DIA PERFORMANCE APPRAISAL SYSTEM

• Document Type: CREST
• Collection: General CIA Records
• Document Number (FOIA) /ESDN (CREST): CIA-RDP90-00530R000501060006-9
• Release Decision: RIFPUB
• Original Classification: K
• Document Page Count: 51
• Document Creation Date: December 27, 2016
• Document Release Date: March 14, 2013
• Sequence Number: 6
• Publication Date: July 1, 1987
• Content Type: MISC

Declassified and Approved For Release 2013/05/14: CIA-RDP90-0053OR000501060006-9
DIAM 22-58
e f eRSe
ntelligence
gency
nual
DIA Performance Appraisal System
July 1987
Declassified and Approved For Release 2013/05/14: CIA-RDP90-0053OR000501060006-9
 Declassified and Approved For Release 2013/05/14: CIA-RDP90-0053OR000501060006-9
DEFENSE INTELLIGENCE AGENCY
MANUAL NO. 22-58
WASHINGTON, DC 20340-0001
24 July 1987
CIVILIAN PERSONNEL
DIA Performance Appraisal System
1. Purpose: To establish a job-related performance
appraisal system for designated employees, compat-
ible with related merit system principles set forth in
Title I of the Civil Service Reform Act of 1978.
2. References:
a. Public Law 95-454, "Civil Service Reform Act
of 1978."
b. DoD Directive 1430.2, "Civilian Career Man-
agement," 13 June 1981.
c. FPM Chapter 351, "Reduction-in-Force."
d. FPM Chapter 451, "Incentive Awards."
e. DoD Instruction 5120.16, "Department of De-
fense Incentive Awards Program: Policies and Stan-
dards," 15 July 1974.
f. DIAR 22-16, "Civilian Awards Program."
g. DIAR 22-30, "DIA Career Ladders."
h. DIA Form 124, "Defense Intelligence Agency
Performance Plan and Appraisal."
i. DIAM 22-58, Supplement 1, "Competencies, Per-
formance Areas, and Standards for Professional In-
telligence Positions."
j. DIAM 22-58, Supplement 2, "Competencies,
Performance Areas, and Standards for Clerical/
Administrative Positions."
k. DIAM 22-58, Supplement 3, "Competencies,
Performance Areas, and Standards for Professional
Support Positions."
1. DIAM 22-58, Supplement 4, "Competencies,
Performance Areas, and Standards for Managerial/
Supervisory Positions."
m. DIAM 22-58, Supplement 5, "Competencies,
Performance Areas, and Standards for Technician
and Wage System Positions."
n. Title 5 USC, Section 5335.
3. Applicability and Scope: The performance ap-
praisal system described in this manual is applicable
to all DIA civilian employees, except Defense Intel-
ligence Senior Executive Service (DISES) positions.
The manual establishes and outlines the system,
which is an integral part of the DIA Civilian Person-
nel Program, and serves as a policy and procedural
guide and reference for appraising performance. It
also provides guidance which augments related per-
sonnel management programs including identifica-
tion of training and career development needs, po-
sition description review, awards, and within-grade
increases.
4. Definitions:
a. Competency. A characteristic of the performer
which contributes to success on the job. These
characteristics are specifically defined in behavioral
terms.
b. Competency and Performance Area Rating. A
specific numeric rating assigned to a competency
or performance area which indicates the degree to
which performance standards were met. The five
ratings are: "1 - Unsatisfactory," "2 - Minimally
Satisfactory," "3 - Fully Successful," "4 - Exceeds
Fully Successful," and "5 - Outstanding."
c. Occupational Group. A major category of posi-
tions within DIA. Each occupational group gener-
ally embraces several series or classes of positions
in associated or related occupations, professions,
or activities. The five occupational groups in DIA
are professional intelligence, professional support,
clerical, technician and wage system, and manage-
rial/supervisory positions.
d. Overall Performance Rating. A summary ad-
jective rating which reflects individual performance
area ratings and the summary competency rating.
There are five overall performance ratings: "Unsat-
isfactory," "Minimally Satisfactory," "Fully Success-
ful," "Exceeds Fully Successful," and "Outstanding."
e. Performance Appraisal. The periodic review,
comparison, and rating of an employee's perform-
ance against the established standards for the com-
petencies and performance areas that are relevant
to the position.
f. Performance Area. A group of related or associ-
ated position elements. If one or more of the related
position elements are a significant duty or respon-
sibility of a particular position, then the employee
will be rated in the performance area.
g. Performance Plan. A written plan indicat-
ing relevant competencies and performance areas
against which an employee's performance will be
evaluated for the appraisal period, using established
performance standards. It is also the appraisal
document.
Declassified and Approved For Release 2013/05/14: CIA-RDP90-0053OR000501060006-9
 Declassified and Approved For Release 2013/05/14: CIA-RDP90-0053OR000501060006-9
DIAM 22-58 24 July 1987
h. Performance Standard. The expressed measure
of level of achievement established for each compe-
tency and performance area; the supervisor's expec-
tation of performance. Illustrative standards have
been established for each competency and perform-
ance area at the Unsatisfactory, Fully Successful,
and Outstanding performance levels for each grade
level within the five occupational groups.
i. Position Element. A component of an em-
ployee's position such as an individual duty or
responsibility. A group of associated position ele-
ments makes up a performance area.
j. Rating Official. The official, normally the im-
mediate supervisor, who is responsible for develop-
ing a performance plan, periodically reviewing per-
formance, and appraising performance against that
plan.
k. Rating Period. The period of time, normally 1
year, for which an employee will be appraised.
1. Reviewing Official. The official who reviews
performance appraisals, normally the second-
echelon supervisor responsible for reviewing per-
14, et
GORDON NEGTJS
Executive Director
formance appraisals rendered by subordinate
supervisors.
m. Summary Competency Rating. The numerical
average derived from the average of the individ-
ual numerical competency ratings and expressed
as an adjective rating of. "Unsatisfactory," "Min-
imally Satisfactory," "Fully Successful," "Exceeds
Fully Successful," or "Outstanding." This rating
becomes a component of the overall performance
rating.
5. Supersession: This manual supersedes the
following:
a. DIAM 22-58, "DIA Performance Appraisal
System," Interim Edition, 1 May 1985.
b. DIAM 22-51, "DIA Job-Based Performance
Appraisal System," 21 January 1983.
c. DIAM 22-3, "Employee Career Appraisal
Program," 19 August 1975.
d. DIAR 22-23, "Within-Grade Pay Increases,"
2 July 1981.
e. DIAM 22-18, "Official Performance Ratings,"
8 September 1977.
Declassified and Approved For Release 2013/05/14: CIA-RDP90-0053OR000501060006-9
 Declassified and Approved For Release 2013/05/14: CIA-RDP90-0053OR000501060006-9
24 July 1987 DIAM 22-58
RECORD OF CHANGES
Change No.
Date Of Change
Signature of Person
Entering Change
Declassified and Approved For Release 2013/05/14: CIA-RDP90-0053OR000501060006-9
 Declassified and Approved For Release 2013/05/14: CIA-RDP90-0053OR000501060006-9
24 duly J. '( DIAM 22-58
TABLE OF CONTENTS
Page
Chapter 1 - INTRODUCTION . . . . . . . . . . . . . . . . . . . . . . . . . . 1
1. System Features . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
2. Policy . . . . . . 1
3. Guides to Assist in Performance Appraisal . . . ... . . . . . . . . . . . . . . 2
Chapter 2 - RESPONSIBILITIES . . . . . . . . . . . . . . . . . . . . . . . . 3
1. Assistant Deputy Director for Human Resources . . . . . . . . . . . . . . . . 3
2. Rating Officials . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
3. Employees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
4. Reviewing Officials . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
Chapter 3 - PERFORMANCE PLANNING . . . . . . . . . . . . . . . . . . . . 5
1. General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
2. The Performance Plan . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
3. Competencies, Performance Areas, and Standards . . . . . . . . . . . . . . 6
Chapter 4 - PERFORMANCE APPRAISAL . . . . . . . . . . . . . . . . . . . . 9
1. General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
2. Responsibility for Appraisals . . . . . . . . . . . . . . . . . . . . . . . . . 9
3. The Appraisal Cycle . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
4. Performance Planning and Appraisal Process . . . . . . . . . . . . . . . . . 9
5. Special Appraisals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
6. Performance Ratings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
7. Minimally Satisfactory and Unsatisfoctory Ratings . . . . . . . . . . . . . . 11
8. Request for Reconsideration of Rating . . . . . . . . . . . . . . . . . . . . 12
9. Reduction-in-Force . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12
Chapter 5 - RECOGNITION . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
1. Policy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
2. Reinforcing Exceptionally High Performance . . . . . . . . . . . . . . . . . 13
3. Procedures for Monetary Recognition . . . . . . . . . . . . . . . . . . . . . 13
4. Monetary Recognition for Exemplary Performance . . . . . . . . . . . . 14
Chapter 6 - WITHIN GRADE PAY INCREASES . . . . . . . . . . . . . . . . . . 15
1. Policy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
2. Definitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
3. Eligibility . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
4. Waiting Periods . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
5. Granting of Within-Grade Increases . . . . . . . . . . . . . . . . . . . 15
6. Creditable Service . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16
7. Noncreditable Service . . . . . . . . . . . . . . . . . . . . . . . . . . 16
8. Equivalent Increases . . . . . . . . . . . . . . . . . . . . . . . 16
9. Requests for Reconsideration . . . . . . . . . . . . . . . . . 17
10. Effective Date . . . . . . . . . . . . . 17
Chapter 7 - DOCUMENTATION AND EVALUATION . . . . . . . . . . 19
1. Records Maintenance . . . . . . . . . . . . . . . . . . . . 19
2. Program Evaluation . . 19
Enclosure 1 - A Step-by-Step Guide for Performance Planning and Appraisal 21
Enclosure 2 - A Guide to Effective Performance Appraisal in DIA . . . . . . . . . 33
Declassified and Approved For Release 2013/05/14: CIA-RDP90-0053OR000501060006-9
 Declassified and Approved For Release 2013/05/14: CIA-RDP90-0053OR000501060006-9
24 July 1987 DIAM 22-58
Chapter 1
INTRODUCTION
1. System Features:
a. The performance appraisal system described
in this manual is designed to provide an appraisal
process that is meaningful and useful to supervisors
and subordinates. It is a system tailored to the
Agency's needs and developed with the coopera-
tion and input of Agency employees and managers.
The system, which is compatible with merit system
principles, incorporates contemporary ideas and
methods in performance appraisal. It provides for
appraising total performance by appraising com-
petencies (i.e., characteristics which lead to job
success) and performance areas (i.e., groups of re-
lated or associated position elements) thereby in-
troducing an important degree of flexibility and
subjectivity while retaining job-relatedness.
b. Job-based competencies, performance areas,
and standards have been developed for five occupa-
tional groups, including professional intelligence,
professional support, clerical/administrative, tech-
nician and wage system, and managerial/supervisory
positions. The established competencies, perform-
ance areas, and standards are designed to assist
and guide the supervisor and employee through the
performance planning and appraisal process.
c. The appraisal system requires formal perform-
ance planning. The employee's performance is
measured against established, job-related standards
which must be communicated to the employee. Per-
formance is appraised in terms of the competen-
cies and performance areas chosen for the position.
Competencies, performance areas, and standards
are to be identified by the supervisor with the partic-
ipation of the employee and will be documented in
a written performance plan. Performance planning
also requires periodic discussions with the employee
about performance and adjustment in the perform-
ance plan as needed.
d. Overall performance ratings are established
at five levels under this system. The levels are:
Unsatisfactory, Minimally Satisfactory, Fully Suc-
cessful, Exceeds Fully Successful, and Outstanding.
Overall ratings are derived from the supervisor's
evaluation of the employee's performance on each
competency and performance area of the position
(i.e., the extent to which performance standards
were satisfied, exceeded, or not satisfied).
e. This system provides for an annual appraisal
accomplished under a time-phased schedule outlined
in this manual.
2. Policy:
a. Embodied in the merit system principles set
forth in the Civil Service Reform Act of 1978, Pub-
lic Law 95-454, are the principles that "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."
b. It is the policy of the DIA to establish a per-
formance appraisal system which:
(1) Provides for periodic appraisals of employee
job performance.
(2) Encourages employee participation in estab-
lishing performance standards.
(3) Uses the results of the performance appraisals
as the basis for within-grade increases and as
input for training, rewarding, reassigning, promot-
ing, reducing in grade, retaining, and removing
employees.
c. The performance appraisal system will provide
for:
(1) Establishing performance standards which
will, to the maximum extent feasible, permit the
accurate evaluation of job performance on the basis
of criteria related to the position in question.
(2) Communicating to each employee at the be-
ginning of the appraisal period the standards, com-
petencies, and performance areas of the employee's
position.
(3) Evaluating and periodically reviewing each
employee's performance during the appraisal period
on the basis of such standards.
(4) Recognizing and rewarding employees whose
performance so warrants.
(5) Assisting employees in attaining at least Fully
Successful performance levels.
(6) Withholding within-grade increases, reassign-
ing, reducing in grade, or removing employees who
fail to attain Fully Successful performance levels.
