DEPARTMENT OF THE NAVY PEFORMANCE APPRAISAL REVIEW SYSTEM (PARS)

• Document Type: CREST
• Collection: General CIA Records
• Document Number (FOIA) /ESDN (CREST): CIA-RDP90-00530R000501070005-9
• Release Decision: RIFPUB
• Original Classification: K
• Document Page Count: 27
• Document Creation Date: December 22, 2016
• Document Release Date: October 25, 2012
• Sequence Number: 5
• Publication Date: February 1, 1988
• Content Type: MEMO

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DEPARTMENT OF THE NAVY
orraca or CIVILIAN ItssotosaL NANAININENT
ROO N. INIINCT STRUT
ARLINGTON. VA 11/111011-1011G
I..11104,9 !OPUS 1,0
OCPMINST 12430.1
OCPM 12
1 Feb 1988
OCPM. INSTRUCTION 12430.1
From: Director, Office of Civilian Personnel Management
Subj: DEPARTMENT OF THE NAVY PERFORMANCE APPRAISAL REVIEW
SYSTEM (PARS)
Ref: (a) DON Alternative Performance Appraisal System Program
Manual (NOTAL)
End: (1) CPI 430
1. Purpose. To establish Department of the Navy (DON)
performance management regulations for employees covered by the
Performance Appraisal Review System (PARS). PARS regulations
are based upon a performance management plan approved by the
Office of Personnel Management (OPM), and replace the Basic
Performance Appraisal Plan.
2. Coverage. The PARS?Performance Appraisal Regulations cover
employees in grades GS-1 through GS-12 and prevailing rate employees.
The PARS Performance Award Regulations cover GS-1 through GS-18
or equivalent employees and prevailing rate employees. Thi
Alternative Performance Appraisal System (APAS) may he used in
lieu of PARS, where applicable. APAS covers General Schedule
(GS) supervisors and management officials, grades GS-5 through
GS-12, as defined by the Supervisory Grade Evaluation Guide
(SGEG) and Federal Wage System supervisors and management
officials as defined by 5 U.S.C. 7103. Employees rated under
APAS are excluded from the PARS Performance Appraisal
Regulations. APAS regulations are contained in Appendix A to
this instruction and reference (a), available through the Office
of Civilian Personnel Management Regional Offices and DON offices
listed in Appendix B. This instruction does not apply to the
following: employees specifically excluded by administrative
exclusion defined by OPM for excepted service employees; employees
appraised under the Performance Management and Recognition System
(GS/GM-13 through 15); Senior Executive Service employees;
nonappropriated fund employees; employees in temporary appoint-
ments not to exceed 120 days or less; an individual appointed by
the President; an employee outside the United States who is paid
under local national prevailing wage rates for the area in which
employed; or an administrative law judge appointed under 5 U.S.C.
3105.
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OCPMINST 12430.1
1 FEB 1988
3. 'Action. File enclosure (1) where OPM would file a Federal
Personnel Manual Chapter 430.
4. Forms
a. NAVSO 12430/10, Department of the Navy Performance
Appraisal Review System, SN 0104-LF-924-3050, may be obtained
from the Naval Publications and Forms Center. A sample APAS
form is included in CPI 540; it may be reproduced locally.
Activities may develop APAS and PARS forms. However, all
information on the sample forms must be included in a local form.
DOROT4Y M. MEiETZKE
Distribution:
(See page 3)
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f, 19'. ?12L.X.'
