
regular nonworkday will be observed as
his/her holiday.
Hazardous Weather/Environmental Dismissals
The Director, DIA may close an installation or office for short periods
(normally not to exceed 3 consecutive workdays) when emergency conditions or
other valid reasons so dictate. This authority is delegated to the Executive
Director. A Defense Attache, in consultation with the Chief of Mission, may
close the Defense Attache Office under like circumstances.
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CHAPTER 6: HOURS OF WORK, ATTENDANCE, AND LEAVE
UNIT 1: HOURS OF WORK
When employees are prevented from working because of an authorized closure,
employees with a regular tour of duty whose appointments are not limited to 90
days or less (or who have been continuously employed for 90 days or more under
one or more appointments) will be excused without charge to leave or loss of
pay. In situations where DIA activities are not officially closed, but it is
extremely hazardous for employees to report for work due to emergencies such
as climatic conditions, disasters, or the breakdown of transportation,
supervisors are authorized to administratively excuse employees for tardiness
of up to 2 hours without loss of pay or charge to leave, or they may require
employees to use annual leave or leave without pay.
OFFICIAL GUIDANCE: DIAR 22-4, Hours of Duty
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CHAPTER 6: HOURS OF WORK, ATTENDANCE, AND LEAVE
UNIT 2: LEAVE ADMINISTRATION
INTRODUCTION
FINDING HELP
Proper time and leave administration ensures that employees'
work schedules are established and performed within legal
requirements. As a supervisor you may be designated as a
certifying official. If designated, you are responsible
for assuring the accuracy of time and attendance records
for employees in your unit. You have the responsibility of
ensuring adherence to applicable work schedules, and of
allowing certain deviations or adjustments to the work
schedule for specific purposes.
You also have general responsibilities in administration of
leave and other absences, in accordance with DIA regula-
tions. As a supervisor, you must approve or disapprove
requests for leave and other absences. Effective management
of employee leave gives due regard to both DIA work
requirements and the concerns of individual employees.
IF YOU WANT TO KNOW ABOUT....
GO TO....
o Leave policy and supervisory/
managerial responsibilities
o Attendance as an indication of
deeper problems
o Using various types of leave
o Time and attendance certification
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CHAPTER 6: HOURS OF WORK, ATTENDANCE, AND LEAVE
UNIT 2: LEAVE ADMINISTRATION
Leave Policy and Supervisorv/Managerial Responsibilities
The leave program in DIA will be administered on a uniform and equitable basis
within the scope of applicable laws and regulations with due regard for the
needs of DIA and the welfare of individual employees. First-line supervisors
or other supervisory levels certifying time and attendance reports are
authorized to approve leave of their employees except for:
o early dismissals and excusals for hazardous weather or other
emergencies
o leave without pay in excess of 80 hours
o advance sick leave, and
o administrative leave in unusual situations when circumstances
peculiar to an individual personnel action militate against the
employee's presence on duty, and annual leave or leave without pay is
not appropriate. Supervisors may also approve brief absences for
certain purposes (See below).
Supervisors authorized to approve leave will, for all employees under their
supervision:
o insure that employees know how to request and use leave
o insure that all absences are charged to leave according to
regulations
o determine what kind of leave is appropriate in given circumstances
o schedule annual leave on a year-round basis to ensure that all
employees are given an opportunity for a reasonable vacation period
and to use leave they would otherwise forfeit, while avoiding
interference with the unit's mission
o request advice and assistance from RHR when there is a question
concerning the type of leave to be charged in a given absence
o report unauthorized absences to appropriate officials, and
o review leave records periodically to detect any problems regarding
leave usage.
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Supervisors are in the best position to recognize employees Who are abusing
leave privileges and to take effective corrective action. They ate encouraged
to discuss the reasons for absence with employees who are absent excessively
or who appear to be abusing leave privileges. In cases of chronic offenders
who fail to respond to such discussions, it may be necessary to take
progressively more severe corrective action.
Attendance as an Indication of Deeper Problems
Supervisors should be aware that patterns of attendance may reveal underlying
problems, and that the attendance problem will clear up if the basic problem
is remedied. Heavy use of sick leave, in particular, is often a symptom of:
o alcohol or other drug abuse (See Chapter 8, Unit 2)
o chronic illness of which the employee may or may not be aware
o failure to understand that sick leave is not to be used casually When
the employee would like a day off
o dissatisfaction with the job or conditions of work.
Generally, a supervisor faced with a record of high sick-leave usage on the
part of one or more employees should try to get at the true problem in
addition to dealing with the specific leave situation.
Using Various Types of Leave
If an employee works less than his/her basic workweek and the absence is not
due to a holiday, or for a reason meeting excused absence standards (described
on pp. 6-13 & 14), you must charge the employee's absence to some type of
leave.
TYPE OF LEAVE
DESCRIPTION
Annual Leave
o
o
A right accrued by an employee to allow for scheduled
vacation periods and to provide time off for personal
or emergency purposes, subject to the approval of the
supervisor.
Employee remains in pay status.
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CHAPTER 6: HOURS OF WORK, ATTENDANCE, AND UkVE
UNIT 2: LEAVE ADMINISTRATION
TYPE OF LEAVE
DESCRIPTION
Annual
o
Must be applied for in advance, except in emergency
Leave
situations, When the employee must telephone the
(Cont'd)
immediate supervisor for approval of leave within 1
hour after the beginning of the employee's regular
work shift. If the immediate supervisor is
unavailable, the employee will contact the next higher
level supervisor.
o
All periods of Federal civilian service and of
honorable military service potentially creditable for
a Civil Service annuity are creditable in determining
an employee's annual leave accrual rate. For
full-time employees, leave accrues at:
- 4 hours per pay period with less than 3 years
service
- 6 hours per pay period with 3 to 15 years (an
additional 4 hours is added in the last full pay
period in the calendar year)
- 8 hours per pay period with 15 or more years.
o
An employee in a current appointment limited to less
than 90 days earns annual leave only after being
currently and continuously employed for 90 days under
successive appointments without a break in service.
o
Accumulates on the basis of a full pay period only and
can be carried forward from year to year up to a
maximum of 240 hours in most cases.
o
May be advanced to the employee in excess of the
accumulated amount, not to exceed the amount he/she
would accumulate by the end of the current leave year
or during the tenure of his/her appointment, which-
ever is less.
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TYPE OF LEAVE
DESCRIPTION
Annual
o
Has a minimum charge of one hour.
Leave
(Cont'd)
o
Accumulated leave is payable in a lump sum when it is
probable that an employee will not return to duty from
the leave, except when the employee:
- is being separated because of RIF
- must be carried in leave pending extended active
duty in the armed forces, or
- has applied for disability retirement.
o
Leave schedules for the entire year will be established
prior to 31 January to insure that all employees are
given an opportunity for a reasonable vacation period
and will not have to forfeit excess accumulated leave.
The supervisor must insure that:
- an excessive number of employees will not be on
leave at the same time
- enough personnel will be on duty to maintain
essential operations.
o
Forfeited annual leave may be restored if the loss of
leave was caused by:
- administrative error
- exigencies of the public business when annual
leave was approved in writing before the start of
the third biweekly pay period prior to the end of
the leave year, or
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CHAPTER 6: HOURS OF WORK, ATTENDANCE, AND LEAVE
UNIT 2: LEAVE ADMINISTRATION
TYPE OF LEAVE
DESCRIPTION
Annual
Leave
(Cont'd)
- sickness of the employee when the leave was
scheduled in advance as described above.
o
If an employee has compensatory leave to his/her
credit, it will be used instead of annual leave except
when this will result in the forfeit of excess annual
leave.
o
Accumulated leave is converted to a lump sum cash
payment when the employee leaves Government.
o
Employees will not be placed on annual leave:
- in any disciplinary-type situation, or
- pending issuance of notice of proposed adverse
action or during the notice period, without their
consent.
Sick Leave
o
Employee remains in pay status.
o
May be used only for bona fide health reasons:
sickness, injury, pregnancy, confinement, quarantine,
caring for family member with communicable disease,
absence for medical, dental or optical examinations or
treatment, or absence for repair or adjustment of a
prosthetic appliance.
o
Accrues at 4 hours per pay period for full-time
employees.
o
Accumulates and may be carried over from year to year
without limit.
o
Becomes available for use during the pay period
following the pay period in which it is earned.
o
Has a minimum charge of one hour.
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UNIT 2: LEAVE ADMINISTRATION
TYPE OF LEAVE
DESCRIPTION
Sick
o
Must be applied for in advance when possible, or as
Leave
soon as possible after the beginning of an unexpected
(Cont'd)
need. (The supervisor will be contacted within 1 hour
after the beginning of the employee's work shift on
each day of sick leave except for known long term
absences such as hospitalization or pregnancy.)
o
When there is a reason to suspect leave abuse, a
medical certificate may be required for any period of
absence.
o
Sick leave in excess of 3 days must usually be
supported by a medical certificate accounting for the
entire period of absence.
o
Supervisors will forward to RHR copies of approved
requests for continuous sick leave of 80 hours or more
with accompanying medical support. If the employee is
believed to be planning optional retirement, the case
will be carefully monitored to insure that the leave
is fully justified.
o
Sick leave may be advanced not to exceed 30 days
subject to:
- prior approval by RHR or designee
- the prior exhaustion of all accrued annual leave
- a determination that the employee will not be
separated or retire before he/she can earn the
amount advanced.
o
Accumulated sick leave may be counted toward
increasing annuities upon the employee's retirement
but does not result in a lump sum payment.