Declassified and Approved For Release 2013/05/14: CIA-RDP90-0053OR000501060006-9
 Declassified and Approved For Release 2013/05/14: CIA-RDP90-0053OR000501060006-9
DIAM 22-58 24 July 1987
d. DIA line managers are responsible for carry-
ing out these policies, using the detailed procedures
found in subsequent chapters. Effectiveness in meet-
ing this responsibility will be a factor on which
their own performance will be evaluated.
e. The performance appraisal system will be eval-
uated periodically for effectiveness and refined as
appropriate.
3. Guides to Assist in Performance Appraisal:
Two guides designed to provide additional assis-
tance in conducting a performance appraisal are
appended to this manual. Enclosure 1, "A Step-
by-Step Guide for Performance Planning and Ap-
praisal," fully explains how to complete the perfor-
mance planning and appraisal process. Enclosure
2, "A Guide to Effective Performance Appraisal in
DIA," presents various suggestions, guidelines, and
job aids to use during the appraisal cycle.
Declassified and Approved For Release 2013/05/14: CIA-RDP90-0053OR000501060006-9
 Declassified and Approved For Release 2013/05/14: CIA-RDP90-0053OR000501060006-9
24 July 1987 DIAM 22-58
Chapter 2
RESPONSIBILITIES
1. Assistant Deputy Director for Human Re-
sources: The Assistant Deputy Director for Human
Resources (RHR) is responsible for the overall de-
velopment, implementation, and management of the
program. In executing these responsibilities, RHR
will:
a. Inform supervisors and employees about the
program.
b. Provide for training of program participants
as required.
c. Evaluate the program periodically.
d. Provide guidance and assistance to line man-
agers in implementation and operation of the
program.
e. Process, record, and maintain a file of perfor-
mance appraisals.
f. Process award recommendations for approval
at the appropriate level.
g. Process within-grade increases based on per-
formance appraisals on file.
2. Rating Officials: Rating officials will:
a. 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.
b. Revise performance plans in consultation with
employee, as necessary, during the rating period,
c. Prepare and maintain an accurate position de-
scription for each employee and certify the accuracy
of the description annually.
d. Keep cognizant of employees' performance and
inform employees of specific areas in which improve-
ment is needed and the manner in which it can be
made.
e. Discuss with and counsel subordinates on
training needs directed toward development and
career advancement.
f. Recommend awards and other appropriate in-
centives for employees whose work is significantly
above and beyond performance requirements, and
ensure that employees are eligible for recommended
awards.
g. Render a timely annual appraisal of each em-
ployee's performance.
h. Coordinate appraisal and award recommenda-
tions with higher level management, as appropriate,
to resolve differences.
i. Provide a copy of the final appraisal to the
employee.
j. Take or propose corrective or adverse action,
as appropriate, for employees whose performance is
below established standards.
3. Employees: Employees will:
a. Participate with management to identify com-
petencies, performance areas, and standards.
b. Advise supervisors of the possible need for
revision of performance plans during the rating
period.
c. Participate in the appraisal interview and pe-
riodic feedback interviews.
d. Comment on and/or request reconsideration in
writing through the chain of command if significant
disagreement exists on the final appraisal.
4. Reviewing Officials: Reviewing officials will:
a. Ensure that the rating officials under their
supervision are familiar with the program.
b. Ensure that the performance expectations/
requirements of each position are realistic, fair,
and reasonable in relation to other positions in
the reviewing official's area of responsibility, and
that they reflect organizational priorities, goals,
and objectives.
c. Review performance appraisals and award rec-
ommendations for thoroughness, objectivity, sound-
ness, and documentation. Adjust nonconcurring
ratings, as appropriate, and provide justification as
necessary.
d. Periodically evaluate subordinate supervisors
in the execution of their responsibilities under the
performance appraisal program.
e. Provide reconsideration of an appraisal if re-
quested in writing.
Declassified and Approved For Release 2013/05/14: CIA-RDP90-0053OR000501060006-9
 Declassified and Approved For Release 2013/05/14: CIA-RDP90-00530R000501060006-9
24 July 1987 DIAM 22-58
Chapter 3
PERFORMANCE PLANNING
1. General: The performance appraisal program re-
quires performance planning by the supervisor, with
the employee actively participating in the
process. Planning includes initially defining the
employee's position in terms of competencies,
performance areas, and established standards of per-
formance. It also includes periodic reviews of per-
formance during the rating period and adjustment
of competencies, performance areas, and standards
as necessary. Planning, through employee/super-
visor interaction and dialogue, periodic reviews,
and feedback, fosters a continuing awareness of
actual performance, expectations, developmental
needs, and possible need for corrective action. These
open lines of communication between employee and
supervisor serve to reinforce good performance and
to allow for timely redirection of poor performance.
2. The Performance Plan:
a. DIA Form 124 (DIA Performance Plan and Ap-
praisal) is the document used during the appraisal
period to record competencies and performance ar-
eas for an employee. It is also the appraisal docu-
ment on which actual performance is recorded.
b. The plan will be used to:
(1) Document relevant competencies and per-
formance areas.
(2) Document changes to competencies and per-
formance areas.
(3) Reference relevant performance standards for
the employee.
(4) Track performance during the year.
(5) Indicate specific steps the employee may need
to take to improve performance, including training.
(6) Document performance.
(7) Document review of appraisal and recommen-
dation/approval of awards.
(8) Document annual position description review
and certification.
c. Employee Participation. Employees will partic-
ipate in the development of their own performance
plans. Supervisors should meet privately with each
subordinate at the beginning of the rating period
and formally discuss relevant competencies, per-
formance areas, and standards. It is acceptable
for the supervisor or employee to develop a draft
performance plan which they then jointly review
and discuss. The supervisor must discuss the plan
with the employee and consider any adjustments
suggested by the employee. The employee and su-
pervisor must sign and date Sections C and D of
DIA Form 124 to indicate that the competencies,
performance areas, and standards have been re-
viewed. This does not indicate agreement with the
competencies, performance areas, and standards,
but merely documents the fact that they have been
communicated to the employee. If an employee ob-
jects to the performance plan, the supervisor should
try to resolve any differences through discussion.
If resolution cannot be reached, the matter should
be referred to the reviewing official. The decision
of the reviewing official is final. When the plan is
completed, the employee is given a copy, and the
supervisor retains the original. At the end of the
rating period, the original will be forwarded to RHR
with the employee's annual appraisal.
d. Performance Plan Revision. A performance
plan may be changed for any reason management
determines to be valid. For example, there might
be a change in organizational priorities, available
resources, duties, or details signaling that a new
competency or performance area is relevant. Any
change should be discussed thoroughly with the em-
ployee. The supervisor is responsible for ensuring
that the employee understands the reason for the
change, the nature of the change, and the implica-
tions for expected future performance. Any differ-
ences concerning revisions made to the performance
plan should be resolved through discussion with the
employee and, if necessary, referred to the next level
of supervision. All changes must be documented in
Sections C and/or D of DIA 124, initialed, and dated
by the supervisor and employee in the appropriate
box. Changes must be recorded when they occur
or as soon thereafter as operational considerations
permit.
e. Review of Performance Plans.
(1) Reviewing officials shall review the perfor-
mance plans of their immediate subordinate line
managers, and may review the plans of all of their
subordinate employees. This should occur at the
beginning of the rating period.
Declassified and Approved For Release 2013/05/14: CIA-RDP90-00530R000501060006-9
 Declassified and Approved For Release 2013/05/14: CIA-RDP90-00530R000501060006-9
DIAM zz-58 24 July 1987
(2) The review may be accomplished by the re-
viewing official personally, in consultation with sub-
ordinates, or by using an ad hoc review board estab-
lished by the official or higher authority.
(3) The purpose of this review will be:
(a) To ensure consistency among similar jobs.
(b) To review the distribution and priority of
work implied by the performance area in terms of
likely impact upon the accomplishment of organiza-
tion goals and priorities.
(c) To ensure that appropriate consideration
has been given to resources available and that au-
thority has been delegated to meet the requirements
of the job.
(d) To ensure consistency between the compe-
tencies, performance areas, standards, and organi-
zational function statements, as well as with the
official position descriptions.
(e) To ensure compliance with the provisions
and intent of this manual.
3. Competencies, Performance Areas, and
Standards:
a. Development of Competencies, Performance Ar-
eas, and Standards.
(1) Job-based competencies, performance areas,
and standards have been developed for five occupa-
tional groups within DIA, and were obtained
through a process which relied on gathering exten-
sive data from job incumbents and their supervisors.
All units, grade levels, and positions were repre-
sented in the process. The competencies, perform-
ance areas, and standards for each occupational
group were reviewed and edited by management.
(2) The specific competencies, performance ar-
eas, 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
occupational group in which the position falls. A
listing of the five occupational groups and related
series within each group is provided in attachment
1 of enclosure 1.
b. Competencies.
(1) Competencies are characteristics, such as in-
terpersonal skill, attention to detail, or analytical
ability, which contribute to job success. The key
features of competencies developed in the DIA are
that they are directly related to job success and are
behaviorally defined.
(2) Each occupational group has a set of Gore
Competencies. These competencies were found to
apply to all employees in an occupational group and
must be used in the appraisal process. A competency
rating is given for each.
(3) A list of Supplemental Competencies was de-
veloped for each occupational group. Any one of
these competencies may or may not apply to a spe-
cific position for the purposes of rating. The combi-
nation of core and supplemental competencies for a
particular employee is comprehensive and describes
an entire position.
c. Performance Areas.
(1) A performance area is a major category of
work that forms a significant enough part of a
position to require a performance rating. Areas
are comprised of a group of associated or related
position elements. An element is a significant duty
or responsibility of a position. Examples of per-
formance areas are "Representing the Organization"
and "Intelligence Production." Generally, employees
in a particular position will perform some, not all,
of the elements within an area. If a particular
employee performs one or more elements as a sig-
nificant part of his or her job, a rating will be given
on the performance area containing those elements.
The area, therefore, rather than single elements, is
rated.
(2) The exact number of performance areas that
apply to a particular position will vary depending
on factors such as the scope and complexity of the
job and the level of detail at which the manager
chooses to define the job. Generally, the number of
areas should not be so few that adequate appraisal
of performance of the total position is hampered.
Neither should there be so many areas that the po-
sition is unduly fragmented and performance plan-
ning becomes unmanageable. It also is logical that
similar jobs should have approximately the same
number and type of performance areas.
d. Standards for Competencies and Performance
Areas.
(1) Standards are the means by which one mea-
sures the level of achievement specified for each
competency and performance area. They are behav-
ioral criteria of the quality, quantity, or timeliness
requirements for each competency and performance
area. Examples of standards for a competency and
performance area are depicted below:
Competency Standard
Interpersonal Skill Cultivates contacts with
peers to get timely infor-
mation or resolve issues.
Declassified and Approved For Release 2013/05/14: CIA-RDP90-00530R000501060006-9
 Declassified and Approved For Release 2013/05/14: CIA-RDP90-00530R000501060006-9
24 July 1987 DIAM 22-58
Performance Area
Research and Analysis Fully exploits all avail-
able sources of informa-
tion for research.
(2) Standards for each competency and perform-
ance area have been established at three of the five
possible levels of performance (Outstanding, Fully
Successful, and Unsatisfactory). The standards are
meant as examples of performance at the level in-
dicated. The standards are not meant to be exhaus-
tive, but rather illustrative of performance at each
performance level. They describe typical behaviors
which an individual would have to exhibit routinely
in order to warrant being rated at that level. Thus,
the standards provide benchmarks of performance
that will guide the supervisor in making rating
judgments.
(3) Additional standards may be written by a
supervisor for any competency or performance area
at any performance level. Instructions and forms
for writing additional standards appear in enclosure
1 (A Step-by-Step Guide for Performance Planning
and Appraisal) of this manual.
Declassified and Approved For Release 2013/05/14: CIA-RDP90-00530R000501060006-9
 Declassified and Approved For Release 2013/05/14: CIA-RDP90-0053OR000501060006-9
24 July 1987 DIAM 22-58
Chapter 4
PERFORMANCE APPRAISAL
1. General: Appraisal of employee performance,
like performance planning discussed in the preced-
ing chapter, is a continual process. It is important
that employees are kept informed of their per-
formance in relation to the competencies, per-
formance areas, and standards cooperatively
established for their positions. Periodic reviews pro-
vide for reinforcement of good performance or cor-
rection of poor performance, and redirection when
objectives change during the rating period. This
chapter discusses performance appraisal in detail.
2. Responsibility for Appraisals:
a. The employee's immediate supervisor normally
is responsible for appraising performance.
b. Employees are to be rated at least annually. It
is important for purposes of morale, personnel man-
agement, employee benefits, within-grade increases,
and career development that employees receive ac-
curate and timely performance appraisals. On those
rare occasions when a supervisor fails to rate an
employee due to unforeseen circumstances or negli-
gence, the responsibility to rate the employee will
rest on the next-level supervisor. Managers at suc-
cessive levels must assure effective performance of
subordinate managers in performance planning and
appraisal. Performance appraisal is an on-going
management responsibility, not merely a once-a-
year event.
c. Request for Extension.
(1) When an employee has not been subject to
this appraisal system for at least 120 days prior to
the end of the rating period, the rating supervisor
will request an extension of the rating period not to
exceed 120 days.
(2) When an employee has been under the ob-
servation of the rating supervisor less than 120
days prior to the end of the rating period, and the
supervisor feels unable to render a rating because
of a lack of opportunity to observe performance, he
or she may request an extension of the rating period
not to exceed 120 days.