1 FEB 19138
Distribution: (2 copies each unless otherwise indicatee)
SNDL I. (Fay- Department)
L3 (College cnd University)
21A (Fleet Commanders in Ci,ief and Detachment)
23 (Force Cormanders)
24 (Type Commanders) (1css 24J)
26F (Operational Test and Evaluatior Force are
Detachment)
26H2 (Peet Training Group PAC) (Sar ritEc. atc
Pearl Harbor, only)
261.1 (Polaris Meterial Office LANT)
26N1 (Headquarters Support Activity LANT)
2F,(1 (Nuclear Weapons Training Group)_
26S1 (Mobile Technical Unit LANT) (MOILS 2, 1L arc IL
only)
26S2- (Motile Technical Unit PAC) (MOTU 5, only)
26U. (Surface-Force-Readiness Support rr(741t)
(Charleston, only)
267 (Shore Irtermediate Maintenance Activity) (less
Pearl Harbor)
26:: (Fleet Area Control-and- SurveillLnee Fe.eilit)r)
26LL2 (Fleet Data Processing Service Center, PAC)
26QQ2 (Special U'arfare.Group_and-Unit PAC)
(COMNAVSPECWARGRU 1, onl)
26RR- (Fleet _Imaging Command, Fleet Audicr:inual Comrand
Center, Facility and Detachment) .(less .
FLTIMAGCOMLAFT :nckrerville)
26DDD ? (Fleet Cotbat-Systems Training. Unit) .
27G (Support Force) -
2FC2 (Surface Groun and Force Representative PAC)
(COMNAVSURFGEt ElDPAC, only)
39B (Construction Bettalions)
391 (Construction Battalion Maintenance. Unit)
40B (Control -of Shipping Officer) (bahrair;, urI7')
41A (Commander, MSC)
41B (Area Commanders, MSC)
41C (Sub-Aret Commanders, MSC)
41D3A (Offices, MSC) (United Kingdom, Honolulu, Pusa:r.,
Alaska, Seattle, Long Beach, Norfolk, rre
Port Canaveral, only)
42A (Fleet Air Corrands)
42B1 (FunctionL1 Wing Commander LANT) (less
COMSEABASEDASVVIMSLANT)
42? (Functorai Wing Commander PAC) (less
COMLATWINCPLCISAT)
42D (Fleet_ Aviation Specialized Operational
Training Group)
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OCPMINST 12430.1
1 FEB 1988
Distribution:
SNDL 42P1
42P2
PART 2
D1D
E3A
FAIO
1138
FJC1
FKP1G
FKR1A
FKR4A
FT31
MARCORFS L27
Copy to:
SNDL 85-
87
;50A
S/HUO. (3)
W2PSO/DW
(Continued)
(Patrol Wing and Squadron LANT) (VP) ('TPU)
(PATWING 5, 11 only)
(Patrol Wing and Squadron PAC (VP) (VPU)
(PATWIEG 1, 2, 10, PATWINGSPAC DET ADAK, PATVITC
ON DET Agana, Cubi Point, Eadeua, Misawa, only)
Naval Shore Activities (less A, B. C40,
C438, C7, E3A (NRL), FA10, FB36 (ADAK, AK)
FF36, FjCI, FKP1G, FKR1A, FKR4A, 1T31, and V)
(Office of Civilian Personnel Management) (25)
(Laboratory ONR) (Nil only) (8)
(Submarine Base LANT) (4)
(Naval Academy) (4)
(Civilian Personnel Center) (3)
(Naval Ship Weapons Systems Engineering Station) (4)
(Air Station WAVAIRSYSCCn) (6)
(Missile Test Center) (6)
(Training Center) (7) -
(200)
(U. S. Coast Guard) (COMDT COGARD, onlv)
Inter-Service Civilian Personnel Support
Activities)
(Unified and Specified Commands) (USCINCPAC and
USCINCLANT, on17)
Stocked:
CO, NAVPUBFORECEN
5801 Tabor P.er.ue
Philadelphia, PA 19120-5099 (500 copies)
4
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OCPMINST 12430.1
1 FEB 1989
CPI 430
DEPARTMENT OF THE NAVY
PERFORMANCE APPRAISAL REVIEW SYSTEM
1. Purpose. This instruction establishes Department of
the Navy (DON) regulations for employees covered by the
Performance Appraisal Review System (PARS), and implements
the DON performance management plan approved by the Office of
Personnel Management (OPM).
2. Policy and Program Objectives. The DON will use
PARS as a management process to integrate performance,
pay and awards with basic management functions, to improve
individual and organizational effectiveness, and to accomplish
agency mission and goals by providing a means to:
a.
b.