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UNIT 2: LEAVE ADMINISTRATION
TYPE OF LEAVE
DESCRIPTION
Leave Without
o
Entails temporary absence in non-pay status.
Pay (LWOP)
o
Is typically used when accumulated annual or sick
leave is insufficient to meet the circumstances.
o
Is normally requested by the employee and is authorized
in advance by management, except when prior request is
impossible.
o
Supervisors who are authorized to approve annual and
sick leave may grant LWOP of 80 hours or less.
o
Request for LWOP in excess of 80 hours will be forward-
ed to RHR, accompanied by an SF 52, for prior approval.
o
If an employee remains absent after being denied LWOP,
or is deliberately absent without permission under
circumstances which the supervisor believes do not
justify approval of LWOP, the employee will be carried
as Absent Without Leave (AWOL).
o
There should be reasonable expectation that the
employee will return at the end of the LWOP before
approval of extended LWOP is granted.
o
The value to the Federal Government or the serious
need of the employee must be sufficient to offset the
costs and administrative inconvenience to the Govern-
ment that result from maintaining the employee in LWOP
status.
o
Employees can be on LWOP only during periods for which
basic rates are payable.
o
LWOP is charged in multiples of 15 minutes.
o
Initial grants of LWOP may not exceed 12 months.
Extensions will be approved only when the interests of
DIA are served.
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CHAPTER 6: HOURS OF WORK, ATTENDANCE, AND LEAVE
UNIT 2: LEAVE ADMINISTRATION
TYPE OF LEAVE
DESCRIPTION
Home Leave
o
Earned by service at a duty post outside the U.S. (and
outside the employee's place of residence if his/her
residence is in the Commonwealth of Puerto Rico or a
possession of the U.S.).
o
Is for use only in the U.S., Puerto Rico or a
possession of the U.S.
o
A U.S. citizen serving abroad whose conditions of
employment provide for return transportation to the
U.S. at Government expense on completion of a minimum
prescribed tour of duty is entitled to earn home leave.
o
For each 12 months of service abroad, employees will
accrue home leave as follows:
- if serving at a station for which a 20 percent or
higher foreign or territorial (not tropical) pay
differential is authorized: 15 days.
- if serving at a station for which a foreign or
territorial (not tropical) pay differential of at
least 10 and less than 20 percent is authorized:
10 days.
- other employee: 5 days.
o
May be granted to eligible employees:
- in conjunction with renewal agreement travel.
- after 24 months of continuous service abroad,
provided additional time remains on the
employee's tour; travel will be at employee's
expense if leave is not taken in conjunction with
renewal agreement travel.
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CHAPTER 6: HOURS OF WORK, ATTENDANCE, AND LEAVE
UNIT 2: LEAVE ADMINISTRATION
TYPE OF LEAVE
DESCRIPTION
Home
- within a reasonable time after an employee
Leave
returns to the U.S. from service abroad when it
(Cont'd)
is contemplated that he/she will return to
service abroad immediately or upon completion of
an assignment in the U.S.
- in combination with other leaves of absence,
however, employees who return to the U.S., Puerto
Rico, or a possession of the U.S. in accordance
with the above situations should be advised to
use accrued home leave before using accrued
annual leave except when the annual leave will be
forfeited.
o
A grant of home leave in excess of the amount earned
in a 24-month period may be denied only when the
employee is clearly required not to be absent from
his/her duty station for a longer period.
o
The minimum charge for home leave is one day.
o
Home leave may accumulate without limit.
o
Leave not to exceed 1 year will be granted without
charge for absence due to injury incurred while
serving abroad and resulting from insurgency, war, mob
violence, or similar acts, provided that the injury
was not due to the employee's intemperance, vicious
habits, or willful misconduct.
o
Unused home leave may not be included in terminal
leave or lump sum leave payments at the time of
retirement or separation.
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CHAPTER 6: HOURS OF WORK, ATTENDANCE, AND LEAVE
UNIT 2: LEAVE ADMINISTRATION
TYPE OF LEAVE
DESCRIPTION
Court Leave
o
Employee remains in pay status.
o
Is used for:
- jury duty (release from jury duty will be
requested by DIA only in the most exceptional
circumstances)
- attending judicial proceedings in a nonofficial
capacity as a witness for a State or local
government, or for a private party when the U.S.,
District of Columbia or State or local government
is a party
o
Is not used for:
- testifying in the employee's official capacity or
on behalf of the United States or the District of
Columbia (such testimony constitutes official
duty status)
- other court appearances.
o
The employee requesting court leave should present the
Court order, subpoena, or summons as much in advance
as possible and, on return to duty, will be required
to submit written evidence of the attendance at court.
o
Employees who receive notices requiring their
appearance during working hours to ascertain their
eligibility for jury service may be excused administra-
tively without charge to leave upon receipt of a
statement from the clerk of the court certifying the
reporting date and the hours excused.
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CHAPTER 6: HOURS OF WORK, ATTENDANCE, AND LEAVE
UNIT 2: LEAVE ADMINISTRATION
TYPE OF LEAVE
DESCRIPTION
Maternity
o
There is no "maternity leave" per se; necessary time
Leave
off is taken care of by any combination of sick leave,
annual leave, or leave without pay, as necessary.
o
Employees should report their intent to request leave
for maternity purposes as early as possible,
indicating approximate dates and the type(s) of leave
to be used.
o
Accumulated sick leave will be granted whenever the
employee is incapacitated for the performance of her
duties.
o
Other types of leave can be granted only to employees
who certify on their applications for leave that they
intend to return to duty on the expiration of the
leave period.
o
If LWOP in excess of 80 hours, or advance sick or
annual leave, is requested, the supervisor will
discuss the request with the personnel management
specialist servicing the organization. Except for
annual leave, such leave must be approved by RHR.
o
Managers will not establish arbitrary dates for
ceasing or returning to work.
o
If medical certificate appears to cover an unreasonable
period of incapacity, the supervisor may consult the
employee's physician to discuss the duties of the
position. The physician's judgment of the period of
incapacity will then be accepted as a basis for
granting sick leave.
o
Requests for extended leave not supported by a medical
certificate should, if approved, be charged to annual
leave or LWOP.
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CHAPTER 6: HOURS OF WORK, ATTENDANCE, AND LEAVE
UNIT 2: LEAVE ADMINISTRATION
TYPE OF LEAVE
DESCRIPTION
Maternity
Leave
(Cont'd)
o
o
If extended absence is not approved or may result in
administrative hardship, the employee may be separated,
provided an attempt is made to determine the employee's
intentions.
A male employee may request annual leave or LWOP to
help care for his minor children or the incapacit,ted
mother of his newborn child. Each request will be
considered on its own merits.
Military
Leave
o
o
o
o
o
Is a leave of absence with pay for active duty or
training with the Reserve component of the Armed
Forces generally not to exceed 15 calendar days in a
calendar year.
Full-time employees in appointments not limited to 1
year or less must be granted military leave upon
advance presentation of official orders.
Certification by the appropriate military officer as
to the employee's participation in active military
duty will be required from the employee upon return to
duty.
Military leave is charged on a calendar day basis
except that no charge will be made for nonworkdays at
the beginning or end of the period of absence.
Military leave is not granted for short periods of
inactive duty training.
Leave for
Religious
Observance
o
Absence from work to observe religious holidays includ-
ing the Sabbath, will be permitted when arrangements
can be made without undue interruption to work. The
accommodation can be made by grant of leave, trading
with a qualified employee, change of tour of duty, or
other means.
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CHAPTER 6: HOURS OF WORK, ATTENDANCE, AND LEAVE
UNIT 2: LEAVE ADMINISTRATION
TYPE OF LEAVE
DESCRIPTION
Leave for
Religious
Observance
(Cont'd)
o
o
When an employee's religious beliefs require abstinence
from work during certain periods of the workday,
he/she may be permitted to work compensatory overtime
for the time taken off, if this will not interfere
with efficient accomplishment of DIA's mission. (Must
be documented by supervisor's memorandum and SF 71.)
When requested time off must be denied, the supervisor
must prepare a Memorandum for Record documenting the
reason(s) the DIA cannot accommodate the request, and
must give a copy to the employee.
Brief
Absences
o
o
o
Brief absences of less than 1 hour, including
tardiness, may be excused by the supervisor when
circumstances justify it.
Abuse of this privilege may result in such absences
being charged to annual leave or handled by
disciplinary action.
When it is considered in the best interests of
employee health following long hours of emergency
overtime, Deputy Directors may approve up to 4 hours
excused absence during the normal tour of duty on the
day following the overtime.
Leave for
Blood
Donation
o
Personnel who donate blood to the American Red Cross,
or in an emergency to individuals, may be excused from
duty for the remainder of the workday. Maximum
excused time will not exceed 4 hours except in unusual
cases.
Voting
Leave
o
Employees, on specific request, will be granted time
off necessary to vote in any election or referendum:
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CHAPTER 6: HOURS OF WORK, ATTENDANCE, AND LEAVE
UNIT 2: LEAVE ADMINISTRATION
TYPE OF LEAVE
DESCRIPTION
Voting
Leave
(Cont'd)
- where polls are not open at least 3 hours either
before or after the employee's regular hours of
work, he/she will be granted an amount of excused
leave which will permit him/her to report for
work 3 hours after the polls open or leave work 3
hours before the polls close, whichever requires
the lesser time off.