(3) The appraisal period may be extended for 90
days, pending the decision on a proposed adverse
action against an employee or for the completion
of a 90-day warning period given an employee for
a possible "Unsatisfactory" or "Minimally Satisfac-
tory" overall rating. Within grade increases will not
be processed during this period.
(4) Requests for extensions must be submitted
promptly in writing with supporting justification to
RHR-4.
(5) Extensions for any combination of reasons
will not exceed 120 days, and will not alter the
scheduled rating date for subsequent appraisals.
3. The Appraisal Cycle:
a. The annual performance appraisal period for
major groups of employees will be staggered as
follows:
Professional Intelligence 1 July - 30 June
Positions
Managerial/Supervisory 1 October - 30 September
Positions
Professional Support 1 April - 31 March
Positions
Clerical/Administrative 1 January - 31 December
Positions
Technician and Wage 1 January - 31 December
System Positions
b. Appraisals must be submitted by the rating
official to the reviewing official no later than 5 work-
days 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 RHR-4.
Employee requests for reconsideration must be sub-
mitted within 5 workdays following the feedback in-
terview in accordance with the procedures outlined
in Section 8 of this chapter.
4. Performance Planning and Appraisal
Process:
a. Appraisal of performance is very closely inte-
grated with performance planning. While the em-
ployee is not given a formal overall rating until the
end of the rating period, it is impossible to discuss
progress or adjustments without discussing per-
formance. When this is accomplished conscien-
tiously during the year, there should be no
surprises" at the end of the rating period.
b. The planning and appraisal process consists of
the following major steps:
(1) Selection of Relevant Competencies, Per-
formance Areas, and Standards.
Declassified and Approved For Release 2013/05/14: CIA-RDP90-0053OR000501060006-9
 Declassified and Approved For Release 2013/05/14: CIA-RDP90-00530R000501060006-9
DIAM 22-58 24 July 1987
(2) Initial Interview.
(3) Periodic Review.
(4) Appraisal Interview.
(5) Reviewing Official's Action.
(6) Feedback. These steps are outlined in En-
closure 1, (A Step-By-Step Guide for Performance
Planning and Appraisal).
5. Special Appraisals:
a. Entrance Ratings. A "Fully Successful" offi-
cial performance rating will be assigned adminis-
tratively by the Directorate for Human Resources
when an employee is first appointed or on the effec-
tive date that he or she is moved permanently to a
different line of work or grade level. When the DIA
employee has a current "Exceeds Fully Successful"
or "Outstanding" rating and the positions from and
to which he or she is assigned are in the same
competitive level or when his or her position is
reclassified at the same grade with no change in the
duties, the rating will remain in effect until a new
annual or special rating is assigned.
b. Departure of Rating Official. When the rating
official departs during the appraisal period, the em-
ployee's performance plan must be passed to the new
supervisor.
c. Detail and/or Rotational Assignment. When
an employee subject to this appraisal system has
been on detail or rotational assignment to another
position either within DIA or outside the Agency
during the rating period or is on detail or rotational
assignment at the end of the rating period, the
parent supervisor will render the annual appraisal.
The detail duties will be documented in the per-
formance plan and reflected in the appraisal. This
can be accomplished by obtaining a memorandum
from the employee's temporary supervisor outlining
competencies, performance areas, standards, and.
performance.
d. Training. Long-term training, associated with
a planned development program may extend over
most of the annual rating period. In these cases,
if the employee has not performed the duties of
his/her position for at least 120 days during the
rating period, an overall performance rating iden-
tical to his/her previous rating of record will be
administratively assigned.
e. Upon Request. Special appraisals may be ini-
tiated by the supervisor or requested by the Di-
rectorate for Human Resources to meet specific re-
quirements such as the following:
(1) When an employee is being considered for
conversion to a career appointment or for promo-
tion and there is no current appraisal on file.
(2) When there is a significant change in per-
formance that would impact on the granting of a
within-grade increase (see Chapter 6).
(3) To validate the adequacy of the selection or
assignment of a new employee to the Agency and
to follow up on his/her progress. Although the
selection of an employee is based on meeting speci-
fied Agency qualification requirements, it does not
assure that the employee will perform satisfactorily.
Therefore, a special appraisal prepared by the super-
visor 120 days after the new employee is in position
may be requested to determine whether he or she is
capable of meeting the basic job and performance
requirements. This appraisal should provide mo-
tivation and identify training or other assistance
that might be needed to develop a productive and
satisfied employee.
(4) To document adverse actions.
6. Performance Ratings:
a. Employees will be evaluated based on a com-
parison of their performance with the standards
established for each competency and performance
area of their positions. The evaluation process will
result in a rating of each designated competency
and performance area identified in the planning
phase, and an overall rating derived from a compos-
ite of the summary competency and individual per-
formance area ratings. These ratings are explained
below
b. Definition of Ratings. The following numeric
ratings and definitions will apply for each per-
formance level.
5 - Outstanding: Performance in relation to
the established standards consistently far exceeds
that normally expected by the supervisor of an em-
ployee at the experience and grade level of the ratee,
and is of such quality that it only could be achieved
by the most exceptional employee.
4 - Exceeds Fully Successful: Performance in
relation to the established standards exceeds that
normally expected by the supervisor of an employee
at the experience and grade level of the ratee.
3 - Fully Successful: Performance in relation
to the established standards fully meets that nor-
mally expected by the supervisor of an employee at
the experience and grade level of the ratee.
2 - Minimally Satisfactory: Performance in
relation to the established standards is less than
Declassified and Approved For Release 2013/05/14: CIA-RDP90-00530R000501060006-9
 Declassified and Approved For Release 2013/05/14: CIA-RDP90-0053OR000501060006-9
24 o wy i,o i Luuvi 22-58
that normally expected of an employee at the ex-
perience and grade level of the ratee.
1 - Unsatisfactory: Performance in relation
to the established performance standard is clearly
unacceptable for an employee at the experience and
grade level of the ratee.
c. Competency and Performance Area Rating.
Each competency and performance area must have
one or more performance standards which represent
each of the following three levels of performance:
Outstanding, Fully Successful, and Unsatisfactory.
Supervisors must determine the extent to which the
employee's performance satisfies the standards. One
of the numeric ratings is then entered on DIA Form
124, Sections C and D, Part 2.a., to represent the
rating for each competency and performance area.
5 - Outstanding
4 - Exceeds Fully Successful
3 - Fully Successful
2 - Minimally Satisfactory
1 - Unsatisfactory
d. Summary Adjective Rating of Competencies.
The summary rating of competencies is the adjec-
tive rating closest to the average numerical score
for all individual competency ratings. The average
competency rating is computed by dividing the sum
of all competency ratings by the number of com-
petencies rated. The summary competency rating
is then determined by using the following scale
to translate the average rating into the adjective
rating:
Outstanding
4.5 and over
Exceeds Fully Successful
3.5 to 4.4
Fully Successful
2.5 to 3.4
Minimally Satisfactory
1.5 to 2.4
Unsatisfactory
1.4 and below
e. Overall Adjective Performance Rating. This
rating describes the overall performance of the em-
ployee and is determined from a composite of the
summary rating of competencies and the individual
performance area ratings. The overall rating is
entered on DIA Form 124, Section B, Part l.a.
7. Minimally Satisfactory and Unsatisfactory
Ratings:
a. Before an overall rating of Minimally Satisfac-
tory or Unsatisfactory is assigned, the supervisor
must give the employee a written 90-day warning
letter, planned assistance, and a reasonable oppor-
tunity after the warning to demonstrate satisfactory
performance.
b. The warning letter will inform the employee
specifically:
(1) How performance fails to meet the require-
ments for the position.
(2) How performance may be improved.
(3) What efforts will be made to assist and/or
train the employee in improving performance.
(4) That the employee has 90 days to bring about
the improvement.
(5) That any within grade increase that is due
will be withheld until performance improves to the
Fully Successful level.
(6) That an overall rating of Minimally Satisfac-
tory or Unsatisfactory will be rendered if perform-
ance does not improve to meet requirements, and
that he/she cannot receive a within grade increase
with a rating of less than Fully Successful.
(7) That if the necessary improvement is made,
a Fully Successful rating will be rendered and the
warning letter will not be retained in the Official
Personnel Folder.
c. The supervisor will prepare and issue the warn-
ing notice when such action is appropriate and
after consultation and coordination with a higher
level supervisor and the Directorate for Human Re-
sources Civilian Employee/Management Relations
Division (RHR-4). The original of the signed warn-
ing letter will be given to the employee, one copy
will be retained by the supervisor, and one copy
will be forwarded to RHR-4 to be filed in the Official
Personnel Folder.
d. If the employee's performance improves suffi-
ciently within 90 days to warrant a Fully Successful
rating, the supervisor will complete the appraisal
form reflecting a Fully Successful rating. Upon re-
ceipt of DIA Form 124 by the Directorate for Human
Resources office, the warning notice will be removed
from the Official Personnel Folder and destroyed. If
a within-grade increase was being withheld due to
less than Fully Successful performance, it will be
processed at the beginning of the first pay period
following receipt of the DIA Form 124 by RHR-4.
e. If the employee's performance does not im-
prove sufficiently within the 90 days to warrant a
rating of Fully Successful, the immediate supervi-
sor, after consultation with the appropriate higher
level supervisor and obtaining the coordination of
RHR, will deliver to the employee the written notice
of Minimally Satisfactory or Unsatisfactory rating
that was previously withheld. This will be followed
by appropriate management action, which may in-
Declassified and Approved For Release 2013/05/14: CIA-RDP90-0053OR000501060006-9
 Declassified and Approved For Release 2013/05/14: CIA-RDP90-00530R000501060006-9
DIAM 22-58 24 July 1987
clude mandatory training, reassignment, or adverse
action in accordance with DIAR 22-7, "Separation,
Suspensions, and Other Adverse Actions."
8. Request for Reconsideration of Rating:
a. Employees who are dissatisfied with the over-
all rating or ratings on one or more competencies
and/or performance areas may request a reconsider-
ation of the rating(s) in accordance with provisions
of this paragraph which supersede provisions of
DIAR 22-12, "Grievance Procedures."
b. An employee will request reconsideration by
the reviewing official in writing within 5 work-
days after receipt of the rating. The reviewing
official should respond within 5 workdays, but in
no case later than 10 workdays after receipt of
such a request. A response which summarizes the
employee's request, consideration accorded it, and
the conclusion reached must be in writing.
c. If the employee is dissatisfied with the review-
ing official's response or fails to receive a response
within the specified timeframe, he/she may, within
5 working days, petition the Directorate Head or
Chief of Special Office for a final review. This
petition must:
(1) Be written.
(2) State the specific ratings on competencies
and/or performance areas challenged.
(3) State the remedy sought.
(4) Include any available evidence to support the
petition.
d. The Directorate Head or Chief of Special Of-
fice may assign an employee to act as a factfinder
and to make a recommendation; still, a written
decision must be issued within 15 workdays of the
receipt of the petition. This will be the final Agency
decision which is not subject to further administra-
tive appeal or review
e. In cases where the Directorate Head or Chief
of Special Office is the rater or reviewer, the Ex-
ecutive Director (ED) will render a final review
according to c. and d. above. Should the ED be the
rater or reviewer, the Director will render a final
review according to c. and d. above.
f. Employees and supervisors should consult with
a representative of the Directorate for Human Re-
sources, Employee/Management Relations Division,
RHR-4, for guidance in applying the provisions of
this paragraph.
9. Reduction-in-Force:
a. If a retention register is developed due to a
reduction-in-force (RIF), an employee is entitled to
receive extra service credit for performance rat-
ings based on the mathematical average of the em-
ployee's last three annual performance ratings of
record received during the 3-year period prior to the
date of issuance of a specific RIF notice as follows:
(1) Twenty additional years of service credit for
an average rating of Outstanding (4.5 - 5.0); or
(2) Sixteen additional years of service credit for
an average rating of Exceeds Fully Successful (3.5 -
4.4); or
(3) Twelve additional years of service credit for
an average rating of Fully Successful (2.5 - 3.4).
b. Service credit for employees who do not have
three actual performance ratings of record during
the 3-year period prior to the date of the specific
RIF notice will be determined in accordance with
the Office of Personnel Management requirements.
Declassified and Approved For Release 2013/05/14: CIA-RDP90-00530R000501060006-9
 Declassified and Approved For Release 2013/05/14: CIA-RDP90-0053OR000501060006-9
24 July 1987 DIAM 22-58
Chapter 5
RECOGNITION
1. Policy: It is DIA policy that employees should be
assisted in attaining Fully Successful performance
and recognized for exceptionally high performance.
The results of performance appraisal will be the
basis for granting of within-grade increases and may
be used as input for training, rewarding, reassign-
ing, promoting, reducing in grade, retaining, and
removing employees.
2. Reinforcing Exceptionally High
Performance:
a. In many instances of exceptionally high per-
formance, the most important tool available to the
supervisor to reinforce that high level is communi-
cation. All people like to hear good things about
themselves. The appraisal interview can be a time
for recounting successes over the past year that
might not have been commented upon at the time
they occurred due to the press of other activities.
There is really no substitute for the supervisor
telling an employee, face to face, that his/her per-
formance is exceptional.
b. In some instances, the performance may
be so exceptional that the supervisor feels
further recognition is also needed. An initial con-
sideration at this point should be whether the em-
ployee is in a career ladder where a promotion
is anticipated within the next few years. If that
is the case, the future promotion itself serves as
further recognition of the exceptional performance.