Plan, direct, evaluate and improve employee work.
Identify individual accountability.
c. Permit employee participation in developing goals and
work requirements.
d. Communicate goals and work requirements.
e. Effect probationary actions.
f. Grant or deny general schedule (GS) within-grade
increases (WGI's) and Federal Wage System (FWS) increases.
g. Grant awards to recognize and reward high-level
performance.
h. Grant quality step increases (QSI's) to GS
employees for "Outstanding" performance.
i. Use performance awards to motivate employees toward
increased productivity and creativity, support and enhance
agency and national goals, meet employee recognition needs
and obtain maximum benefits for the Government.
j. Promote, develop, or retain employees in reduction-
in-force.
k. Effect removal, reassignment, and demotion based upon
performance.
Enclosure (1)
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OCPMINST 12430.1
_ 1 FES 1988
CPI 430
1. Integrate performance management into other civilian
personnel programs including position classification, staffing,
employee and labor relations, employee development and equal
employment opportunity.
3. Coverage. PARS covers employees grades GS-1 through
GS-12 and prevailing rate employees not covered by the Alternate
Performance Appraisal System (APAS). APAS, where adopted, covers
GS supervisors and management officials, grades 5 through 12, as
defined by the Supervisory Grade Evaluation Guide and Federal Wage
System supervisors and management officials as defined by
5 U.S.C. 7103. Employees rated under APAS are excluded
from the PARS Performance Appraisal Regulations in paragraph
below.
4. Definitions
a. "Activity" means a field installation, headquarters
command or office.
b. "Aciivityllead-Desivite" means the militaryofficer or
civilian official whol approves PARS ratings of _record an
performance_awerds. This will typically be at a level no lower
than the official responsible for managing to payroll.
c. "Appraisal" means the act or process of reviewing and
evaluating the performance of an employee against the described
performance standard(s).
d. "Appraisal Pii-W" means the period of time for which an
employee's performance will be reviewed. The DON minimum appraisal
period is 90 days; each activity will establish a fixed, annual
appraisal beginning/ending date (large activities may establish
two fixed dates).
e. "Appraisal System" means the performance appraisal
system established by DON under 5 U.S.C. Chapter 43, Subchap-
ter 1, and 5 CFR Part 430, which provides for identification
of performance elements, establishment of performance standards,
communication of elements and standards to employees, establishment
of methods and procedures to appraise performance against
established standards and appropriate use of appraisal information
in making personnel decisions.
f. "Close-out Rating" means a wz-itten summary_rating," as
defined in 5 CFR 430.203, conducted when an employee or supervisor
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OCPMINST 12430.1
1 FEB 1988
CPI 430
leaves a position after The employee -bas-beenAinder 'established
performance standards for 90 days. Close-out ratings are interim
appraisals and do not serve as the annual rating of record.
g. "Critical Element" means a component of a position
consisting of one or more duties and responsibilities which
cortributes toward accomplishing organizational goals and
objectives and which is of such importance that unacceptable
performance of the element would result in unacceptable
performance in the position.
h. "Element Rating" means the rating assigned to each
critical element.
i. "Interim Appraisal" means any progress review, training
appraisal or close-out rating conducted throughout the annual
performance appraisal period.
j. "Major Command" means headquarters organizations listed
in Appendix B.
k. "Non-critical Element" means a component of an
employee's position which does not meet the definition of a
critical element, but is of sufficient importance to warrant
appraisal. Non-critical elements will not be used in DON.
1. "Performance" means an employee's accomplishment of
assigned work as specified in the critical elements and
standards of the employee's position.
m. "Performance Award" means a one-time _cash payment to an
employee based on the employee's annual rating of record.
n. "Performance Award Budget" means the 1.5 percent ceiling
of aggregate base salaries allocated by major commands for
possible distribution as performance awards.
o. "Performance Management Plan" means the description of
DON's methods which integrate performance, pay, and awards
systems with its basic management functions for the purpose of
improving individual and organizational effectiveness in the
accomplishment of Department mission and goals. The Performance
Management Plan; which describes the individual performance plans,
has been approved by OPM.