- under exceptional circumstances where the general
rule does not permit the employee to vote, the
employee may be excused for such additional time
as is needed, not to exceed 1 day. If this
allowance is insufficient and an absentee ballot
is not permitted, employees should be granted
annual leave or LWOP.
o Time off to register to vote will be granted on
substantially the same basis except that if
registration can be accomplished on a nonwork day, no
time off will be granted unless a 1-day round trip is
unreasonable.
Funeral
Leave
o An employee will be excused up to a maximum of 3 work-
days without charge to leave or loss of pay to attend
the funeral of an immediate relative who died as a
result of wounds, disease, or injury caused while in
the armed forces in a combat zone.
o Veterans may be excused up to 4 hours in a workday to
participate as pallbearers, members of firing squads,
or honor guards in military funeral services for
members of the armed forces whose remains are returned
from abroad for interment.
6-29
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CHAPTER 6: HOURS OF. WORK, ATTENDANCE, AND LEAVE
UNIT 2: LEAVE ADMINISTRATION
TYPE OF LEAVE
DESCRIPTION
Leave in
o
Employees taking examinations including interviews
Connection
required in selecting for DIA positions will be granted
with Other
time off up to a maximum of 4 hours without charge to
Activities
leave. Time needed for other examinations must be
charged to annual leave or LWOP.
o
An employee will not be charged leave for time to
consult with operating officials or staff of RHR on
questions concerning his/her work, providing
satisfactory arrangements were made in advance.
o
An employee who suffers a disabling job-related injury
is entitled to continuation of pay for not to exceed
45 calendar days without charge to leave.
o
An employee may be excused to attend a conference or
convention when that attendance serves the interests
of DIA, provided that the attendance serves the
interest of DIA, provided that the attendance has been
properly requested and approved.
o
Attendance at other meetings may be covered by annual
leave or LWOP.
o
Participation in civil defense activities is
considered official duty. Upon return to his/her
regular assignment, the employee will provide the
supervisor with a statement from State/local civil
defense authorities showing the days and hours of
his/her participation.
o
Employees who serve as voluntary witnesses in hearings
conducted by MSPB, EEOC or DIA are in duty status.
o
Employees who are required to report for physical
examination before induction or recall to active duty
in the armed forces will be excused for the time
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CHAPTER 6: HOURS OF WORK, ATTENDANCE, AND LEAVE
UNIT 2: LEAVE ADMINISTRATION
TYPE OF LEAVE
DESCRIPTION
Leave in
Connection
With Other
Activities
(Cont'd)
necessary, provided the request for absence is
supported by official notification. If the absence
extends for more than one day through the employee's
choice, the excess absence will be charged to annual
leave or LWOP.
Time and Attendance Certification
Systematic time and attendance recording provides evidence for pay entitlement
by documenting hours of work and leave used. Although T&A Clerks ordinarily
complete the T&A Reports, certifying officials review them, and after
verifying the entries, sign them. Supervisors should also take the
opportunity of checking on patterns of leave use which indicate abuse or other
problems.
OFFICIAL GUIDANCE: DIAR 22-5, Leave Administration
6-31
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L Jazdet4D
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CHAPTER 7: PAY AND BENEFITS
OVERVIEW
CHAPTER 7
CONTENTS
It is the policy of DIA that there will be equal pay for
substantially equal work. DIA compensation is based on
established General Schedule, SES and Federal Wage System
rates, except when DIA or Intelligence Community work
differences are recognized. Premium pay is payable for
overtime, night, holiday, standby duty, administratively
uncontrollable work, and irregular or intermittent duty
involving physical hardship or hazard. Within-grade pay
increases are granted to effective employees on completion
of set periods of service. Such benefits as life insurance
and retirement are an important part of total compensation.
Chapter 7 contains two units dealing with the pay and
benefits of employees.
Unit 1: Compensation
- Overview of the General Schedule Pay System
- Within-grade pay increases
- Premium pay
- Special DIA pay rates
- Payments to civilian employees during an evacuation
Unit 2: Benefit Programs
- Life insurance/health insurance
- Retirement
Unemployment compensation
7-1
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CHAPTER 7: PAY AND BENEFITS
UNIT 1: COMPENSATION
INTRODUCTION
FINDING HELP
Direct monetary compensation of DIA civilian employees
(other than wage system and DISES) is based generally on
the General Schedule with its periodic within-grade
increases. It is augmented by a variety of premium pay
provisions covering special circumstances.
IF YOU WANT TO KNOW ABOUT.... GO TO....
o Overview of the General Schedule
Pay System Page 7-3
o Within-grade pay increases Page 7-3
o Premium pay Page 7-5
o Special DIA pay rates Page 7-10
o Payments to civilian employees
during an evacuation Page 7-10
7-2
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CHAPTER 7: PAY AND BENEFITS
UNIT 1: COMPENSATION
Overview of the General Schedule System
The General Schedule is the pay system applying to the majority of Federal
employees. It is the policy of DIA to adhere to the established GS rates
except when DIA or Intelligence Community work differences are recognized.
(See below) The General Schedule has 18 grade levels, the first 15 of which
have 10 steps each. The top three grades, GS-16, 17, and 18, have now largely
been replaced by the DISES. Employees move from step to step within a grade
level by satisfactory performance combined with periods of service of varying
lengths or sometimes by exceptional performance. They move from grade to
grade by promotion.
Within-Grade Pay Increases
An employee serving a GS position (under other than a time limited appointment)
who has not reached the maximum step of the grade is entitled to a within-grade
increase upon completing the required waiting period, provided that his/her
supervisor certifies that the employee's performance is fully successful or
better on the DIA Form 124..
REQUIRED WAITING PERIOD
WORK SCHEDULE
ADVANCEMENT TO STEP....
WAITING PERIOD
Full Time or in
Prearranged Regu-
rly Scheduled
Tour of Duty
(less than Full
Time)
o 2, 3, or 4
o 5, 6, or 7
o 8, 9, or 10
o 52 calendar weeks
o 104 calendar weeks
o 156 calendar weeks
Less than Full
Time without a
Prearranged
Regularly
Scheduled
Tour of Duty
o 2, 3, or 4
o 5, 6, or 7
o 8, 9, or 10
o 260 days of creditable
service over at least
52 calendar weeks
o 520 days of creditable
service over at least
104 calendar weeks
o 780 days of creditable
service over at least
156 calendar weeks
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CHAPTER 7: PAY AND BENEFITS
UNIT 1: COMPENSATION
An employee begins a new waiting period:
o on initial appointment in the Federal Service
o after a break in service or a period of non-pay status in excess of
52 calendar weeks (unless such time is considered creditable service
for within-grade increases), and
o on receiving a pay increase equal to or greater than the applicable
within-grade increase.
Time in non-pay status during a waiting period is credited toward completion
of a waiting period for an employee with a scheduled tour of duty when it does
not exceed an aggregate of:
o
2 work weeks for advancement to steps 2,
3,
or 4
o
4 work weeks for advancement to steps 5,
6,
or 7
o
6 work weeks for advancement to steps 8,
9,
or 10.
Leave without pay in excess of these periods extends the WIG waiting period by
the time in excess.
It is the supervisor's responsibility to make sure that there is a clear
understanding between the employee and the supervisor of the requirements of
the position and the performance standards that the employee must meet in
order to qualify for a within-grade increase. The supervisor must also
discuss with an employee whose work is minimally satisfactory or
unsatisfactory, those aspects of his/her performance which require
improvement. Discussions between the supervisor and the employee which
identify problem areas should be properly documented on the employee's DIA
Form 309 and DIA Form 124.
Premium Pay (See also Chapter 6, Unit 1)
Employees are paid premium pay for overtime, night work, holiday work, standby
duty, administratively uncontrollable work and irregular or intermittent duty
involving unusual physical hardship or hazard. The payment of premium pay
covers all employees regardless of grade, except wage board employees paid on
an hourly or daily basis and employees whose basic pay rate equals or exceeds
the top step for GS-15. Premium pay may be paid to an employee whose basic
pay rate is less than the maximum of GS-15 only to the extent that it would
not cause the aggregate rate of pay to exceed for any pay period the amount
payable at the top step of GS-15.
7-4
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CHAPTER 7: PAY AND BENEFITS
UNIT 1: COMPENSATION
TYPES OF PREMIUM PAY
PAY TYPE
PROVISIONS
Overtime
o Generally is paid for work in excess of 8 hours a day
(or 40 hours in a week), whichever is the greater
number of overtime hours.
o Absence during the basic workweek on annual or sick
leave, legal holidays, nonwork days established by
Executive or administrative order or compensatory time
does not reduce the amount of overtime pay to which an
employee may be entitled during an administrative work-
week.
o An employee on LWOP during his/her basic workweek must
make up the nonpay absence by working an equal number
of hours outside his basic workweek but in the same
administrative workweek, before he/she can be paid for
any hours at an overtime rate.
o If an administrative workweek of 40 hours is
established for a When-Actually-Employed (WAE)
employee, he/she is considered to be a full-time
employee for purposes of overtime pay.
o A part-time employee is also entitled to premium pay
in the same manner as full-time employees.
o If a WILE employee has no administratively established
workweek and works in excess of 40 hours per week for
one or both of the weeks in a pay period, he/she is
entitled only to straight-time pay for all hours
worked.
o Overtime Rates:
For employees whose basic pay rate exceeds the
minimum rate for GS-10, overtime rate is one and
one-half times the GS-10 minimum.
- For employees whose basic pay rate does not exceed
the minimum rate for GS-10, the overtime rate is
one and one-half times the employee's basic pay
rate.