A developmental assignment (such as nomination
for attendance at the National War College) which
would enhance promotional opportunities in the
long term would also serve to reinforce the excep-
tional performance.
c. In other instances, where none of these forms
of recognition are applicable to the exceptional per-
former, monetary recognition may be considered.
Not more than one monetary performance-based
award, i.e., Quality Salary Increase (QSI) or Sus-
tained Superior Performance (SSP), may be granted
within a 24-month period from the closing date of
the performance period upon which the last QSI
or SSP was based. There is no requirement that
performance rated at a certain level be recognized
financially. An overall performance rating of Fully
Successful, Exceeds Fully Successful, or Outstand-,
ing would permit the supervisor to recommend a
performance award.
3. Procedures for Monetary Recognition:
a. Types of Recognition. For performance that is
so far above what is normally expected that formal
documentation and communication of that per-
formance is not of itself sufficient recognition,
supervisors may recommend one of two forms of
monetary recognition - a pay action in the form
of a QSI, or a performance-based cash award in the
form of a SSP award.
b. Initiation and Review. Recommendations
for recognition will be initiated by the em-
ployee's immediate supervisor or other manager (in
conjunction with the immediate supervisor) having
direct knowledge of the employee's performance.
c. Documentation and Justification.
(1) The performance appraisal will serve as jus-
tification for a QSI or SSP.
(2) The employee's rating official should indicate
the recognition recommended, if any, on DIA Form
124, Section B, Part 1.b.
(3) The reviewing official may concur, noncon-
cur, or indicate an alternative to the recommended
recognition in DIA Form 124, Section B, Part 2.b.
Space for related comments by the reviewing official
is provided in Section B, Part 2.c.
(4) The official recommending an award must
ensure that the comments on DIA Form 124 support
the award. The justification description on DIA
Form 124 should be used and may be supplemented
with additional comments in Section E, Part l.a. of
the form if necessary. Statements of justification
should be brief and factual, and emphasize results
achieved which show how the established standards
of performance have been exceeded.
(5) Detailed criteria for the QSI and SSP are
outlined in DIAR 22-16.
d. Approval. Signature on the appraisal form
by the rating and reviewing official will normally
constitute approval of the QSI or SSP. Directorates
may, however, establish internal procedures for re-
view of QSIs and SSPs prior to signature by the
reviewing official. Recognition also is subject to
administrative review by the Directorate for Human
Resources official.
Declassified and Approved For Release 2013/05/14: CIA-RDP90-0053OR000501060006-9
 Declassified and Approved For Release 2013/05/14: CIA-RDP90-00530R000501060006-9
DIAM 22-58 24 July 1987
4. Monetary Recognition for Exemplary
Performance: In rare situations, an employee may
exhibit continued exemplary performance that far
exceeds the standards established for the position at
the grade level to which assigned. For performance
that is consistently outstanding, a recommendation
for an "Exemplary Performance Award" may be ini-
tiated by the rating official by adding the Award
to DIA Form 124, Section B, Part 1b. using the
following guidelines:
a. The employee must have been at the same
grade level for the last 3 years.
b. The employee's last two performance ratings
and the current rating being assigned must be Out-
standing.
c. No more than 2 percent of each performance
appraisal group in the Deputy Directorate may re-
ceive this award during any 1-year period. All Spe-
cial Offices reporting to the ED will be equivalent
to a Deputy Directorate for computing the 2
percent.
d. The monetary value of this award, which
is administratively reviewed and processed
identically to a QSI, is equal to two QSIs.. The pro-
cedures in paragraph 3. above should be followed
for the documentation, justification, and approval
for this award except that all recommendations for
an "Exemplary Performance Award" must be ap-
proved by the appropriate Deputy Director for or
the Executive Director. The appropriate signature
block should be added to DIA Form 124, Section B,
Part 2.d.
Declassified and Approved For Release 2013/05/14: CIA-RDP90-00530R000501060006-9
 Declassified and Approved For Release 2013/05/14: CIA-RDP90-0053OR000501060006-9
24 July 1987 DIAM 22-58
Chapter 6
WITHIN-GRADE PAY INCREASES
1. Policy: Within-grade increases will be granted to
employees who have a current performance rating
(i.e., within the last year) of Fully Successful or
above.
2. Definitions:
a. Within-grade increase (WGI). A periodic in-
crease in an employee's rate of basic pay from one
step in his/her pay schedule to the next higher step.
b. Waiting Period. The minimum creditable ser-
vice time required to become eligible for a within-
grade increase.
c. Calendar Week. Any 7 consecutive calendar
days.
d. Acceptable Level of Competence. A rating of
Fully Successful or above on the current perform-
ance appraisal.
e. Equivalent Increase. An increase in the em-
ployee's rate of basic pay equal to or greater than
the difference between the rate of pay and step
occupied by the employee and the next higher step
of that grade.
f. Break in Service. Period in non-pay status
between appointments with the Federal Government
that exceeds 3 calendar days.
3. Eligibility: All DIA employees are eligible for
within-grade increases except:
a. Employees paid under the Administrative/
Special Rate Pay Schedules who are on a time-
limited appointment of 1 year or less;
b. DISES members;
c. Experts and consultants; and
d. Those who are at the maximum step of their
pay schedule.
4. Waiting Periods: Employees who are not at the
maximum step of their grade level may advance to
the next step in accordance with the following:
a. Administrative/Special Rate Pay Schedules.
The administrative pay schedules and all DIA spe-
cial pay rate schedules have 10 steps. Employees
on permanent appointments (i.e., those without time
limitations of 1 year or less) who have prearranged
regularly scheduled tours of duty have waiting pe-
riods as follows:
(1) 52 calendar weeks of service for advancement
to Steps 2, 3, 4;
(2) 104 calendar weeks of service for advance-
ment to Steps 5, 6, 7; and
(3) 156 calendar weeks of service for advance-
ment to Steps 8, 9, 10.
Employees on permanent appointments who work
a part-time or intermittent work schedule without
prearranged regularly scheduled tours of duty have
waiting periods as follows:
(1) 260 days of creditable service over a period of
at least 52 calendar weeks for advancement to Steps
2, 3, and 4.
(2) 520 days of creditable service over a period of
at least 52 calendar weeks for advancement to Steps
5, 6, and 7; and
(3) 780 days of service over. a period of at least
156 calendar weeks for advancement to Steps 8, 9,
and 10.
b. Wage Schedules. Each grade of a regular su-
pervisory, non-supervisory and leader wage sched-
ule has five step rates. The lithographic schedule
has three steps. Waiting periods for advancement
are as follows:
(1) 26 calendar weeks of service in Step 1, regular
and lithographic;
(2) 78 calendar weeks of service in Step 2, regular
and lithographic; and
(3) 104 calendar weeks of service in Steps 3 and
4, regular only.
c. Waiting periods for all employees begin with
the first appointment as a Federal employee. New
waiting periods begin when the employee receives
an equivalent increase or has a break in service or
a period in non-pay status in excess of 52 calendar
weeks.
5. Granting of Within-grade Increases:
a. General. Employees who have completed the
required waiting period and have demonstrated
Fully Successful performance will be granted within-
grade increases. The supervisor determines whether
an employee's performance is Fully Successful as
part of the continuous appraisal process. All em-
ployees who have a current performance rating (i.e.,
within the last year), under the provisions of this
regulation, of Fully Successful or above, and who
have maintained their performance at that level or
Declassified and Approved For Release 2013/05/14: CIA-RDP90-0053OR000501060006-9
 Declassified and Approved For Release 2013/05/14: CIA-RDP90-00530R000501060006-9
DIAM 22-58 24 July 1987
.above through the end of the waiting period, will
be granted a within-grade increase. Employees with
ratings of Minimally Satisfactory or Unsatisfactory
will not receive a within-grade increase until per-
formance is rated at least Fully Successful by the
supervisor.
(1) RHR Action. Each quarter, RHR will for-
ward to the administrative element of each Deputy
Directorate, Chief of Special Office, or CAO, as
appropriate, the following information concerning
employees who will meet the service requirements
for a within-grade increase during the forthcoming
quarter:
(a) A list of employees who have current per-
formance ratings of Fully Successful or above;
(b) A list of employees who have ratings of
Minimally Satisfactory or Unsatisfactory; and
(c) A list of employees who have administra-
tively assigned ratings of Fully Successful.
(2) Supervisor Action. Supervisors will review
the lists and immediately notify RHR-4 of any sig-
nificant changes in performance that would impact
on the granting or denial of a within-grade increase.
Employees with performance ratings of Unsatisfac-
tory or Minimally Satisfactory are not eligible for
within-grade increases until the supervisor renders
a new performance rating of at least Fully Success-
ful. Employees should not be granted within-grade
increases if:
(a) They have received notification of a pro-
posed separation or change to lower grade for rea-
sons of inefficiency or misconduct.
(b) There are any pending actions related to se-
curity or misconduct that the supervisor determines
impacts on his/her competence.
It is the supervisor's responsibility to ensure that
the performance rating of record accurately reflects
the employee's performance. If the supervisor does
not notify RHR-4 of any significant changes, the
within-grade increases will be automatically pro-
cessed or withheld based on the performance ap-
praisal of record.
6. Creditable Service: All Federal civilian service
in any branch of the Federal Government is cred-
itable toward completion of the required waiting
period as listed below:
a. All continuous service since the last equiva-
lent increase (or original appointment) including all
periods of leave with pay (e.g., sick, annual).
b. Service performed before a break in service of
not more than 52 calendar weeks or a period of non-
pay status of not more than 52 calendar weeks.
c. All periods of non-pay status during which
the employee was receiving compensation for injury
under the Federal Employee's Compensation Act.
d. Service in the Armed Forces or in essential
non-Government civilian employment which inter-
rupts otherwise creditable service during a period
of war or national emergency.
e. Periods between date of separation with a re-
employment right granted by law, Executive Order
or regulation, and date of return to duty through
the exercise of that right.
f. For Administrative and Special Rate Pay
Schedule employees, other periods in a non-pay
status are creditable as follows:
(1) Up to 2 workweeks in the waiting period for
Steps 2, 3, and 4 (52 calendar weeks).
(2) Up to 4 workweeks in the waiting period for
Steps 5, 6, and 7 (104 calendar weeks).
(3) Up to 6 workweeks in the waiting period for
Steps 8, 9, and 10 (156 calendar weeks).
g. For Wage System Pay Schedule employees,
other periods in a non-pay status are creditable as
follows:
(1) 1 workweek in the waiting period for Step 2
(26 calendar weeks).
(2) 3 workweeks in the waiting period for Step 3
(78 calendar weeks).
(3) 4 workweeks in the waiting period for Steps
4 and 5, if applicable, (104 calendar weeks).
7. Noncreditable Service: The following is not
creditable service in computation of a waiting
period:
a. Overtime work.
b. Service performed before a break in service or
a period in non-pay status that exceeds 52 calendar
weeks.
c. The period between the date an employee
leaves a civilian position to enter the Armed Forces
and the date of reemployment when reemployment
is not within 52 calendar weeks from the date of dis-
charge from the Armed Forces, except as provided
by law.
8. Equivalent Increases: Employees begin a new
waiting period for within-grade increases when their
rate of basic pay is increased by at least the equiv-
alent of one within-grade increase in the grade
occupied. The following do not count as equivalent
increases:
Declassified and Approved For Release 2013/05/14: CIA-RDP90-00530R000501060006-9
 Declassified and Approved For Release 2013/05/14: CIA-RDP90-0053OR000501060006-9
24 July 19 7 DIAM 22-58
a. Adjustment to DIA's Administrative Pay Sched-
ule to conform to statutory pay increases authorized
for the General Schedule.
b. Premium pay for overtime, holiday, or Sunday
work.
c. Night differential pay.
d. Temporary promotions when the employee re-
turns to his/her lower graded position within 1 year
or less.
e. Quality Salary Increases (QSI).
9. Request for Reconsideration of Determina-
tion to Withhold a WGI: Since the performance
rating of record is the basis for the granting or with-
holding of the WGI, reconsideration requests are for
the performance rating (see Chapter 4, paragraph
8). The performance appraisal also will serve as the
official notification to the employee that a WGI will
be withheld.
10. Effective Date of Within-grade Increases: A
WGI will be effective at the beginning of the first
pay period after completion of the required waiting
period.
Declassified and Approved For Release 2013/05/14: CIA-RDP90-0053OR000501060006-9
 Declassified and Approved For Release 2013/05/14: CIA-RDP90-00530R000501060006-9
24 July 1987 DIAM 22-58
Chapter 7
DOCUMENTATION AND EVALUATION
1. Records Maintenance:
a. The original DIA Form 124 will be retained
by the Directorate of Human Resources for 3 years.
Ratings will be permanently stored in the DIA Per-
sonnel Management Information System.
b. It is recommended that supervisors maintain
a file of their employee's performance records and
that the records retention schedule be followed.
This system of records should include the per-
formance plan and appraisal, coaching/counseling
records, warnings, reprimands, and other docu-
mentation. Throughout the appraisal period,
supervisors should keep notes on subordinates' per-
formance. This is a way to track performance that
may be forgotten or otherwise overlooked. In partic-
ular, notes should record events for which no formal
written records are maintained, such as comments
from clients and supervisory/employee discussions.