3 Enclosure (1)
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OCPMINST 12430.1
1 FEB 1988
CPI 430
A). "Performance Plan" means the aggregate of all mrittet
critical elements and performance standards.
q., ."Wforesuca.4Sand424d" means a staymmtlofvhe
expectaticnti ar,Fequirements established by iina-gement for a
critical element at a particular rating level. A performance
standard may include, but is not limited to, factors such as
quality, quantity, timeliness, and manner of performance.
r. -"Ptegi-ess Review" means a review 61 the employee's
progress7toward achieving the performance standard(s) and is
not in itself a rating.
s. "Quality Step Increase" means a faster than normal
step increase for an "Outstandinel performance rating of record.
t. "Rating of .Record" means the annual Suimary Rating
required at the time specified by the activity unless a special
rating is conducted to support a within-grade increate deter-
minatio-h---as required by 5 CFR 531.404, in which case the
special within-grade increase (WGI) rating becomes the rating
of record. The rating of record is the official rating for pay,
performance award and retention purposes.
u. "Summary Rating" means the overall rating assigned when
conducting a close-out rating or a rating of record. The
five summary rating levels are: Level 5, Outstanding; Level 4,
Exceeds Fully Successful; Level 3, Fully Successful; Level 2,
Minimally Successful; and Level 1, Unacceptable.
v. "Supervisor" means an employee in a position having
authority to perform one or more of the following functions
with respect to at least one subordinate employee, or to
effectively recommend such actions as: hiring, directing,
recalling, suspending, disciplining, removing, adjusting
grievances, assigning, promoting, rewarding, training,
transferring and furloughing.
w. "Training Appraisal" means an appraisal or sumrary
rating conducted as part of a formal training program, lasting
more than 90 days, conducted under CPI 410. Training appraisals
are interim appraisals and are not used as the annual rating of
record.
5. Responsibilities
a. The Assistant Secretary of the Navy (Manpower and
Reserve Affairs) (ASN (MA)) will develop PARS policy.
Enclosure (1) 4
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OCPMINST 12430.1
1 FEB 1988
CPI 430
1). The Director, Office of Civilian Personnel Management
(OCPM), will issue policy and evaluate its implementation.
c. The Chief of Naval Operations (CNO); the Commandant of the
Marine Corps (CMC); the Chief of Naval Research (CNR); and the
Assistant for Administration, Deputy Under Secretary of the Navy
(Policy) (AA/DUSN (P)) are responsible for program implementation and
execution of delegated PARS responsibilities in their organizations.
d. Commands listed in Appendix B will:
(1) Issue guidance and organizational requirements to
their activities as needed.
(2) Approve and notify OCPM of use of APAS.
(3) Decide PARS performance award expenditure targets
for their activities.
e. Activity heads will:
(1) Manage the activity PARS and APAS program, which
includes ongoing evaluation.
(2) Request approval from the major commands.or offices
in Appendix B to use APAS, if desired.
(3) Establish the annual, fixed beginning and ending
dates of the appraisal period.
(4) Determine if, in addition to the "Fully Successful"
performance standard, the "Exceeds Fully Successful" and "Minimally
Successful" standards will be required in writing.
(5) Make final PARS or APAS coverage determinations.
(6) Establish activity organizational requirements.
(7) Provide training and/or orientation to PARS and APAS
employees, supervisors, and other staff officials as appropriate.
(8) Determine location(s) for maintenance of PARS records
and forms.
5 Enclosure (1)
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OCPMINST 12430.1
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CPI 430
f. Activity head designees will:
(1) Ensure that funding is available to pay PARS
performance awards in consonance with expenditure levels
established by higher commands.
(2) Provide final approval of PARS ratin srof record,
performance awards, and quality step increases.
g. Second level supervisors will3
(1) Review, approve or disapprove and/or modify covered
employees' performance plans and plan changes.