7-5
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CHAPTER 7: PAY AND BENEFITS
UNIT 1: COMPENSATION
TYPES OF PREMIUM PAY (Cont'd)
PAY TYPE
PROVISIONS
Night Pay
o
o
o
A night differential of 10 percent of the employee's
basic pay in addition to basic pay is to be paid for
any regular scheduled work between 1800 and 0600 hours.
Payment of night differential continues for regularly
scheduled night hours When an employee is absent due
to a holiday or other nonworkday, or is in official
travel status.
It continues during periods of paid leave of less than
8 hours during the pay period, but not When the total
leave is 8 hours or more.
Holiday Pay
o
o
o
o
An employee assigned to duty on a holiday Which is not
overtime work will be paid his/her regular rate of
basic compensation plus premium pay for no more than 8
hours of duty at a rate equal to his/her rate of basic
compensation.
An employee required to perform holiday duty will
receive premium pay for no less than 2 hours even if
the actual time worked is less.
An employee assigned overtime work on a holiday is
paid in the same manner as for overtime work performed
on other days.
holiday pay cannot be used as part of an employee's
rate of basic compensation to compute overtime, night,
or Sunday pay; and vice versa.
Regularly
Scheduled
Standby Pay
o
The Director may authorize premium pay on an annual
basis for employees in positions Which regularly
require employees to stay at their stations for longer
than ordinary periods of duty (more than 40 hours a
week), a substantial part of which consists of standby
duty.
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CHAPTER 7: PAY AND BENEFITS
UNIT I: COMPENSATION
TYPES OF PREMIUM PAY (Cont'd)
PAY TYPE
PROVISIONS
Regularly
Scheduled
Standby Pay
(Cont'd)
o Requests with justifying data will be forwarded to RHR
for evaluation, determination of appropriate pay rate,
and transmitted to the Director.
o An employee may not be paid any other premium
compensation for additional regularly scheduled work
but may be paid for irregular, unscheduled overtime.
Pay for
Administra-
tively Un-
controllable
Work
o The Director may authorize premium pay on an annual
basis for an employee in a position Which requires
substantial amounts of irregular, unscheduled overtime
and duty at night or Sunday, and on holidays, which
cannot be controlled administratively.
o Such additional annual pay takes the place of any
other premium pay for regularly scheduled overtime.
o Requests with justifying data will be forwarded to RHR
for evaluation, determination of appropriate pay rate,
and transmittal to the Director.
o An employee may not be paid any other premium pay for
irregular unscheduled overtime, but may be paid for
regularly scheduled overtime and for work at night, on
Sundays, or on holidays.
Pay for
Sunday Work
o A full-time employee is entitled to be compensated at
his/her rate of basic compensation plus premium pay at
a rate of 25 percent of his/her basic rate for each
hour of regularly scheduled Sunday work not in excess
of 8 hours.
o Such premium pay is not included in the rate of basic
compensation used to compute the pay for holiday work,
overtime compensation, or night pay differential; and
vice versa.
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CHAPTER 7: PAY AND BENEFITS
UNIT 1: COMPENSATION
TYPES OF PREMIUM PAY (Cont'd)
PAY TYPE
PROVISIONS
Pay for
Sunday Work
(Cont'd)
o
o
If a full-time employee's regularly scheduled tour of
duty includes a period of service of less than 8 hours
any part of which falls on Sunday, he/she is entitled
to Sunday pay for all the hours worked not in excess
of the hours regularly scheduled for the period.
When a full-time employee has 2 separate tours of duty
on Sunday, he/she is entitled, to premium pay not to
exceed 8 hours per each tour.
Pay for Irre-
gular or In-
termittent
Duty Involving
Physical Hard-
ship or Hazard
o
o
o
o
o
Duty involving physical hardship may not in itself be
hazardous but causes extreme physical discomfort or
distress Which is not adequately alleviated by protec-
tive or mechanical devices (e.g., prolonged exposure
to fumes, dust or noise causing physical irritation
or irritation or nausea).
Hazardous duty is performed under circumstances in
which an accident could result in serious injury or
death.
A hazard pay differential may be paid for performance
of irregular or intermittent hazardous duty or duty
involving physical hardship.
Hazard pay is computed as a percentage of an employ-
ee's basic compensation and is paid in addition to any
other compensation the employee earns. It will not be
considered part of an employee's rate of basic pay.
An employee will be paid hazard pay for the hours in
pay status on the day on Which the duty entitling
him/her to the differentiation is performed. Work
performed during a continuous period extending over 2
days will be considered to have been performed on the
day on Which the work began and the differential
charged to that day.
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CHAPTER 7: PAY AND BENEFITS
UNIT 1: COMPENSATION
TYPES OF PREMIUM PAY (Cont'd)
PAY TYPE
PROVISIONS
Pay for Irre-
o
A hazard rate of 25 percent is paid for these
regular or In-
termittent
Duty Involving
Physical Hard-
ship or Hazard
irregular or intermittent duties: high work, flying,
underwater duty, underground work, firefighting,
exposure to hazardous agents, weather or terrain,
specialized physical and performance testing.
(Cont 'd)
o
Additions or changes to the above may be made.
Requests for an amendment may be submitted to RHR with
information about the duty showing:
- its nature
- the length of time the duty will exist
- the degree to which the hardship/hazard can be
controlled
- the requested rate of differential pay.
o
Employees regularly assigned to hardship/hazard duties
which are inherent to the position and taken into
account in the classification of the position do not
receive hazard pay.
Special DIA Pay Rates
DIA can establish an approved set of grade and step pay rates which exceed
those which would otherwise apply. These rates are to be used in DIA or
Intelligence Community jobs when work differences arise which cannot be
equitably compensated for in other ways. RHR will provide advice and
assistance to supervisors/managers in all aspects of special DIA rates. The
Senior Review Board, based on information and advice from RHR, will determine
situations for which such rates will be granted.
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CHAPTER 7: PAY AND BENEFITS
UNIT 1: COMPENSATION
Payments to Civilian Employees During an Evacuation
The Department of State has issued standardized regulations governing payments
to civilian employees and dependents in the event of an emergency evacuation
from foreign areas, and OPM has issued regulations governing payments in the
event of such evacuations of civilian employees located within the U.S., its
territories, and possessions. These regulations will be used in DIA as a
basis for granting advanced and evacuation payments.
OFFICIAL GUIDANCE: DIAR 22-47, Special DIA Pay Rates
DIAR 22-46, Pay Administration
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CHAPTER 7: PAY AND BENEFITS
UNIT 2: BENEFITS
OVERVIEW
FINDING HELP
Such benefits as retirement and life insurance are an
important part of the total compensation package for DIA
employees. In addition, some employees who are separated
from DIA are entitled to unemployment compensation benefits
while they are looking for work. Supervisors/managers need
to be informed of these benefits to communicate effectively
with subordinates about them.
IF YOU WANT TO KNOW ABOUT.... GO TO....
o Life Insurance/Health
Insurance Page 7-12
o Retirement Page 7-12
o Unemployment Compensation Page 7-12
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CHAPTER 7: PAY AND 'BENEFITS
UNIT 2: BENEFITS
Life Insurance/Health Insurance
Most DIA employees are eligible to elect coverage for health insurance
(pay-for-service or health maintenance types of programs), group life
insurance and accidental death and dismemberment insurance provided under
Federal Employees' Group Life Insurance (FEGLI), and optional insurance
programs. The following are excluded:
o Employees serving under appointments limited to one year or less,
except employees so appointed for full-time employment or for
part-time employment with a regular tour of duty, without a break in
service of more than 3 days, following service in which they were
insured.
o Seasonal or emergency employees whose employment is of uncertain or
temporary duration.
o Part-time, WAE, or intermittent employees having no regular tour of
duty.
o Retired employees who are reemployed under conditions not terminating
their title to an annuity.
Specific coverage options are varied. Questions on health or life insurance
should be referred to RHR.
Retirement
There are 4 basic types of retirement for which DIA employees are eligible:
Optional Retirement, Discontinued Service Retirement, Disability Retirement,
and Deferred Retirement. (These are discussed in detail in Chapter 10, Unit
1). Supervisors/managers are responsible for advising employees as to the
source of information about retirement benefits.
Retirement is an employee benefit; care must be taken to assure that employees
are protected from coercion or pressure to force them into retirement against
their will. In some cases, however, when the employee refuses to initiate
action for a disability retirement considered essential by management, the
supervisor must initiate the request to OPM.
Compensation for Unemployment
To be entitled to unemployment compensation, an employee must have creditable
Federal service within the base period as determined under applicable State
laws. All State laws require that an individual to be eligible for
unemployment benefits:
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CHAPTER 7: PAY AND BENEFITS
UNIT 2: BENEFITS
o be unemployed (or be employed less than full-time and earn less than
a specified amount)
o be able to work and available for any suitable work
o register for work and file a claim at a local employment service and
claims office and continue to report to that office as directed
o have had a specified amount of employment or have earned a specified
amount of wages or both within a base period (usually 1 year).
The most common reasons for disqualification are:
o Discharge for misconduct
o Voluntary resignation without good cause (some States require that
cause to be connected with the work; others accept some personal
reasons) or
o Refusal of a suitable job without good cause.
State laws vary greatly, but usually unemployment benefits are about half
normal earnings for periods from 12 to 39 weeks in a year. Some State laws
increase weekly benefits by allowances for dependents. In most States,
benefits are not paid for the first week after the claim is filed.