Such notes will be essential for appraising per-
formance on competencies and performance areas
lacking tangible products, e.g., providing informa-
tion over the telephone or communicating to man-
agement. For such competencies and performance
areas, notes should include a record of key incidents
which are examples of the employee's performance.
c. Any documentation used by the supervisor to
prepare or to justify the rating on the written ap-
praisal becomes a part of the official record. For
example, the DIA Form 124 would be part of the
official record, as would notes on the DIA Form 309,
which supervisors maintain during the appraisal
period, if they are to support a rating on a written
annual appraisal. A supervisor's miscellaneous un-
circulated notes, not used as a basis for the rating,
however, do not constitute a system of records under
the Privacy Act and are, therefore, not normally
available to the employee.
2. Program Evaluation: Periodically, RHR will
evaluate the effectiveness of the performance ap-
praisal program in accordance with DIAR 20-3,
"Personnel Management Evaluation." When an eval-
uation reveals areas needing improvement, RHR
will use the evaluation data to refine, alter, or
improve the system. Reports will be prepared for
the Command Element and/or the Senior Human
Resources Board upon request.
Declassified and Approved For Release 2013/05/14: CIA-RDP90-00530R000501060006-9
 Declassified and Approved For Release 2013/05/14: CIA-RDP90-0053OR000501060006-9
24 July 1987 ll1AM 22-58
STEP-BY-STEP GUIDE FOR PERFORMANCE PLANNING AND APPRAISAL
1. Purpose: The specific purpose of this guide is to provide step-by-step instructions for
completing the performance planning and appraisal process. It also facilitates the use of the
Supplements containing competencies, performance areas, and standards developed for the
five occupational groups within DIA.
2. The Performance Planning and Appraisal Process: The performance planning and
appraisal process consists of the following six steps:
a. Determine the-relevant competencies, performance areas, and standards.
b. Conduct the initial interview
c. Perform periodic review
d. Conduct the appraisal interview
e. Action by Reviewing Official.
f. Provide feedback.
STEP 1: DETERNHNE THE RELEVANT COMPETENCIES, PERFORMANCE AREAS,
AND STANDARDS
a. Collect and review applicable reference materials. The appropriate Supplement devel-
oped for the occupational group of the employee to be rated is the primary reference material
for identifying relevant competencies, performance areas, and standards. A listing of the
five occupational groups and job series within each group is in Attachment 1. Other sources
might include the position description and past appraisal documents.
b. Review the core competencies for the position in the applicable Supplement. Remember,
core competencies are common to all employees in an occupational group and they will be
rated on each one. Record each core competency title and page reference from the manual
in Section C, Part 1, of DIA Form 124.
c. Review and select any supplemental competencies relevant to the position from the
applicable Supplement. Supplemental competencies should be included in the performance
plan if they represent important aspects of performance or characteristics associated with
success in the position. Record the supplemental competency titles and page reference from
the manual in Section C, Part 1 of DIA Form 124.
d. Review and select any performance areas relevant to the position from the applicable
Supplement. In selecting the areas on which to rate the employee, refer to the listing
of performance areas and related elements in the resource manual. A performance area
should be included in the performance plan if one or more of the related elements in that
area represents a significant part of the employee's job. The number included will depend
on the complexity and scope of the position. Remember two important points in selecting
performance areas:
. The related elements listed under each area are representative samples. There may be
others, not listed, that the rater can fit into one or another of the areas and as a result
want to rate on that area.
Declassified and Approved For Release 2013/05/14: CIA-RDP90-0053OR000501060006-9
 Declassified and Approved For Release 2013/05/14: CIA-RDP90-0053OR000501060006-9
DIAM 22-58 24 July 1987
. Most positions will be comprised of at least several of the performance areas. Few, if
any, are adequately defined by a single performance area. Record the performance area
titles and page reference from the manual in Section D, Part 1 of DIA Form 124.
e. Review the illustrative standards at the Outstanding, Fully Successful, and Unsatisfac-
tory levels for each competency and performance area that are relevant to the position and
grade level of the employee. Remember that the standards are not meant to be exhaustive,
or all-inclusive. The standards, rather, take the form of "examples" of behavior which would
typify the performance of an individual at a particular level of performance. Those standards
most illustrative of the performance the supervisor expects the subordinate to exhibit (or to
avoid) should be noted for discussion in the initial interview.
f. Develop additional standards if the group of standards appearing in the manual
is deficient (i.e., they do not adequately illustrate the performance you expect at the
various levels of performance). Additional standards can be written for any competency
or performance area at any or all of the five performance levels.
g. Follow these guidelines if you write additional standards. Standards should be:
(1) Consistent with the illustrative standards depicted in the resource manual for the
particular occupational group;
(2) Reasonable, given scope of job;
(3) Behaviorally based (i.e., describe what the employee should or should not do); and
(4) Consistent with those set for other positions of the same series and grade.
h. Record any additional standards on a copy of Attachment 2 (Additional Standards
for Competencies) or Attachment 3 (Additional Standards for Performance Areas) duplicated
from this manual and attach to DIA Form 124. Once attached and signed by both the employee
and the supervisor, the attachment becomes an official part of DIA Form 124. A sample of a
completed additional standards form appears in Attachment 4.
a. Supervisor and employee complete Section A, Part 1, of DIA Form 124.
b. Supervisor and employee discuss each competency, performance area, and all applicable
standards, including any additional written standards, referring to the appropriate resource
manual.
c. Supervisor and employee sign and date Section C and D, Part 1, and any sheets
appended containing additional standards to indicate that the competencies, performance
areas, and standards have been reviewed.
a. Monitor employee's performance and provide frequent feedback; establish a dialogue
on performance.
b. Discuss any problem areas that may affect performance and potential solutions.
c. Assess continuing relevance of supplemental competencies, performance areas, and
standards.
ENCLOSURE 1
Declassified and Approved For Release 2013/05/14: CIA-RDP90-0053OR000501060006-9
 Declassified and Approved For Release 2013/05/14: CIA-RDP90-0053OR000501060006-9
24 duly iub-i DIAM 22-58
d. Revise (i.e., add, delete, or modify) supplemental competencies, performance areas,
and/or standards if significant changes in the job requirements, priorities, or job environment
warrant such a change.
e. Discuss any such changes with the employee.
STEP 4: CONDUCT THE APPRAISAL INTERVIEW
Prior to the interview:
a. Review the performance plan and tentatively assess the employee's performance relative
to the illustrative standards for each competency and performance area.
b. Tentatively determine the rating for each competency and performance area using the
numeric rating scale described below:
5 - Outstanding
4 - Exceeds Fully Successful
3 - Fully Successful
2 - Minimally Satisfactory
1 - Unsatisfactory
c. Tentatively determine a Summary Rating of Competencies by:
(1) Computing the average competency rating by dividing the sum of all competency
ratings by the number of competencies rated; and
(2) Translating the average competency rating into a summary competency adjective
rating by using the following scale:
Outstanding
4.5 and over
Exceeds Fully Successful
3.5-4.4
Fully Successful
2.5-3.4
Minimally Satisfactory
1.5-2.4
Unsatisfactory
1.4 and below
d. Tentatively determine an Overall Rating of Performance by:
(1) Considering the "Summary Rating of Competencies" from c. above to be weighted as
one performance area.
(2) Determine the overall rating which best represents the rating given for each per-
formance area including the summary rating of competencies.
(3) Apply the following decision rules:
If the summary rating of competencies is less than Fully Successful, then no overall rating
of Fully Successful or higher can be given.
If any performance area is rated less than Fully Successful, then no overall rating of
Outstanding can be given.
e. Discuss the tentative appraisal with the reviewing official, particularly if a problem
is anticipated in the appraisal interview or the reviewing official may disagree with the
recommended rating. The matter should be discussed with the reviewing official to gain
consensus.
Declassified and Approved For Release 2013/05/14: CIA-RDP90-0053OR000501060006-9
 Declassified and Approved For Release 2013/05/14: CIA-RDP90-0053OR000501060006-9
DIAlV1 zz-58 24 July 1987
During the interview:
f. Discuss performance with the employee in relation to each competency and performance
area, and overall performance.
Following the interview:
g. Prepare DIA Form 124 in final by:
(1) Entering rating of performance on each competency and performance area in boxes
marked "Numeric Rating" in Sections C and D, Part 2a., on DIA Form 124.
(2) Preparing a justification for any competency or performance area receiving a numeric
rating of 5 (Outstanding), 4 (Exceeds Fully Successful), 2 (Minimally Satisfactory), or
1 (Unsatisfactory). Standards provide a basis for justification. Justification should be
brief, concisely written, and behaviorally based. They should indicate what the supervisor
observed, reviewed, read, or assessed regarding actual performance. Sample justifications
appear in Attachment 5.
(3) Entering any additional comments in Section E, Part l.a. and signing that section.
These comments may address performance, award recommendations, plans for development
or improvement (supporting -entries on the DD Form 1917 (Employee Career Appraisal) and
DD Form 1932 (Employee Qualification Record) ). Comments should be brief, concise, and
specific. A sample appears in Attachment 6.
(4) Completing the Overall Rating in Section B, Part l.a.
(5) Completing Section B, Part 1.b., Recognition, as appropriate.
h. Allow employee to make comments and sign Section E, Part 2. Signature does not
necessarily imply concurrence with evaluation.
i. Forward the appraisal to the reviewing official.
STEP 5: ACTION BY REVIEWING OFFICIAL
a. Review the appraisal and award recommendations for thoroughness, objectivity, sound-
ness, documentation, and consistent approach across subordinate component lines.
b. Consider employee's comments, if any, on the appraisal and resolve problems to the
extent possible. _
c. Try to achieve rater/reviewer consensus to the extent possible, but failing that, change
the rating as appropriate and provide specific comments to support the change. An example
might involve documentation not consistent with the rating recommended.
d. Signature on the appraisal form by the reviewing official will constitute approval of
performance ratings and recognition, if any.
e. Directorate may establish internal procedures for review of performance recognition
prior to signature by the reviewing official. Recognition also is subject to administrative
review by an RHR official.
STEP 6: PROVIDE FEEDBACK
a. Provide a copy of the approved appraisal to the employee.
b. Forward the original of the DIA Form 124 to RHR-4.
c. Use the feedback interview to discuss the performance plan for next year, if appropriate.
Declassified and Approved For Release 2013/05/14: CIA-RDP90-0053OR000501060006-9
 Declassified and Approved For Release 2013/05/14: CIA-RDP90-0053OR000501060006-9
24 July 1987 DIAM 22-58
OCCUPATIONAL GROUPS AND RELATED SERIES
1. PROFESSIONAL INTELLIGENCE POSITIONS
SERIES POSITIONS
110 Economist
132 Professional Intelligence
401 General Biologist
403 Microbiologist
801 General Economist
806 Materials Engineer
840 Nuclear Engineer
855 Electronic Engineer
861 Aerospace Engineer
893 Chemical Engineer
1083 Technical Editor
1301 General Physical Scientist
1310 Physicist
1320 Chemist
1515 Operations Research
1520 Mathematician
1710 DIC Faculty Member
1712 DIC Faculty Member
203
303
304
305
312
318
322
344
359
2132
Personnel Assistant, Administrative Assistant
Administrative Assistant, Staff Assistant
Administrative Assistant (Receptionist)
Intelligence Production Technician
Clerk Stenographer
Secretary
Clerk Typist
Administrative/Management Assistant
Administrative Assistant (EAM Operator)
Administrative Assistant (Travel)
080 Security Officer
170 Historian'
201, 212, 230, 235, 260 Human Resources Managers
301 Miscellaneous Administrative/Management/
Program Officer
334 Computer Specialist
341 Administrative Officer
343 Management Analyst
345 Program Analyst
Attachment 1 to ENCLOSURE 1
Declassified and Approved For Release 2013/05/14: CIA-RDP90-0053OR000501060006-9
 Declassified and Approved For Release 2013/05/14: CIA-RDP90-0053OR000501060006-9
DIAM 22-58 24 July 1987
346
391
393
505, 510, 560
808
830
850
905
1001
1040
1071
1084
1102
1152
1176
1386
1410, 1412
1550
1640
1654
1701, 1702
1960, 2001, 2003, 2010, 2030, 2050
2101
Logistics Management'
Communications Manager
Communications Specialist
Financial Resources Manager
Architecture'
Mechanical Engineer'
Electrical Engineer'
Attorney'
General Arts and Information'
Language Specialist
Audio Visual/Production Specialist'
Visual Information Specialist
Contract Specialist
Production Control
Building Manager'
Photographic Technologist
Information Services Specialist
Computer Specialist
Facilities Management Specialist'
Printing Management'
General Education/Training Specialist'
Supply Specialist
Transportation
'Because of the small numbers involved, specific competencies, performance areas, and standards (CAS) were not
developed for these positions. General CAS's developed for other series may be used and specific CAS's can be
developed using the guidelines in this enclosure to the DIAM.
IV. MANAGERIAL/SUPERVISORY
The Managerial/Supervisory group is divided into first- and second-level supervisors, not
into series. For this purpose, first-level supervisors are those who directly supervise and rate
performance of non-supervisory employees, and who are formally classified as supervisors.
Second-level supervisors are those who supervise employees through others who are formally
classified as supervisors, irrespective of whether there is one or more level of supervision
under them.