(2) Review and recommend final approval of ratings of
record, performance awards, and quality step increases.
jh. First level supervisors will.
(1) Develop a performance plan for each covered
employee including at least one written critical element and
the "Fully Successful" performance standard for each element.
(2) Encourage employee participation and ensure that
covered employees are involved in the development of
performance plans (see paragraph 6b(3) for recommended
options).
(3) Provide employees with a copy of their written
performance plan within 30 days of the beginning of each
appraisal period and for each detail or temporary promotion
expected to last 120 days or longer.
(4) Prepare a close-out rating when the supervisor
leaves the position after the employee is under performance
standards for a minimum of 90 days; when an employee completes
a detail or temporary promotion of 120 days or longer under
established performance standards; when an employee changes
positions after being under established standards a minimum of
90 days; or when an employee moves to a new agency or organiza-
tion after being under established standards a minimum of
90 days. The close-out rating will be forwarded to the'
employee's supervisor of record.
Enclosure (1) 6
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OCPMINST 12430.1
1 FEB 1198
CPI 430
(5) Conduct progress revieys as appropriate (but nolg-16-at
than one at?old-oyola,).
(6) Propose final ratings of record.
(7) Recommend performance awards as appropriate.
(8) Provide a copy of the final approved rating of
record to each covered employee as soon as possible, but no later
than 90 days after the end of the appraisal cycle.
(9) Prepare a special rating of record when a
_ within-grade increase determination is not supported by the most
recent rating of record.
(10) Provide assistance to employees who receive a
rating of record below the "Fully Successful" level.
(11) Initiate corrective action when an employee fails
to meet a critical element, including a training plan as- -
appropriate, and following procedures in CPI 432 as appropriate.
(12) Review and certify position descriptions as accurate
and current.
i. Covered employees will:
(1) Participate in the development of their performarce
plan as required.
(2) Participate in a progress review(s).
j. Servicing Civilian Personnel Offices will:
(1) Advise supervisors and covered employees on PARS
requirements and related performance management issues.
(2) Maintain PARS records and forms. At the request
of activity heads, those records may be retained centrally
outside of the Civilian Personnel Office (CPO) and in one or more
locations in the activity. They will be made accessible to CPOs
for pay, award, RIF and other personnel actions.
(3) File and forward close-out ratings, ratings of ret-ord
and performance plans as appropriate.
7 Enclosure (1)
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OCPMINST 12430.1
1 FEB 1188
CPI 430
(4) Ensure that, within legal constraints, performance
awards and quality step increases are accurately and timely paid.
(5) Ensure that supervisory certifications of position
description accuracy are reviewed and appropriate actions taker.
6. Performance Appraisal
a. Appraisal Period
(1) A fixed annual appraisal period is required for
rating of record purposes. Activities will designate the fixed
beginning and ending dates of the appraisal period. tiot_more -
than rift() fixed rating periods will be established within an activity.
-
(2) To receive a rating of record, an employee must have
served for a minimum appraisal period of-90-dapt under an approved
performance plan at the same grade level. If necessary, the
employee's rating period will be extended beyond the activity fixed;
ending date to insure the minimum 90-day periodf- -
b. The Performance Plan
(1) Individual employee performance plans shall be in
writing. Performance elements and standards will be prepared
based on the requirements of the employee's position. foOttic
elements and standards may be used.
(2) Accomplishment of organizational objectives
should, when appropriate, be included in performance plans by
incorporating goals, program plans, or other similar means that
account for program results.
(3) Employee participation is encouraged in
establishing performance plans. This may be accomplished by
means including, but not limited to, those cited below.
(a) Employee and supervisor discuss and develop the
performance plan together.
(b) Employee provides a draft performance plan to
supervisor.
(c) Employee comments on draft performance plan
prepared by supervisor.
Enclosure (1) 8
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OCPMINST 12430.1
1 FEB 1988
CPI 430
? (d) Performance plan is prepared by a group of
employees occupying similar positions.
Final authority for establishing such plans rests with the
supervising officials.