SF 8 (Notice to Federal Employee about Unemployment Compensation), which
explains rights to unemployment compensation and provides instructions for
filing claims, will be given to an employee whenever he/she is:
o separated from the Federal service for any reason
o transferred to a different payroll office
o placed in a nonpay status for a period of 7 or more calendar days.
When a former DIA employee files a claim for unemployment compensation, the
State agency sends a form to the Finance and Accounts Office, U.S. Air Force,
requesting information as to periods of service, amount of wages, and reasons
for termination. Findings of fact reported to State agencies are final and
conclusive. Either the State agency or the claimant, however, may request
additional information, reconsideration or correction of these findings. Such
requests will be reviewed promptly and processed by RHR within 4 working days
after receipt.
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CHAPTER 7: PAY AND BENEFITS
UNIT 2: BENEFITS
State agencies, after reviewing the information furnished by the former
employee and by DIA, will furnish the claimant and RHR a Notice of
Determination. Such determinations will be reviewed by RHR for possible
appeal whenever:
o the State determination challenges the finality of findings of fact
by DIA, or
o the State agency appears to have misinterpreted DIA's findings, or
o DIA believes the determination is not in accordance with the State
law.
Claimants also have the right to appeal State determinations with respect to
their entitlement to benefits.
OFFICIAL GUIDANCE: DIAR 22-8, Life Insurance
DIAR 22-10, Retirement
DIAR 22-26, Unemployment Compensation
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CHAPTER 8: EMPLOYEE STRESS, ILLNESS, AND INJURY
OVERVIEW: Employee illness - physical, mental or emotional - and injury
are causes of productivity loss. There may also be security and
legal implications to which a supervisor/manager should be
alert. Seeing that such conditions do not go unremedied, and in
the case of work-related illness or injury, unreported, is an
important supervisory responsibility. The DIA Employee
Alcoholism and Drug Abuse Program offers employees referral for
counseling and assistance in overcoming a number of serious
problems.
CHAPTER 8
CONTENTS:
Chapter 8 contains two units which present information on the
following:
o Unit 1: Dealing with Illness and Injury
- Reporting job-related illness and injury
Compensation for disability
- Other health-related issues
- Death notification and survivor assistance
o Unit 2: Dealing with the Troubled Employee
Recognizing signs of a troubled employee
- The DIA Alcoholism and Drug Abuse Program
- Guidelines for responding to and confronting
employees
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CHAPTER 8: EMPLOYEE STRESS, ILLNESS, AND INJURY
UNIT 1: DEALING WITH ILLNESS AND INJURY
INTRODUCTION
FINDING HELP
In addition to time and leave administration implications,
employee illness and injury may also have security,
productivity, morale, and legal consequences. As a
supervisor/manager you have the responsibility for
reporting job-related illness and injury in order for
employees to receive proper care and compensation. You
should also take action to remedy conditions in the
workplace which may have contributed to the illness or
injury in order to prevent illness or injury of other
employees.
IF YOU WANT TO KNOW ABOUT.... GO TO....
o Reporting job-related illness
and injury
o Other health-related issues
o Death notification and
survivor assistance
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CHAPTER 8: EMPLOYEE STRESS, ILLNESS, AND INJURY
UNIT 1: DEALING WITH ILLNESS AND INJURY
Reporting Job-Related Illness and Injury.
The Federal Employees' Compensation Act (FECA), administered by the Office of
Workers' Compensation Programs (OWCP), Department of Labor, provides monetary
compensation, medical care, vocational rehabilitation and limited reemployment
rights to Federal employees who sustain disability injuries or disease as a
result of their employment. As a supervisor/manager, you are responsible for:
o Insuring proper care and compensation for job-related illness and injury
o Aiding in documentation of illness and injury, and
o Controlling the effects of the accident on work and staff morale.
In fulfilling these duties, the supervisor needs to know the legal definitions
of job-related injury and illness:
o Occupational injury - wound or other bodily condition caused by external
force, including stress or strain, which is identifiable as to time and
place of occurrence, and member or function affected, and caused by a
specific event (or series of events) within a single workday or shift.
o Occupational illness - illness or condition caused by systemic infection;
continued or repeated stress or strain; exposure to toxins, poisons,
fumes, etc., or other continued and repeated exposure to work conditions
over a long time period.
Key points for supervisors to remember include:
o A CA-1 must be submitted within 48 hours of the injury.
o Supervisors do not have the option of refusing a CA-16 if an employee
claims that he/she was injured on the job.
o A CA-16 cannot be issued for occupational diseases without prior
approval from OWCP.
o Supervisors should be aware that by issuing a CA-16, they are
obligating the government to pay for 30 days of medical bills unless
OWCP notifies the employee otherwise.
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CHAPTER 8: EMPLOYEE STRESS, ILLNESS, AND INJURY
UNIT 1: DEALING WITH ILLNESS AND INJURY
o The employee has the option of selecting a physician. The
physician's name should be typed on the CA-16. The list of
persona-non-grata physicians from OWCP should be checked with RHR
whenever possible and if the physician's name is on the list, another
one should be selected. (If someone on the list actually performs
the service, OWCP will pay for initial visit and then notify the
employee to select another physician.)
o A CA-2 should be submitted for an occupational disease.
o Continuation of Pay (COP) is authorized for an injury, but never for
an occupational disease.
o All absences must be documented by the employee's physician and the
physician should show that the absence is related to the on-the-job
injury.
o It is essential for the employee to collect all the available medical
documentation, both from the dispensary and from the hospital/doctor.
We have to provide OWCP with enough information on which to base its
decision.
o Additional guidance is available through DIAR 22-11 and RHR.
Other Health Related Issues
There are other illnesses which, although they are not caused by conditions in
the work place, do have implications for the work unit. Generally speaking,
these are infectious and communicable diseases (e.g., polio, meningitis,
tuberculosis, infectious hepatitis). In some cases other workers should be
tested to see if they have contracted the disease, and, in other cases,
immunization of other workers is advisable. The supervisor should, therefore,
inform RHR promptly if an employee contracts a serious communicable disease.
Medical examinations may be required.
Fitness for duty examinations are used in two kinds of situations:
o When the employee exhibits symptoms of a physical or mental condition
which calls into question the employee's continued ability to perform the
duties of his/her position or threatens the welfare of the public or other
employees.
o When the employee requests a benefit or special treatment based on a
medical condition.
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CHAPTER 8: EMPLOYEE STRESS, ILLNESS, AND INJURY
UNIT 1: DEALING WITH ILLNESS AND INJURY
In the latter case, the burden of providing acceptable evidence about the
medical condition rests with the employee. If the employee fails to provide
adequate evidence for DIA to conclude that a medical condition exists which
needs to be taken into account, DIA is free to proceed with whatever action is
called for, having fully met its procedural obligations related to the health
question.
Death Notification and Survivor Assistance
Immediately upon learning of the death of a DIA civilian employee, his/her
immediate supervisor will:
o Appoint a volunteer Family Assistance Officer (if possible from employees
at GS-11 or above), preferably a co-worker of the deceased, to provide
personalized assistance to the next of kin in all matters except those
pertaining to statutory/regulatory survivor benefits for which the
Assistant Deputy Director for Human Resources (RHR) is responsible. This
individual will be granted official time away from regularly assigned
duties without charge to leave. However, official travel outside the
Washington area will not normally be authorized.
o Inform RHR of the name and telephone number of the Family Assistance
Officer.
o Notify the appropriate Deputy Director for, or chief of special office,
and the Office of Security.
o Notify RHR so that arrangements for flowers or charitable donations may be
initiated through the DIA Civilian Welfare Fund. (Only in case of
employees in the Washington, DC area).
o Notify the person responsible for maintaining time and attendance records
of the deceased.
o Prepare an SF-52 (Request for Personnel Action) showing the date of death
as the effective date.
o Initiate action to recover Government property, including building and
area passes and parking permits, and process a final clearance.
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CHAPTER 8: EMPLOYEE STRESS, ILLNESS, AND INJURY
UNIT 1: DEALING WITH ILLNESS AND INJURY
When it is learned that a death has occurred in the immediate family of an
employee (spouse, children, parents and siblings), a letter of condolence will
be prepared by the major activity to which the employee is assigned. The
draft letter will be transmitted by staff summary sheet through RHR, which
will review it and forward it through RS and ED to the Director for
signature. The transmittal memo will explain in brief the circumstances of
the death and will be signed by the major activity head or designated
representative. The letter should be mailed to the employee within 3 days of
the death. In addition, a personal expression of sympathy from the employee's
directorate should be considered.
A DIA employee who learns of the death of a former employee will notify RHR
with any available details. RHR will take prompt action to verify the death,
and will publish a suitable announcement to all members of DIA.
OFFICIAL GUIDANCE: DIAR 22-11, Compensation for Injury
DIAR 22-29, Death Notification and Survivor Assistance
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CHAPTER 8: EMPLOYEE STRESS, ILLNESS, AND INJURY
UNIT 2: DEALING WITH THE TROUBLED EMPLOYEE
INTRODUCTION
FINDING HELP
There are a variety of mental, emotional, and physical
problems that, single or in combination, adversely affect
individual and unit performance. There also may be
security and legal implications, particularly in regard to
substance abuse. Sometimes these conditions are acute or
transitory; in other cases they become chronic and even
fatal if no one intervenes.
It is particularly important for supervisors to be able to
recognize the onset of stress-related and similar problems
and to be able to intervene positively to alleviate the
problem. DIA recognizes alcoholism, drug abuse, and mental
disorders as treatable health problems. The DIA Employee
Alcoholism and Drug Abuse Program offers prevention,
treatment and rehabilitation opportunities to employees
consistent with DIA mission and security requirements.