Attachment 1 to ENCLOSURE 1
Declassified and Approved For Release 2013/05/14: CIA-RDP90-0053OR000501060006-9
 Declassified and Approved For Release 2013/05/14: CIA-RDP90-0053OR000501060006-9
24 July 1987 DIAM 22-58
SERIES
085
134
332
335
525
561
802
1060
1311
1411
1670
1702
2005
XL, XP, XS
WP
WG
WL
POSITIONS
Guard
Intelligence Technician
Computer Systems Operator
Computer Technician, Administrative
Assistant (Computers)
Accounting Technician
Budget Technician'
Engineering Technician'
Photo Specialist, Photo Technician
Physical Science Technician'
Document Services Technician
Equipment Specialist
Education/Training Technician
Supply Technician'
Lithographer
Electronic Equipment Installer
Stock Room Warehouse
Motor Vehicle Operator'
' Because of the small numbers involved, specific competencies, performance areas, and standards (CAS) were not
developed for these positions. General CASs developed for other positions may be used and specific CASs can be
developed using the guidelines in this enclosure to the DIAM.
Declassified and Approved For Release 2013/05/14: CIA-RDP90-0053OR000501060006-9
 Declassified and Approved For Release 2013/05/14: CIA-RDP90-0053OR000501060006-9
DIAM 22-58 24 July 1987
Additional Standards for Competencies
Competency
Performance
Level
Indicated
I have reviewed the competencies and additional standards.
Signature of Employee Date (YY MM DD)
Signature of Supervisor Date (YY MM DD)
Declassified and Approved For Release 2013/05/14: CIA-RDP90-0053OR000501060006-9
 Declassified and Approved For Release 2013/05/14: CIA-RDP90-0053OR000501060006-9
24 July 1987 DIAM 22-58
Additional Standards for Performance Areas
Performance
Area
Additional Standards
Performance
Level
Indicated
I have reviewed the performance areas and additional standards.
Signature of Employee Date (YY MM DD)
Signature of Supervisor Date (YY MM DD)
Declassified and Approved For Release 2013/05/14: CIA-RDP90-0053OR000501060006-9
 Declassified and Approved For Release 2013/05/14: CIA-RDP90-00530R000501060006-9
DIAM 22-58 24 July 1987
Performance
Competency
Additional Standard
Level
Indicated
Leadership
As a leader of groups, organizes tasks and
Fully
determines appropriate assignnments, resulting
Successful
in complete and timely products.
Leadership
Anticipates problems and obstacles and
Outstanding
always mobilizes team to overcome barrie,
resulting on superior team performance.
Performance
Performance
Additional Standard
Level
Area
Indicated
Research and
Data base fails to contain information
Unsatisfactory
Analysis
current enough to be usefull and contains
erroneous facts.
Research and
Produces a research paper that receives
Outstanding
Analysis
praise from reviews and widespread
distribution.
Declassified and Approved For Release 2013/05/14: CIA-RDP90-00530R000501060006-9
 Declassified and Approved For Release 2013/05/14: CIA-RDP90-0053OR000501060006-9
24 July 1987 DIAM 22-58
Sample Justification Narrative
C. Competency Ratings
2. Actual Performance Rating
1. Competencies
(To Be Completed At End-Of-Year Interview)
(To Be Completed
At Initial Interview)
a. Numeric
Rating
b. Justification
1. Interpersonal
5
Obtained support of other units by
Skill
carefully briefing all project teams
and keeping all parties informed during
a critical project. Is now called upon
by others to help smooth over conflicts.
2. Results Focus
1
Work always requires complete revision.
Seldom completes work as assigned on
time, or at all. Project reports
completed over last several months
were done with inadequate research.
D. Performance Area Ratings
2. Actual Performance Rating
1. Performance Areas
(To Be Completed At End-Of-Year Interview)
(To Be Completed
At Initial Interview)
a. Numeric
Rating
b. Justification
1. Research and
4
Reached accurate conclusions based on
Analysis
data analyzed. Facts are well
organized, so that they can be easily
retrieved. Uncovered a valuable new
source in last few months.
2. Staff/Operations
2
Assigned staff work is occasionally not
Support
completed in a timely manner. Staff
work has gaps in information causing
unnecessary delays. Complaints have
been received on failure to coordinate
staff work issues with interested parties.
Attachment 5 to ENCLOSURE 1
Declassified and Approved For Release 2013/05/14: CIA-RDP90-0053OR000501060006-9
 Declassified and Approved For Release 2013/05/14: CIA-RDP90-0053OR000501060006-9
DIAM 22-58 24 July 1987
Sample Supervisory Comments
E. Appraisal Comments
la. Supervisor's Comment s on Appraisal Interview
Mr. Clark's performance has improved considerably, particularly, in the
area of interpersonal relations. He has this year to be more
sensitive to others and is becoming a skilled communicator. I will
support his interest in taking additional training, if available, in
interpersonal relations, specifically, negotiation skills, an area in
which he shows interest and promise.
Declassified and Approved For Release 2013/05/14: CIA-RDP90-0053OR000501060006-9
 Declassified and Approved For Release 2013/05/14: CIA-RDP90-0053OR000501060006-9
24 Hwy iy~r tiiaM 22-58
A GUIDE TO EFFECTIVE PERFORMANCE APPRAISAL IN DIA
Section A - Introduction
1. Purpose: The purpose of. this guide, which addresses key supervisory tasks, responsibil-
ities, and skills necessary for effective performance appraisal, is to assist those conducting
performance appraisals in becoming more proficient in the appraisal process. It presents nu-
merous suggestions, guidelines, and aids which can assist DIA supervisors in the performance
appraisal process.
2. Using This Guide: This guide is organized around the essential performance appraisal
tasks and skills. These include performance planning, solving performance problems, pro-
viding feedback, listening and communication, documenting performance, evaluating per-
formance, and conducting the appraisal interview. The information is presented in a practical,
concise manner for easy access by readers. Rather than lengthy explanations and rationales,
the guide simply lists or notes key points and issues. In this sense, the material is designed
to be used as a reference tool. By using the guide below, the reader can quickly identify and
review the specific topic of interest. As supervisors and employees move through the DIA
performance appraisal cycle, this material can be consulted for guidance.
IF YOU WANT TO KNOW MORE ABOUT ...
THEN GO TO PAGE ...
? Performance Appraisal Overview
33
? Performance Planning
36
? Solving Performance Problems
39
? Providing Feedback
42
? Listening and Communication
46
? Documenting Performance
49
? Evaluating Performance
49
? Conducting the Appraisal Interview
51
Section B - Performance Appraisal Overview
1. What Is Performance Appraisal? Mention the term "performance appraisal," and you
hear many different reactions. Some might see it as a waste of time, others as simply a
paperwork requirement of the Personnel Office. Some see it as a chance to receive information
on how they are doing. Others see it as another evidence of bias and subjectivity, a way for
people to help their friends. Still others see it as a way to document their competence and
receive awards and promotions. Just what is a "performance appraisal," and why does it
usually evoke such emotional responses?
Performance appraisal refers to the process of identifying and defining what to measure,
observing and evaluating performance, and developing performance. In short, a performance
appraisal has a measurement component and a developmental component. Simply telling
Declassified and Approved For Release 2013/05/14: CIA-RDP90-0053OR000501060006-9
 A * Declassified and Approved For Release 2013/05/14: CIA-RDP90-0053OR000501060006-9
DIAM GG-uo Z4 Jury 1987
someone how they are doing is not enough; an effective performance appraisal system
must have mechanisms to help people improve. The measurement component refers to
past performance; the developmental component refers to future performance. Performance
appraisal can be viewed as follows:
Performance Performance Performance
Identification Observation Development
and and
Definition Measurement
a. Identifying and Defining Performance. Often referred to as performance planning, iden-
tifying and defining what aspects of performance are to be measured is the first appraisal
activity. DIA has significantly simplified this process by developing a list of competencies,
performance areas, and standards from which supervisors can select those that are relevant to
a particular position. Competencies, performance areas, and standards have been established
for five occupational groups within the DIA. Identifying and Defining Performance consists
of:
(1) Reviewing job duties, responsibilities, and activities to identify those important aspects
of the job to be rated.
(2) Selecting those competencies and performance areas on which the employee should be
rated.
(3) Establishing performance standards or target levels of performance expected of those
being rated (e.g., rarely makes typing errors, demonstrates knowledge of loan procedures,
completes assignments within deadlines). Illustrative performance standards are provided in
Supplements for each grade level and broad occupational group in the DIA.
b. Observing and Measuring Performance. Observing and measuring job performance is
the second activity in performance appraisal. It consists of:
(1) Reviewing the set of performance standards for each relevant competency and per-
formance area, and communicating these to the employee.
(2) Selecting the most appropriate times, settings, and behaviors for observation.
(3) Observing and monitoring performance as frequently and carefully as necessary.
(4) Reviewing work products.
(5) Rendering thoughtful, accurate judgments which are as objective as possible.
(6) Developing a clear, concrete rationale for ratings, including examples of actual job
behavior observed during the period.
(7) Reviewing and explaining ratings to employees being rated.
c. Developing Performance. Developing performance is the third broad appraisal activity.
It consists of:
(1) Providing on-going feedback, both positive and negative, on performance.
(2) Developing specific activities and action plans designed to improve performance.
Declassified and Approved For Release 2013/05/14: CIA-RDP90-0053OR000501060006-9
 Declassified and Approved For Release 2013/05/14: CIA-RDP90-0053OR000501060006-9
24 July 1987 DIAM 22-58
(3) Making job assignments which utilize strengths and provide opportunities to work on
weaknesses.
(4) Combining organizational and individual efforts and resources to plan for career
opportunities.
Development of performance is a joint effort between the individual and the organization. An
organization cannot improve a person's performance without his or her willingness, effort,
and initiative.
2. Why Is Performance Appraisal Important? Very few organizational activities are as
important as performance appraisal because its results have such an enormous impact on
organizational performance and individuals' careers and pay. The importance of appraisal
results justifies its costs in terms of time and resources.
a. From the Organization's Perspective. Performance appraisal is a crucial activity in
organizations. It forms the basis for many vital decisions the organization must make about
its employees. Performance appraisal results are used in:
(1) Promotion decisions,
(2) Job and project assignment decisions,
(3) Salary decisions (e.g., within-grade increases),
(4) Award decisions, and
(5) Training decisions.
Errors in these decisions spell immediate and severe trouble for any organization. Too, at the
organization level, general decisions, strategies, and policies are made on the basis of per-
formance appraisal results, at least indirectly. For example, the decision to render a new ser-
vice, to restructure one or more units, and/or to engage in expansion (or contraction) would
hinge on a realistic, accurate assessment of the current skills and abilities of employees,
as well as on their potential. If we inflate our assessment of the capability of a group of
employees to handle a move into a new service area, we might not only fail at this endeavor,
but also damage current operations. An inaccurate estimate of performance ability could
also damage the self-esteem and morale of staff if too low, and could overwork and frustrate
staff if too high.
The organization needs to have an accurate picture of the capability and potential of its
employees in order to make sound decisions and set effective policies.
b. From the Individual's Perspective. Most persons want to know how they are doing on
the job and what their supervisors think of their performance. People want to know where
they stand and what their chances are for promotions or awards. Individuals want feedback
on their performance so they realistically can assess their career prospects. Individuals are
able to change their behavior; they can improve, learn new skills and abilities, and exhibit
more effective behavior if they are given feedback and if they are coached and assisted by
supervisors. Employees develop when the positive, not merely negative, aspects of their
performance are recognized by supervisors.
3. Whose Responsibility Is Performance Appraisal? The appraisal process is the respon-
sibility of supervisors and employees, with support from staff units.
ENCLOSURE 2
Declassified and Approved For Release 2013/05/14: CIA-RDP90-0053OR000501060006-9
 Declassified and Approved For Release 2013/05/14: CIA-RDP90-00530R000501060006-9
DIAM 22-58 24 July 1987
a. The Supervisor. The appraisal process is essentially the supervisor's responsibility. He
or she is responsible for completing the DIA appraisal cycle or process. The supervisors, not
staff departments, have ultimate responsibility for measuring and managing their subordi-
nates' performance. Supervisors might also be required to review and approve appraisals
prepared by their subordinates. The appraisal process is a legitimate, integral part of
managing; it is not an extra task outside the normal scope of managerial or supervisory
activities. Further, appraisal is an on-going managerial responsibility, not an annual task
of completing a form. Effective supervisors manage their subordinates' performance all year
long, using the DIA performance appraisal system as a framework.
b. The Employee. The employee's responsibility is to participate fully and conscientiously
in the appraisal process. This includes reviewing and understanding competencies, perfor-
mance areas, and standards; keeping the supervisor abreast of progress and problems; and
improving performance. The employee should also accept feedback and think about his or
her own strengths, weaknesses, and career plans.
c. Staff Units. Staff units, such as the Directorate for Human Resources, have responsi-
bility to develop tools, such as this manual, to facilitate effective performance appraisal in
DIA. They also should monitor the entire process and assure compliance with policies and
procedures.
Section C - Performance Planning
1. General: Performance planning refers to identification of relevant competencies, per-
formance areas, and performance standards for a particular position. Resource manuals for
each broad occupational group in DIA have been developed to assist supervisors in this task.
Once the competencies, performance areas, and standards are determined, the supervisor
decides if additional standards are required. (See enclosure 1 for additional information.) The
competencies, performance areas, and standards must be communicated to the employee. The
supervisor and employee then develop plans in order to assure that performance expectations
and requirements are met. Planning continues during the appraisal cycle, particularly as job
requirements, priorities, or environments change. This section provides tips and suggestions
on the following: -
a. Writing behaviorally based standards.
b. Conducting the initial appraisal planning interview
c. Assessing the effectiveness of the initial interview.
2. Writing Behaviorally Based Standards: Supervisors may wish to write additional
standards to supplement the standards appearing in resource manuals. Well-written, behav-
iorally based standards meet the criteria of being relevant, observable, and measurable. The
following guidelines can be used when writing behaviorally based standards:
a. Use specific examples of behavior, not conclusions about the "goodness" or "badness" of
behavior.
Use this: He/she seeks to develop new sources of information when existing sources do not
satisfy information requirements.
Declassified and Approved For Release 2013/05/14: CIA-RDP90-00530R000501060006-9
 24 Declassified and Approved For Release 2013/05/14: CIA-RDP90-00530R000501060006-91vI 22-58
Not this: He/she does a good job of researching.
b. Avoid using adjective qualifiers in the statements; use descriptions of actual behavior.
Use this: He/she tactfully states organization's position and is contacted by external
sources for information which favorably reflects on the organization.
Not this: He/she is friendly with others when representing the organization.
c. Avoid using statements that make assumptions about employees' knowledge of the job;
use descriptions of behavior.
Use this: He/she is able to accurately assess the significance of any irregularity or
inconsistency in the data analyzed.
Not this: He/she has sufficient knowledge to do an efficient and effective job.
d. Avoid using quantitative values (numbers) within standards unless you are able to
observe, count, and record all behaviors.
Use this: This accountant submits reports on time which contain no misinformation or
mistakes. If discrepancies occur on reports from the last period, this accountant identifies
the cause.
Not this: This accountant could be expected to meet 90 percent of deadlines with 95 percent
accuracy.
3. Conducting the Initial Performance Planning Interview: The initial performance
planning interview is the basis for communicating expectations to the employee. Remember
the following suggestions when preparing, conducting, and documenting the interview.
INITIAL PERFORMANCE PLANNING INTERVIEW
STEP REMEMBER TO:
Prepare for the interview with . Identify the competencies, performance areas, and
employee. standards that are relevant to the particular em-
ployee.
. Write any additional standards that are necessary.
. Give the employee sufficient time to prepare for the
interview.
. Ask the employee to identify the competencies,
performance areas, and standards that apply to
his/her job.
. Be prompt and allocate enough time for an uninter-
rupted discussion.
Conduct the interview with . Put the employee at ease by beginning with small
employee. talk; tailor the approach to the individual.
. Explain the purpose of the interview.
. Give your perspective on each competency, perfor-
mance area, and corresponding standards that are
relevant to the employee.
Declassified and Approved For Release 2013/05/14: CIA-RDP90-00530R000501060006-9
 Declassified and Approved For Release 2013/05/14: CIA-RDP90-0053OR000501060006-9
DIAM zz-58 z4 duly 1987
STEP REMEMBER TO:
? Get the employee's perspective on the relevant compe-
tencies, performance areas, and standards.
? Merge perspectives through discussion and problem-
solving.
? Ask how you can help the employee do a better job.
? Take notes on agreed support.
? Set up a method for periodically reviewing progress.
Document the performance . Record the competencies and performance areas on
plan. DIA Form 124.
? Obtain employee's signature indicating that the
competencies, performance areas, and standards have
been reviewed.
? Sign the form yourself.
? Retain copies for yourself and the employee.
4. Assessing Your Performance in the Initial Planning Interview: Immediately after
concluding the initial interview, use the following checklist to appraise your own performance
as a supervisor. (Use the spaces between questions for notes or comments.) Keeping a file of
these and checking over them when preparing for another interview can help you improve
your interviewing skills.
Needs
Yes No Improvement
1. Did I completely develop my own expectations
for the employee's performance prior to the inter-
view?
2. Was the employee given sufficient time to
prepare for the interview?
3. Did I explain the purpose of the interview?
4. Did I succeed in putting the employee at ease?
5. Did I review and discuss each competency,
performance area, and standard?
6. Did the employee participate fully in the inter-
view?
7. Did I avoid imposing my opinions too strongly?
8. Did I set up a method for periodically reviewing
progress?
Declassified and Approved For Release 2013/05/14: CIA-RDP90-0053OR000501060006-9
 Declassified and Approved For Release 2013/05/14: CIA-RDP90-0053OR000501060006-9
24 July 1987 DIAM 22-58
Needs
Yes No Improvement
9. Did the employee leave with the feeling that he
or she understood performance expectations and
was committed to them?
10. Did I complete all necessary documentation?
Section D - Solving Performance Problems
1. General: Part of the supervisor's responsibility is to manage performance throughout the
appraisal period, not just evaluate it at the end. To manage performance, the supervisor must
observe carefully and identify problems quickly. These problems must be alleviated once their
causes are determined. This may involve resource allocation, reassessing or redesigning
job responsibilities or performance expectations, arranging to augment knowledge, skill,
or ability, or initiating disciplinary action. Above all, the supervisor must be diagnostic
regarding the causes of performance problems and must provide coaching and feedback to
employees. This section provides information and suggestions on the following activities
related to solving performance problems:
a. Diagnosing problem performance.
b. Developing action plans for performance improvement.
c. Monitoring for performance improvement.
d. Coaching.
2. Diagnosing Problem Performance: Diagnosing problem performance involves defining
the problem, analyzing reasons for the problem, and developing solutions for solving the
problem.
a. Define the Performance Problem.
(1) Identify the indicator of the problem (i.e., reports are late, data base is incomplete).
(2) Specify the discrepancy between actual and expected performance.
Example:
Actual Performance: Last three status reports have been late.
Expected Performance: All status reports should be on time.
(3) Specify the financial and non-financial impacts of the performance problem. Example:
Late status reports cause delays all the way up through the chain.
b. Analyze the Reasons for the Problem. There are many possible reasons for performance
problems. All possible reasons should be considered prior to formulating courses of action.
The following chart will aid you in assessing the possible reasons for a performance problem.
Declassified and Approved For Release 2013/05/14: CIA-RDP90-0053OR000501060006-9
 Declassified and Approved For Release 2013/05/14: CIA-RDP90-00530R000501060006-9
DIAM 22-58 24 July 1987
Reasons for Performance Problems
Physical
. Emotional
Intellectual
P
1. Capacity
2. Motives
3. Skills
E
R
Does the employee
Does the employee
Does the employee have
S
have the capacity
care about the
adequate skills and
O
to perform to
work being
knowledge to do the
N
requirements?
performed?
task?
N
E
L
E
N
4. Resources
5. Incentives
6. Procedures
V
I
Is the employee
Does the employee
Have procedures been
R
missing any
experience the
developed and
O
resources?
incentive system
communicated to the
N
as functional?
employee?
M
E
N
T
I
N
7. Tasks
8. Mission
9. Flow
F
O
Does the employee
Does the employee
Is the information flow
R
have the capacity
understand the
sufficient?
M
to perform to
relationship
A
requirements?
between his/her
T
performance and
I
the mission of
0
the organization?
N
Declassified and Approved For Release 2013/05/14: CIA-RDP90-00530R000501060006-9
 . Declassified and Approved For Release 2013/05/14: CIA-RDP90-0053OR000501060006-9
24 July 1987 DIAM 22-58
c. Develop Solutions for Solving the Performance Problem. Developing solutions for solving
the problem flows directly from your analysis of the possible reasons for the performance
deficit. Examples of linking possible solutions to the reason for the problem are described
below:
If the Reason Is ... Then Try ...
1. Lack of resources are preventing the Supplying more or better tools, equipment,
work from being done. space, assistance time, etc.
2. The employee does not have sufficient Arranging training that will help provide
skill. the knowledge and skill needed to be suc-
cessful on the job.
3. The employee does not understand Explaining the job tasks, requirements, and
expectations of the job. standards.
3. Developing Action Plans for Performance Improvement: A thorough diagnosis of
problems in performance prepares you to discuss the issues with the employee. A meeting
with the employee should result in an action plan for reducing or eliminating the problem.
A format for developing a written action plan is presented below:
FORMAT FOR ACTION PLAN
Summarize overall performance to date:
What specific standards are not being met?
Detail plans (e.g., changes in job scope, training, reassignment, coaching) to improve
performance:
Action Required Date of Completion
4. Monitoring for Performance Improvement:
a. Help the Employee Implement the Plan by:
(1) Observing performance and improvement.
(2) Praising improvement - encouraging new efforts.
(3) Constructively correcting failures.
(4) Teaching by example.
(5) Periodically reviewing progress.
b. Reward on the Basis of Results Achieved by Giving:
(1) Praise and recognition.
Declassified and Approved For Release 2013/05/14: CIA-RDP90-0053OR000501060006-9
 Declassified and Approved For Release 2013/05/14: CIA-RDP90-0053OR000501060006-9
DIAM 22-58 24 July 1987'
(2) Salary increase
(3) Increased responsibilities.
(4) Promotion recommendation.
(5) Other rewards - financial and non-financial.
5. Coaching: Coaching is an attempt to overcome performance weaknesses and build on
performance strengths. Coaching is actually a set of relationships between manager and
employee, rather than a series of skills to be taught. It can take many forms, including
analyzing performance problems, identifying performance that can be improved, correcting
improper or dangerous practices, discussing work with an employee to get his or her point
of view, and providing assistance and encouragement to the employee.
a. Some General Characteristics of Coaching:
(1) Involves face-to-face guidance and instructions.
(2) Is meant to improve job effectiveness and efficiency.
(3) Is based on a supervisor's job knowledge or on developmental opportunities he or she
can provide.
(4) Requires a large amount of patience and energy.
(5) Ensures close attention to individual employee needs.
(6) Occurs daily rather than occasionally or infrequently.
b. Remember, a Good Coach:
(1) Has a sincere interest in helping an employee to improve.
(2) Has a thorough knowledge of position requirements and objectives.
(3) Arranges for positive and progressive work to be approved and rewarded by superiors.
(4) Operates from the sidelines (i.e., does not try to "play" and "coach" at the same time).
(5) Recognizes individual differences.
Section E - Providing Feedback
1. General: Providing on-going positive and negative feedback is a responsibility of every
supervisor. Providing specific, timely, and useful feedback to employees is a critical aspect
of the performance appraisal process. However, providing feedback, particularly when
performance is below expectations, is difficult. Effective feedback is that which actually
results in changed or sustained behavior on the part of the person receiving it. This section
provides guidelines and tips on the following:
a. Important goals of a feedback session.
b. Inferential versus behavioral feedback.
c. Guidelines for giving feedback.
d. Guidelines for receiving feedback.
e. Communicating negative feedback effectively.
Declassified and Approved For Release 2013/05/14: CIA-RDP90-0053OR000501060006-9
 Declassified and Approved For Release 2013/05/14: CIA-RDP90-00530R000501060006-9
24 July lyti"i DIAM 22-58
2. Important Goals of a Feedback Session: What do you want to accomplish when you
meet with an employee to give feedback? Some important goals of any feedback session are
described below
a. Establishing and Maintaining Rapport.
(1) Setting an appropriate climate for the interview.
(2) Opening the interview in a warm, non-threatening manner.
(3) Being sensitive to the employee.
b. Structuring the Interview.
(1) Clearly stating the purpose of the interview and maintaining control over its course.
(2) Displaying an organized, intentional, and prepared approach to the interview
c. Motivating the Subordinate. Providing incentives for the subordinate to perform
effectively,
(1) Establishing goals to motivate the subordinate to perform effectively and to assist the
organization to accomplish its objectives.
(2) Providing positive feedback for good past performance.
d. Developing the Subordinate.
(1) Making specific developmental suggestions to the subordinate.
(2) Displaying interest in the employee's professional growth.
(3) Clearly specifying where development is needed and recommending sound developmen-
tal actions.
e. Resolving Conflict.
(1) Moving effectively to resolve any conflict with the employee.
(2) Making appropriate commitments and setting realistic goals to ensure conflict
resolution.
(3) Coaching the employee toward any needed conflict resolution with others.
f. Maintaining a Calm Attitude.
(1) Remaining cool and calm, even if the subordinate becomes angry.
(2) Showing sensitivity to the subordinate without backing down from an expressed
position.
(3) Maintaining a composed and professional attitude throughout the session.
3. Inferential Versus Behavioral Feedback:
One of the most difficult aspects of giving feedback is saying what you want in clear,
understandable terms. Being able to give behavioral, rather than inferential, feedback will
help you to achieve this result. The following chart compares behavioral and inferential
feedback.
ENCLOSURE 2
Declassified and Approved For Release 2013/05/14: CIA-RDP90-00530R000501060006-9
 Declassified and Approved For Release 2013/05/14: CIA-RDP90-0053OR000501060006-9
DIAM 22-58 z4,juty 1987
Comparison of Inferential and Behavioral Feedback
Inferential Feedback
Tell about how other person feels;
makes "you" statements.
Can be observed or verified.
Is difficult to agree on.
Uses the verbs "to be," "to know."
Uses absolutes.
Is general/abstract.
Is a value judgement.
Attributes causes or motives.
Behavioral Feedback
Tell about the event.
Can be observed and verified.
Makes agreement easier.
Users action verbs.