IF YOU WANT TO KNOW ABOUT.... GO TO....
o Recognizing signs of a troubled
employee
o The DIA Alcoholism and Drug
Abuse Program
o Guidelines for responding to
and confronting emplbyees
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CHAPTER 8: EMPLOYEE STRESS, ILLNESS, AND INJURY
UNIT 2: DEALING WITH THE TROUBLED EMPLOYEE
Recognizing Signs of a Troubled Employee
Dealing with poor performance is a basic supervisory responsibility, but it is
a mistake always to take poor performance entirely at its face value. As often
as not, there is an_underlying.problem whIch needs to be dealt with before any
progress can be made on improving performance. This is particularly the case
when an employee's performance is deteriorating. Be alert, through continuing
observation, to changes in the work or behavior of your subordinates. The
following may be indications of problema-such as substance abuse or
mental/emotional illness:
o Performance Deterioration
Noticeable decrease in quantity and/or quality of work
Increasing failure to observe deadlines
Difficulty in concentration
Memory loss
Confusion
Poor judgment
Difficulty in understanding/following instructions
Alienation from other staff members
o Absenteeism/Tardiness
Excessive, unannounced, or unexcused absenteeism especially on
Mondays, Fridays, days before and after holidays, and on paydays or
the day after
Long lunch hours and deterioration of performance in the afternoon
Frequent absences - particularly for headaches, colds, flu,
bronchitis, sore throats, back problems, toothaches, "peculiar"
accidents, and family problems
Habitual tardiness
Frequent absences from work site beyond normal expectations
Increased use of annual and sick leave
? Attitude/Behavior Changes
Mood Swings
Depression, hints of suicide
"Hyper" behavior - grandiose, loud, making extreme remarks
Resentful, suspicious, secretive, belligerent, and hypersensitive
attitudes
Feelings of persecution
Altercations with fellow employees
Noticeably heavy drinking at lunch
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CHAPTER 8: EMPLOYE! STRESS, ILLNESS, AND INJCPY
UNIT 2: DEALING WITH THE TROUBLED EMPLOYE1
- Odor of alcohol on breath in the morning, often attempts to disguise
breath by mints, cough drops, sprays, etc.
- Drinking during working hours
- Chronic lying, excusing, and rationalizing
o Physical Changes
- Deterioration of personal appearance and/or grooming
- Unexplained drastic weight changes
- Changes in physical characteristics - flushed face, discoloration of
eyes, changes in size of pupils of eyes, hand tremors
- Jumpiness, drowsiness
- Chronic "colds"
Increase in digestive ailments
- Increase in health problems
o Family/Relationship/Social Problems
Increase in family/relationship problems
- Financial/legal problems
- Accidents or DWI (Driving While Intoxicated)
- Minor criminal behavior (e.g., shoplifting)
The DIA Alcoholism and Drug Abuse Program
Because of its sensitive mission, DIA is exempted from the requirement to
assure employees that their job security will not be jeopardized by requests
for counseling or referral assistance for alcoholism and drug abuse problems.
Consideration, however, should be given in all instances to the degree of
access to classified information granted the employee. (Coordinate with the
Security and Counterintelligence Directorate).
RHR provides advice and assistance to supervisors/managers on all aspects of
the program. Upon the request of a supervisor, RUR will arrange for
counseling by the medical staff of the Civilian Employees Health Service.
An employee who decides to undergo a prescribed program of treatment which
will require absence from work will be granted sick leave for this purpose.
The employee will be responsible for the costs of treatment of substance abuse
problems. If an employee refuses to accept the assistance offered through
this program or to otherwise correct the problem, disciplinary action should
be taken, as warranted, on the basis of unsatisfactory job performance.
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CHAPTER 8: EMPLOYEE STRESS, ILLNESS, AND INJURY
UNIT 2: DEALING WITH THE TROUBLED EMPLOYEE
Supervisors need to be alert to the possibility of substance abuse when
confronted with performance problems, but will not attempt to diagnose
alcoholism or drug abuse. Rather, they should record symptoms to assist
medical counselors, and document specific instances where an employee's work
performance, behavior, or attendance fails to meet minimum standards or
appears to be deteriorating. Supervisors should consult RHR for advice.
Guidelines for Responding To and Confronting Employees
When there is reasonable evidence that the employee has a substance abuse
habit which is undermining his/her performance, the supervisor should
interview the employee. The supervisor should recognize that even if an
employee needs help, it is unlikely that he/she will welcome it. Alcoholism,
in particular, is characterized by vigorous denial that a problem exists, and
few employees will readily accept the fact that they are behaving
irrationally. In fact, the more irrational the behavior, the less likely it is
that the employee will respond positively to offers of help. For this reason,
a supervisor needs to proceed cautiously, and upon professional advice, in
cases where a problem seems to exist:
DON'T
DO
o Ignore the problem in hope that it will go away
o Try to diagnose
o Try to push the employee into "confessing" the nature of the problem
o Moralize
o Lose your temper in the face of belligerence or defiance
o Accept assurances that "it won't happen again"
o Try to "treat" the employee yourself
o Contact RHR for advice
o Document specific instances when the employee's behavior or
performance was unusual or unacceptable
o Confront the employee, making clear that your primary concern is with
job performance, but, whenever appropriate, try to show concern for
the employee's welfare
o Concentrate on facts in dealing with the employee, not your
interpretation of them
o Strongly suggest that the employee see RHR for counseling to help
resolve the poor job performance
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CHAPTER 8: EMPLOYEE STRESS, ILLNESS, AND INJURY
UNIT 2: DEALING WITH THE TROUBLED EMPLOYEE
o Make it clear that the employee has a choice between seeking
assistance or accepting the consequences of unsatisfactory performance
o Give the employee a time by which you expect to see improvement
o Monitor the employee's job performance/behavior
o If performance/behavior does not improve, take appropriate
administrative action.
Special cases:
o In the rare case in which the employee does not appear to be in
reasonable control of his/her faculties or behavior, seek immediate
medical diagnosis and emergency treatment, and notify RHR. If the
employee seems apt to be assaultive or imminently suicidal, it may be
necessary to enlist the assistance of the building guard service.
o If the supervisor believes that the employee is using illegal
substances, the supervisor should be careful not to elicit from the
employee any specificity about the nature of any illegal activity.
o If the supervisor has good reason to believe that the employee is
involved in criminal conduct potentially harmful to the person or the
property of others (e.g., drug dealing, stealing to support a drug
habit), the supervisor's first obligation is to DIA and the other
employees. Therefore, the evidence should be presented through
normal supervisory channels to law enforcement authorities.
OFFICIAL GUIDANCE: DIAR 20-17, Rehabilitation and Referral Service for
Alcohol and Drug Abusers and Related
Matters
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?
?
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CHAPTER 9: MANAGING OVERSEAS EMPLOYEES
OVERVIEW DIA's unique mission requires the assignment of significant
numbers of civilian employees in overseas areas. Chapter 9
deals with the special requirements in dealing with such
employees.
CHAPTER 9
CONTENTS
Chapter 9 contains 2 units.
Unit 1: DIA Overseas Employees
- General provisions
- Defense Attache system
- Other DIA employees assigned overseas
Unit 2: Dependents/Foreign Nationals
Employment of dependents of personnel stationed in foreign
areas
- Employment of foreign nationals in foreign areas
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CHAPTER 9: MANAGING OVERSEAS EMPLOYEES
UNIT 1: DIA OVERSEAS EMPLOYEES
INTRODUCTION
FINDING HELP
Special provisions are needed in managing the complexities
of civilian employees overseas. Considerations of financial
prudence, conformity with host country agreements or trea-
ties, availability of qualified individuals in the overseas
area, desirability of a low U.S. government profile in host
countries, and the like govern the management of this
special work force.
IF YOU WANT TO KNOW ABOUT.... GO TO....
o General provisions
o Defense Attache System (DAS)
o Other DIA employees assigned
overseas
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CHAPTER 9: MANAGING OVERSEAS EMPLOYEES
UNIT 1: DIA OVERSEAS EMPLOYEES
General Provisions
When it is advantageous to employ civilians in overseas areas, maximum use
will be made of qualified individuals, U.S. citizens or local nationals,
available locally. Unless precluded by treaties or other agreements,
preference will be given to dependents of military and civilian personnel
stationed in the area. (However, members of the immediate family cannot be
assigned within the same Branch or comparable organizational element except in
unusual circumstances.) Personnel recruited in or transferred from the United
States will be limited to filling key positions regarded as essential for
security reasons or requiring skills not available locally. Consideration
must be given to the ability of DIA to insure adequate housing, subsistence,
medical, commissary, exchange, laundry, transportation and other essential
facilities and services. Except in emergencies, an overseas manager will not
request U.S. recruitment unless health and decency standards can be met.
Since DIA civilian employees abroad are representatives of the United States,
DIA will select only persons whose qualifications and adaptability make them
suited for overseas assignment. Full and accurate information will be given
prospective employees about the area for which they are being considered, the
type of facilities that are available, environmental conditions, the work they
will perform, and their responsibilities to DIA and the United States.
Individuals considered for overseas assignment will be selected solely on
merit. Exclusionary policies of the country to which an employee is to be
assigned will not be a factor in selection. If the host country refuses a
visa to a selected candidate on the basis of exclusionary policies related to
equal opportunity factors (e.g., sex, race, religion), DIA will report the
denial through channels to the Assistant Secretary of Defense (International
Security Affairs).