Differentiates clearly.
Is concrete/specific; doesn't use
adverbs.
Is free of values.
Is not locked into attributing causes
or motives.
Examples
Examples
You don't care ...
The report contained a very concise,
useful conclusion ...
You don't know ...
Your language was vague ...
You don't take into consideration ...
Six absences in two months is not
acceptable ...
You need to be more conscientious ...
The contract omitted a vital section ...
You should know these things ...
The data analysis was inaccurate,
according to my figures ...
Good work ...
I observed you interrupting that
subordinate ...
You are never here when I need you ...
You always come late when we
have meetings ...
Don't Say ...
Say ...
"You're rude and tactless with
"You left Rosena very hurt and angry
other employees."
when you told her that she was not
dressed well enough to attend the
luncheon meeting."
"The work you turn in contains too
"The computer programers are having
many stupid errors."
difficulty on processing your work
because of coding mistakes."
"You really botched the semi-
"We had a lot of trouble processing the
conductor contract."
semiconductor contract because the
forms were incomplete."
Declassified and Approved For Release 2013/05/14: CIA-RDP90-0053OR000501060006-9
 Declassified and Approved For Release 2013/05/14: CIA-RDP90-0053OR000501060006-9
24 July 1987 DIAM 22-58
4. Guidelines for Giving Feedback: Although there are many aspects of giving feedback
which could be discussed, there are 10 major "shoulds" which, if followed, can make feedback
more constructive and help avoid defensive reactions which block communication. These are
as follows:
a. Perceptions, reactions, and options should be presented as such and not as facts.
b. Feedback should refer to the relevant performance, behavior, or outcomes, not to the
individual as a person.
c. Feedback should be in terms of specific, observable behavior, not general or global.
d. When feedback has to be evaluative rather than purely descriptive, it should be in
terms of established criteria, probable outcomes, or possible improvement, as opposed to
value judgments such as "good" or "bad."
e. Feedback regarding a competency or a performance area should include a discussion of
what is viewed as the "high" and "low" points of that performance, and the specific behaviors
which appear to be contributing to or limiting full effectiveness or accomplishment.
f. In discussing problem areas which contain technical or established procedures for
achieving solutions, suggestions should be made regarding possible means for improving
performance.
g. Feedback should avoid "loaded" terms (e.g., crabby, mess-up, rip-off, stupid) which
produce emotional reactions and raise defenses.
h. Feedback should be concerned with those things over which an individual can exercise
some control, a.id be given in ways which indicate how the feedback can be used for
improvement or planning alternative actions.,
i. When encountering rising defenses or emotional reactions, the person-giving feedback
should deal with these reactions rather than try to convince, reason, or supply additional,
information.
j. Feedback should be given in a manner which communicates acceptance of the receiver
as a worthwhile person and of that person's right to be an individual.
5. Guidelines for Receiving Feedback: Less can be said about receiving feedback than
about giving it. However, two points are worth noting. First, feedback received is always
about past behavior - not current or future behavior. Second, receiving feedback always
offers the possibility of learning something valuable that can serve as a basis for future
improvement. Be aware of how well your employees receive feedback. Modeling and
reinforcing the behaviors described below will encourage your employees to be good receivers
of feedback.
a. Listen effectively.
b. Try not to let defenses build, but mentally note questions or disagreements.
c. Paraphrase what you think you hear to check your perception.
d. Ask questions for clarification and ask for examples in those areas which are unclear
or in which disagreement exists. Paraphrase answers again or use re-statement, e.g., "I hear
you say..." "Do you mean..."
Declassified and Approved For Release 2013/05/14: CIA-RDP90-0053OR000501060006-9
 Declassified and Approved For Release 2013/05/14: CIA-RDP90-0053OR000501060006-9
DIAM 22-58 24 July 1987
Evaluating performance is difficult not only because of the complexity of what employees
are required to do on their jobs and the difficulty in measuring performance, but also because
we are not perfect information processors. Everyone has the potential for bias in evaluating
others. The effective judge must be fair, consistent, and accurate. This section presents some
of the typical pitfalls in evaluating the performance of others.
2. Common Pitfalls in Determining Rating Levels: The following are the more common
rating biases and should be avoided:
a. Halo Effect. Halo results when the supervisor allows an overall general impression of
the individual to influence his or her judgment on each separate factor in the performance
appraisal form. An employee would rarely be rated at the same level on all (or most) factors
in an appraisal. Few employees' behavior is the same on each of the competencies and
performance areas that the rating scales measure. The rater should consider each factor
independent of all other factors.
b. Recency Effect. If an employee makes an outstanding contribution or an untimely
mistake just prior to a performance review, this event can color the manager's perception
of the employee's performance for the entire appraisal period. The recency effect, like the
halo effect, can work to the advantage or disadvantage of the employee. A conscientious
manager compensates for lack of perspective by careful documentation.
c. Unforgettable Event. A significant mistake or outstanding contribution need not occur
just prior to a performance review to unduly influence a manager's perceptions. A timely
or untimely event can make an impression that lasts for a long time. Again, careful
documentation can put performance into perspective.
d. Central Tendency. With all this potential for error, it is not hard to understand why
supervisors may be tempted to rate all employees as average by choosing mostly middle-level
ratings. This "central tendency" is perhaps the most serious error of all, for it closes the
door to an employee's growth and improvement on the job. It is rather difficult to develop
strengths and correct weaknesses if none are identified.
e. Compatibility. There is a tendency to rate people whom we find pleasing of manner and
personality higher than they deserve. Those who agree with us, nod their heads when we talk,
or are skilled flatterers often get better ratings than their performance justifies. Conversely,
we tend to rate people lower than they deserve when conflict of manner and personality exist.
f. Effect of Past Record. The employee who has performed well in the distant past is
assumed to have performed acceptably in the recent past also. Previous good work tends
to carry over into the period being appraised.
g. Leniency Effect. This is the tendency to rate everyone high. The opposite is to rate ev-
eryone low. This error is usually committed when managers feel discomfort in communicating
negative feedback or do not want to "hurt" the employee. Understanding the constructive
purposes of performance appraisal and acquiring effective skills in giving negative feedback
should reduce the tendency to commit this error.
h. Similarity Effect. This is the tendency on the part of a supervisor to judge more
favorably those who are perceived as similar to him or herself.
i. Self Comparison. The person who does not do the job as well as or the same way as we
remember we did it when we held that job will suffer more than those who do work unfamiliar
to us.
Declassified and Approved For Release 2013/05/14: CIA-RDP90-0053OR000501060006-9
 Declassified and Approved For Release 2013/05/14: CIA-RDP90-0053OR000501060006-9
24 July 1987 DIAM 22-58
3. General Rating Tendencies to Avoid: Be alert to and try to avoid these general rating
tendencies.
a. Don't permit friendship with any employee to influence the ratings. We all tend to
notice a friend's good points and ignore the bad points. This is often done unintentionally;
consequently, the friend is given a better rating than an equally good performer who is not
a friend.
b. Don't make quick guesses regarding the performance of an employee. Major decisions
are often based on performance ratings, and ill-considered ratings will contribute unreliable
information and detract from organizational goals.
c. Don't jump to conclusions or base your judgments of an individual on one instance of
behavior. Consider all aspects of the person and all his or her behaviors over a considerable
period of time. Don't let your judgment of an individual be distorted by one significant
incident or happening.
d. Don't let first impressions influence later judgments of an employee. First impressions
are only one sample of behavior, but we tend to make sweeping generalizations based on
our first encounters with people and tend to retain these impressions even when faced with
contrary evidence. In our subsequent contacts and observations, we are inclined to look for
patterns of behavior that seem to support our first impressions, and we may be unaware of
behaviors that contradict them.
e. Don't be influenced by the setting (work situation) in which we see the individual
performing. This setting may actually be irrelevant to the caliber of his or her performance
and, in some instances, detracts from it.
f. Don't allow things such as appearance, social status, dress, race, sex, age, or other
nonperformance factors to affect performance appraisal ratings.
g. Don't let personal preferences, prejudices, and biases influence your evaluation. A
rater who has a biased or prejudice attitude toward certain groups of people will tend to
look for behavior in these kinds of employees that confirm his or her prejudices. When
rating employees, the manager must consider the same (relevant) behaviors in all employees
supervised.
If a supervisor is to be effective in conducting meaningful performance appraisals, he or
she must recognize these bias tendencies and take steps to compensate for them. Careful
observation, description, and documentation of actual performance on an on-going basis
reduces the tendency for bias by emphasizing job performance over a period of time.
Section I - Conducting Appraisal Interviews
1. General: The appraisal interview is an opportunity to discuss all informal, on-going
feedback provided during the appraisal period. It is especially important because the ratings
are discussed with the employee at this session.
While all of the suggestions regarding feedback, communications, and listening provided
in earlier sections are relevant, this feedback session will have enormous impact on the
employee's feelings (and career) and, hence, deserves special attention. Not only the message,
but the tone and setting are important. This section presents tips and suggestions on the
following:
Declassified and Approved For Release 2013/05/14: CIA-RDP90-0053OR000501060006-9
 Declassified and Approved For Release 2013/05/14: CIA-RDP90-00530R000501060006-9
DIAM 22-58 24 July 1987
Encouraging employee self-appraisal.
Conducting the appraisal interview.
Avoiding pitfalls in appraisal interviewing.
Assessing your own performance in the appraisal interview.
2. Encouraging Employee Self-Appraisal: For the appraisal system to be effective, em-
ployees must be skilled at self assessment. As a supervisor, you can encourage employees
to think about their own performance, and plans for future improvement. Below is a list of
questions that can be given to the employee prior to the appraisal interview.
What do I consider to be the important abilities which my job requires?
What are the ways in which my superiors can help me to do my job better?
In what aspects of my job do I feel I need more experience and training?
What are my major accomplishments for the past year?
What have I done for my personal and/or professional development?
Are there any changes I would like to see made in my job which would improve my
effectiveness?
Are all of my capabilities being utilized in my present position? If not, how can they be
better utilized?
What are specific things I need to do in the next year for my own development?
In what ways could my present position better prepare me for assuming more responsi-
bilities?
What are my long-range plans? What type of work do I see myself doing 5 years from
now? How am I preparing myself for this work?
3. Conducting the Appraisal Interview: In order to effectively conduct an appraisal
interview, there are certain things you must remember to do before, during, and after the
interview. They are described below:
THE APPRAISAL INTERVIEW
WHEN REMEMBER TO:
Before the interview. Select the appropriate setting.
Decide tentatively on an overall rating, and a rating for
each competency and performance area.
Ask the employee to review his or her performance on each
competency and performance area using the established
standard.
During the interview. Establish a relaxed atmosphere.
Present the summary evaluation to the employee.
Relate the discussion of performance to previously estab-
lished standards.
Declassified and Approved For Release 2013/05/14: CIA-RDP90-00530R000501060006-9
 Declassified and Approved For Release 2013/05/14: CIA-RDP90-00530R000501060006-9
24 -1 wy iua i liullvl 22-58
Get the employee's perspective on the ratings.
Recognize areas. of agreement.
Discuss and resolve areas of disagreement.
Establish new goals and plan for improvement.
After the interview. Complete documentation of appraisal.
Monitor new goals.
Encourage development activities.
4. Avoiding Pitfalls in Appraisal Interviewing:
Don't discuss personalities. Concentrate only on job performance.
Don't soft-pedal valid criticism. It isn't fair to either the employee or the organization to
leave the impression that criticism is not important.
Don't simply compare the employee to others. Holding someone else up as a model will not
have a positive effect on the employee's ability or willingness to do the job.
Don't use the "sandwich" technique. The alternation of praise with criticism is always
recognized. The result is that praise goes unheard as the employee takes it as a clue to think
"oh-oh, l .wonder what the boss is going to hit me with now?"
Don't criticize employees for things beyond their control. This will cause them to ignore
valid criticisms you have. Work towards eliminating these factors.
Don't argue about an evaluation. Express your opinion with an explanation of the reasons
behind it, but avoid argument. Redirect the conversation toward what can be done to improve
performance.
5. Assessing Your Own Performance in the Appraisal Interview: Immediately after
the initial interview, use the following checklist to appraise your own performance as a
supervisor. Keeping a file of these and reviewing them when preparing for another interview
can help you improve your interview skills.
Declassified and Approved For Release 2013/05/14: CIA-RDP90-00530R000501060006-9
 Declassified and Approved For Release 2013/05/14: CIA-RDP90-0053OR000501060006-9
DIAiv1 zz-t 24 duly 1987
Appraisal Interviewing Checklist
Date: Interviewee:
Needs
Yes No Improvement
1. Did I establish a relaxed atmosphere? How?
2. Did the employee participate fully in the interview?
3. Did I ask for a self-assessment?
4. Was the discussion of performance always
related to previously established standards?
If not, why not?
5. Were my criticisms constructive?
Which weren't?
6. Did I cover all weak areas? Which did I
skip? Why?
7. Did I cite specific examples when
criticizing?
8. Did I always direct my comments at the job
performance, rather than at the person?
When did I fail to do so?
9. Did I ask for ideas on self-improvement?
If not, why not?
10. Were new expectations mutually established?
If not, why not?
11. Was a program of self-improvement estab-
lished? If not, why not?
12. Did I avoid comparing the employee to
others and discussing personalities?
Declassified and Approved For Release 2013/05/14: CIA-RDP90-0053OR000501060006-9