Reemployment rights to a position in the continental United States may be
given to DIA employees who accept assignments overseas with DoD. Employees
exercising such rights will submit applications (including updated personnel
security forms) 6 months prior to the completion date of the period for which
such rights were granted. Employees who exercise reemployment rights to DIA
will be placed in vacant positions for which they are qualified, using DIA
Priority Placement Program procedures. (See Chapter 3, Unit 4)
When permitted by U.S. and host country treaty or agreement, DIA will pattern
its employment conditions for locally hired non-U.S. citizen employees after
the customs and practices of the local area. Compensation for such employees
will be based on local prevailing pay rates. Such employees will receive
training necessary to equip them to perform their duties, make them more
productive, and qualify them for advancement.
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CHAPTER 9: MANAGING OVERSEAS EMPLOYEES
UNIT 1: DIA OVERSEAS EMPLOYEES
Defense Attache System (DAS)
DIA employees may be assigned to the DAS and individuals may be recruited for
the system from outside DIA. The normal length of tour for a DAS civilian
employee is 2 years. In specific cases, a shorter term may be approved by the
Director, DIA. Further, the 24-month tour may be reduced by 2 months when a
DAS employee signs a renewal agreement to serve an additional tour at the same
or another overseas area. The maximum period of continuous overseas duty (at
one or more duty stations) is 6 1/2 years. An employee who has served for
that period must reside in the United States for 2 years or more before
becoming eligible for another overseas tour. All DAS employees will be
advised of the 6 1/2-year limit. An employee who fails to accept reassignment
to the United States after serving the maximum period overseas will be
separated. However, the Executive Director may waive the limit in unusual
circumstances when the overall needs of DIA demand an exception.
DIA employees reassigned to DAS will be returned to a position in the United
States on return from overseas. DAS employees recruited from outside DIA will
be considered for reassigment after successful completion of their DAS tours
on a case-by-case basis subject to the needs of DIA. The cognizant Defense
Attache must recommend retention of the employee before reassignment to DIA.
DAS employees will receive housing allowances, cost-of-living allowances, and
differential allowances as appropriate to their place and conditions of
employment.
Other DIA Employees Assixned Overseas
Normally, DIA employees serving overseas other than those in DAS are limited
to an aggregate of 5 years and have a standard tour of duty of 36 months with
specified exceptions; renewal transportation agreements will be for 24
months. In areas where the standard tour is '2 or 3 years, the tour may be
reduced by 2 months when employees sign a renewal agreement to serve an
additional tour at the same or another overseas area. The tour of employees
serving in a 36-month tour area who have 5-year service limitations, may be
reduced by 6 months for renewal agreement travel, provided the renewal is for
duty in a 36- or 24-month tour area. (When the initial agreement is reduced,
the renewal agreement must prescribe a period of service which, in combination
with previous service, will total 60 months including absence for renewal
agreement travel and related leave.) Use of such reduced tours is authorized
to permit scheduling leave at slack periods or during school vacations. A DIA
manager desiring to establish a tour of duty other than those established will
submit a request for an exception, including reasons. Final approval
authority rests in the Office of the Secretary of Defense.
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CHAPTER 9: MANAGING OVERSEAS EMPLOYEES
UNIT 1: DIA OVERSEAS EMPLOYEES
Certain employees hired overseas:
o whose immediate prior service was also overseas
o who report without renewal agreement travel, and
o whose agreements have been negotiated
will be required to serve in the area for a period of time in addition to
their immediate prior period of civilian or military service, to complete
either the authorized tour for the area or one year from their date of
employment, whichever is greater. This applies to:
o employees transferring to the DIA from either a DoD component or
another Government agency
o military personnel, persons in the employ of an international
organization participated in by the United States, and persons in the
employ of Government contractors overseas, who separate in overseas
areas to accept DIA employment.
When persons are involved in a transfer of function, the tour of duty
specified in their current agreements will govern.
The 5-year limitation on overseas service does not apply to personnel:
o with the status of dependents accompanying DoD military or civilian
personnel stationed in the area
o in positions with official position descriptions requiring frequent
contact with officials of the host nation and a detailed current
knowledge of the culture, mores, lain, customs, or government
processes of the host nation, which usually cannot be acquired
outside the host nation.
Other extensions beyond 5 years may be granted by the Executive Director on a
case-by-case basis for a specified period, normally not to exceed one year
when:
o a suitable replacement has not been located and time is required to
train a replacement
o special personal circumstances, such as imminent retirement, make it
inappropriate to require the employee to return
o special work circumstances make it desirable that the employee be
retained for an additional period.
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CHAPTER 9: MANAGING OVERSEAS EMPLOYEES
UNIT 1: DIA OVERSEAS EMPLOYEES
DIA civilians will receive differentials and allowances that are appropriate
to their employment conditions. DIA employees reassigned overseas will be
returned to positions in the United States after completion of their overseas
tours. Employees recruited from outside DIA will be afforded reassignment to
Headquarters DIA according to their conditions of employment and needs of the
Agency.
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CHAPTER 9: MANAGING OVERSEAS EMPLOYEES
UNIT 2: DEPENDENTS/FOREIGN NATIONALS
INTRODUCTION:
FINDING HELP
It is often advantageous for DIA to meet staffing needs in
overseas areas by employing qualified individuals already
located in the area. The two major sources of such
employees are dependents of military or civilian personnel
of DoD stationed in the area, and foreign nationals.
IF YOU WANT TO KNOW ABOUT.... GO TO....
o Employment of dependents of
personnel stationed in
foreign areas
o Employment of foreign
nationals in foreign areas
Page 9-8
Page 9-8
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CHAPTER 9: MANAGING OVERSEAS EMPLOYEES
UNIT 2: DEPENDENTS/FOREIGN NATIONALS
EmPlovment of Dependents of Personnel Stationed in Foreign Areas
If qualified dependents of military or civilian personnel of DoD are locally
available for appointment to positions in foreign areas for which recruitment
outside the current work force is appropriate, appointment will be limited to
such dependents unless precluded by treaties or other agreements which provide
for preference being given to local nationals.
Generally, appointments of dependents will not extend:
o longer than 2 months following the transfer from the area, or the
separation, of the appointee's sponsor, or
o beyond the time the employee ceases to be a dependent.
Bmplovment of Foreign Nationals in Foreign Areas
U.S. facilities are normally established in the territory of another nation
under the terms of a treaty or other agreement, which usually contains
provisions on the employment of foreign nationals. These provisions differ
from country to country, but the foreign national employment system must
conform to these general principles:
o Prevailing practicies, local laws, and customs shall be followed in
the employment of foreign nationals when the practices, laws, and
customs are not in conflict with U.S. law and are compatible with the
management needs of DIA.
o Foreign nationals shall be employed as extensively as practicable,
consistent with dependent hire policies and agreements with the host
country, to reduce the need to import workers into the host country.
DIA is responsible for protecting its security. The agreement with the host
government must provide:
o for appropriate investigative requirements for foreign nationals
o that no person will be employed by DIA if the employment is
Inconsistent with the interests of national security.
DIA will release any foreign national who is considered to be a security risk,
but since such a discharge may cause serious labor unrest and grievances,
carefully following procedures is necessary to insure that employees are
fairly treated.
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CHAPTER 9: MANAGING OVERSEAS EMPLOYEES
UNIT 2: DEPENDENTS/FOREIGN NATIONALS
Local nationals shall be accorded employment conditions based on local law and
prevailing practices and customs. These conditions shall be favorable enough
to meet fair standards in the labor market, but not so advantageous as to
create a privileged group within the country, or to disrupt the local labor
market.
OFFICIAL GUIDANCE: DIAR 22-20, DIA Employees in Overseas Areas,
Enclosure 3
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CHAPTER 10: CONCLUDING PERSONNEL ACTIONS
OVERVIEW Those personnel actions which terminate an employee's Federal
service, voluntarily or involuntarily, are an integral part of a
personnel system and an important aspect of a supervisor's
responsiblities. Retirement (see also Chapter 7, Unit 2) and
resignation are the most common concluding personnel actions.
Involuntary termination is comparatively infrequent, but because
adversarial relationships are often involved, such actions
require disproportionate care from managers. Another type of
separation which is very common in the Federal service is
transfer to another agency, which does not affect the employee's
status as a Federal employee but does terminate his/her
employment in DIA.
CHAPTER 10 Chapter 10 contains two units, each of which deals with actions
CONTENTS terminating employment in DIA.
Unit 1: Retirement
- CSRS
- FERS
- Supervisory/managerial responsibilities
Unit 2: Resignation and Termination
- Resignations
- Separation - transfer
- Separation for military service
- Expiration of appointment
- Separation - disability
- Other terminations
- Out-processing requirements
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CHAPTER 10: CONCLUDING PERSONNEL ACTIONS
UNIT 1: RETIREMENT
INTRODUCTION
FINDING HELP
Retirement is a major employee benefit and the most
commonly used separation action among career Federal
employees. Supervisors/managers need to be informed of the
various types of retirement and of their responsibilities
in this regard.
IF YOU WANT TO KNOW ABOUT.... GO TO....
o CSRS Page 10-3
o FERS Page 10-5
o Supervisory/managerial
responsibilities Page 10-5
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CHAPTER 10: CONCLUDING PERSONNEL ACTIONS
UNIT 1: RETIREMENT
CSRS
There are 4 basic types of Civil Service Retirement System retirement for
which DIA employees employed before 1984 are eligible: Optional Retirement,
Discontinued Service Retirement, Disability Retirement, and Deferred
Retirement.
TYPE
ANNUITY
ELIGIBILITY REQUIREMENTS
Optional
o
Immediate
o
o
o
Employed under the Retirement Act
for at least 1 year within the 2-
year period immediately preceding
the separation on which the annuity
is based,
Completion of 5 years of civilian
service, and
Meets certain age and length of
service requirements
- Age 62, or
- Age 60 and 20 years of
creditable service, or
- Age 55 and 30 years of
creditable service.
Discontinued
Service
o
o
Immediate
If employee
o
Involuntarily separated from the
service,
is under age
55, annuity
is reduced
by 1/6 of 1
percent for
each month
o
Employed under the Retirement Act
for at least 1 year within the 2-
year period immediately preceding
the separation on which the annuity
is based,
the employee
is under age
o
Completion of 5 years of civilian
service, and
55.
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CHAPTER 10: CONCLUDING PERSONNEL ACTIONS
UNIT 1: RETIREMENT
TYPE
ANNUITY
ELIGIBILITY REQUIREMENTS
Discontinued
Service
(Cant 'd)
o
Meets certain age and length of
service requirements
- Age 50 and 20 years of
creditable service, or
- Any age and 25 years of
creditable service.
Disability
o
Immediate
o
o
Completion of at least 5 years of
civilian service, and
While employed under the Retirement
Act have become totally disabled
for useful and efficient service
in his/her position or any other
position of the same grade or
class.
Deferred
o
o
Deferred
to age 62
May give
up annuity
by applying
for and
receiving
a refund of
retirement
contribu-
tions
o
o
o
Separated from the service for any
reason, or transferred to a posi-
tion in which he is not under the
Retirement Act, before meeting the
requirements for an immediate
annuity,
Completion of at least 5 years of
civilian service, and
Employed under the Retirement Act
for at least 1 year within the 2-
year period immediately preceding
his/her separation or transfer.
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CHAPTER 10: CONCLUDING PERSONNEL ACTIONS
UNIT 1: RETIREMENT
FERS
Under the FERS there is a variety of entitlements which vary depending on the
date of employment and which present options for the employee's choice. RHR
has full information to assist supervisors in advising employees.
Supervisory/Managerial Responsibilities
In most cases, retirement action is voluntary and initiated by the employee.
In the case of disability retirement, however, the agency may initiate
retirement action if:
o the application is in lieu of removal
o the employee is clearly unable (not simply unwilling) to file for
himself/herself
? the employee has no immediate famly member or some other person who
is responsible for the employee's care and custody to file for
him/her.
Ceremonies for retiring DIA employees may be conducted by the immediate
supervisor, or at a higher level, according to procedures established within
each Directorate/Office. If the retiree does not want a ceremony, the
retirement certificate and plaque can be presented privately or mailed.
On the employee's final workday, the supervisor will insure that the employee
completes the appropriate internal clearance required within his/her
organization. The employee must also be debriefed by security.
OFFICIAL GUIDANCE: DIAR 22-10, Retirement
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CHAPTER 10: CONCLUDING PERSONNEL ACTIONS
UNIT 2: RESIGNATION AND TERMINATION
OVERVIEW
FINDING HELP
In addition to retirement, employees leave DIA employment
by a variety of routes, most voluntary. Such separations
can provide data to help in improving management
practices. All officials will direct their efforts toward
retaining fully qualified employees who are an asset to
DIA. By the same token, involuntary separation is an
option when employees fail to meet DIA standards on a
continuing basis. All separations have security
implications.
IF YOU WANT TO KNOW ABOUT.... GO TO....
o Resignations Page 10-7
o Separation - transfer Page 10-7
o Separation for military service Page 10-7
o Expiration of appointment Page 10-8
o Separation - disability Page 10-8
o Other terminations Page 10-8
o Out-processing requirements Page 10-8
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CHAPTER 10: CONCLUDING PERSONNEL ACTIONS
UNIT 2: RESIGNATION AND TERMINATION
Resignations
An employee who plans to resign will submit a written notice on SF 52 to
his/her supervisor at least 2 weeks before the last day of active duty. Oral
notice is acceptable when written confirmation cannot be obtained from the
employee. In such a case, the manager receiving the oral resignation will
prepare a memorandum to record the resignation.
Supervisors will not refuse to accept a resignation nor attempt to compel the
employee to remain beyond the date specified. Neither will an employee be
requested or advised to resign. A submitted resignation is binding upon the
employee, but he/she may sometimes be permitted to withdraw the resignation
before it becomes effective. RHR, after consulting with the management
official concerned, may decline a request to withdraw a resignation when there
is a valid reason, such as administrative disruption, or the commitment to
hire a replacement. (The fact that adverse action proceedings will have to be
initiated if the employee doesn't resign does not constitute a valid reason.)
The reason must be explained to the employee.
Separation - Transfer
An employee who wishes to transfer to another Federal agency will not be
refused a release. RHR will negotiate with the other agency the date an
employee will leave DIA. Supervisors may request at least 2-weeks notice, or
when necessary, up to 30 days. However, if a period of over 2 weeks would
jeopardize the employee's transfer, the additional time in DIA will not be
required.
Separation for Military Service
Employees with statutory reemployment rights,(i.e., those serving under
Permanent, Conditional or Indefinite appointments) who separate to enter
active duty in the Armed Forces are entitled to reemployment in DIA after
leaving the Armed Forces. To insure these rights, the following steps must be
taken on separation:
o The employee's official position description will be reviewed for
currency and accuracy, and revised, if necessary.
o The official personnel folder and qualification records normally used
for promotion purposes will be retained.
o The employee will be referred to RHR for counseling on reemployment
rights prior to the date of separation.
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CHAPTER 10: CONCLUDING PERSONNEL ACTIONS
UNIT 2: RESIGNATION AND TERMINATION
The effective date of separation for employees entitled to Military Leave will
be the expiration of such leave or any additional annual leave granted. The
effective date of separation of other employees will be the day preceding the
employee's entrance on active duty, or the date on which any approved leave
will expire after entrance on active duty.
Expiration of Appointment
Employees serving under appointments with a time limitation must be terminated
(or have the appointment extended or converted) prior to the date of
expiration.
Separation - Disability
DIA may request a medical examination of an employee when it is believed that
the employee is not performing satisfactorily because of a physical or mental
condition or when an employee's condition constitutes a hazard to others or to
the employee. (See also Chapter 8, Unit 2 and Chapter 10, Unit 1) Such a
request should give full details of performance, conduct, absences, and other
observations relating to the incapacity of the employee. The evidence should
be such that would warrant adverse action procedures if the medical findings
do not support disability retirement. An employee has the right to be
represented during these procedures.
Other Terminations
There are a variety of other terminations, most of which are at least somewhat
adversarial in nature. All require close coordination with RHR in advance.
Out-Processing Reauirements
The objectives of the out-processing procedures are to:
o enable DIA to retain desirable employees and to try to correct
deficiencies that may have been the cause of the separation of an
employee
o obtain a final separation clearance on DIA Form 185, Part B (Outgoing
Clearance Check List for Civilian Personnel) for each employee who
separates from DIA
o inform the separating employee of his/her benefits and obligations,
and
o obtain the return of Government property and any monies owed the
Government.
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CHAPTER 10: CONCLUDING PERSONNEL ACTIONS
UNIT 2: RESIGNATION AND TERMINATION
When a employee informs the supervisor that he/she plans to terminate DIA
employment, the supervisor will discuss the reasons for leaving. Depending on
circumstances, the supervisor will endeavor to make changes necessary to
retain a desirable employee, including possible reassignment. If the employee
cannot be retained, the supervisor will promptly submit a separation personnel
action (SF 52) signed by the employee to RHR.
On receipt of the SF 52, RHR will conduct, where appropriate, a pre-separation
interview to:
o obtain information as to the employee's reason(s) for leaving
o assess desirability of retaining the employee and, where advisable,
suggest reassignment in DIA
o recommend correction of conditions which led to the employee's
dissatisfaction
o brief the departing employee regarding benefits, out-processing and
clearance requirements on the last day of duty
o inform an employee who is paid at a rate equal to or greater than the
minimum rate of GS-13 of the mandatory reporting requirements of
PL91-121 on defense-related employment, and obtain a signed
acknowledgement.
On the employee's final workday, the supervisor will insure that the employee
completes the appropriate internal clearance required within his/her
organization. The employee must report to The Directorate for Security and
Counterintelligence for debriefing from collateral security clearance. All
personnel auhorized access to SI/SAO information must clear with the element
Special Intelligence Contact Officer prior to appearing at the Special
Security Office for debriefing. The employee will be responsible for
obtaining clearances outlined in DIA Form 185, Part B and returning the
complete form to RHR.
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CHAPTER 10: CONCLUDING PERSONNEL ACTIONS
UNIT 2: RESIGNATION AND TERMINATION
If a supervisor learns that an employee in non-duty status is separating
without returning to duty, the supervisor will:
o submit an SF 52 on behalf of the employee;
o secure all Government property known to be in the employee's
posession, including passes/badges and parking permits;
o insure that DIA Form 185, Part B is hand-carried to the offices
specified for clearances and returned to RHR.
o notify the employee to return for appropriate security debriefing;
where return is impossible The Directorate for Security and
Counterintelligence will be notified.
When applicable, RHR will inform the departing employee of the mandatory
reporting requirements on defense-related employment.
OFFICIAL GUIDANCE: DIAR 22-7, Adverse Actions
DIAR 22-13, In-and Out-Processing, Clearance and
Indoctrination of Civilian Personnel
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