(4) A minivpm of one critical element wiII?be-iiiiialshed
for each position. However, it is strongly recommended that
employees receive at least three critical elemen%s, and wherever
possible, an odd number of Criti-Cal elements to facilitate the
final rating process. A minimum of three critical elements is
recommended. Non-critical elements wIll not be used.
? .
(5) Performance standards are based upon a five-level
summary rating system. The five levels are:
Level 5 Outstanding (0)
Level 4 Exceeds Fully Successful (EFS)
_Level 34 Fully Successful (Ft)
Level 2 Minimally Successful (MS)
Level 1 Unacceptable (U)
(6) The "FS" standard for each critical element must be in
writing. Activities may require the "EFS" and "MS" standard in'
writing in addition to the "FS" standard. The "0" and "U"
standards will not be written. An exception to this rule would
exist for special critical elements where a "U" standard would be
established in a pass-fail situation; e.g., for nurses giving
controlled drugs or employees handling highly toxic wastes,
etc. The "MS" standar41-must_be,provided in writing at any 4me
that performance falls'below the "Ps" level and in a notice of
opportunity to improve issued prior to performance-based
reassignment, removal or reduction in grade.
(7) Performance plans shall be reviewed and approved at
the beginning of the appraisal period by a person at a higher
level in the organization than that of the appraising official
unless the appraiser is the commanding-officer,:head of
activity, flag officer or Senior Executive Service member.
(8) Employees will be provided copiiS of their approved
written performance plans within 30 der after the beginning of
each appraisal period, and of each detail or temporary promotion
expected to last 120 days or longer. Upon receipt, employees-will-
sign and date the plan. (Note: Employee's Signature does not '
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OCPMINST 12430.1
FEB 1988
CPI 430
necessarily constitute agreement with the plan; it merely signifies
that the employee has received it.)
(9) When Ilkointive.,Ch Alp& to elements and
standards, the revisions wili be rev ewed ind 41:1prOvid 1y:4i:higher
offiairthan the appraising official except as provided in
paragraph (7), above. Changes become effective when the employer
receives a copy of the revised approved plan.
(10) At the time performance standards are set', supervisors
must certify on the performance appraisal form, the currency and
accuracy of the employee's poOtinn-description.
c. Interim Appraisals. Interim appraisals inelude
progreli reviews, training appraisalsand close-out ratings and
shall be conducted throughout the annual performance appraisal
period as required below. Interim appraisals shall bei
considered in determining the annual rating of record.
However --they-shall not be used as the annual rating of
reCtord.-i-
(1) Progress-RevieW: Progress reviews 46-hiit
require a written summary rating. Progress reviews shall be
conducted as follows:
(a) A review of the employee's performance shall
be conducted at least once midway through the appraisal period.
At a minimum, employees shall be informed of their level of
performance by comparison with the performance elements and
standards established for their position. The immediate
supervisors and the employee will sign and date the performance
appraisal form to indicate that the review was conducted.
(b) Any time during the appraisal period that
an employee's performance falls below the "Fully Successful'
level, the "Minimally Successful" standard will be provided to
the employee in writing (unless already described in the
performance plan). This standard will be provided to an employee
as part of the "notice of opportunity" Period for "Unacceptable
performance under the provisions of 5 U.S.C. 4303 and CPI 432:.
(2) Close-out Ratings. A written close-out rating will
be conducted as required below. A close-out rating may be used
to appraise performance of collateral duties. The supervisor
and the employee will sign and date the performance appraisal form.
(Note: Employee's signature does not necessarily constitute
agreement with the rating; it merely signifies that the employee
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OCPMINST 12430.1
1 FEB 1988
CPI 430
has 'seen it.) The appraisal form shall be forwarded to the
appropriate supervisor who will consider the close-out rating
when preparing the rating of record.
(a) An employee completes a cltiail-:or7-ItiMlioiiry
promotion.of 120,4aysgor longer under established performance
standards. This requirement alifo-applies-to-eripiliyees-ai
"loan" from another activity/agency for T20days.
(b) An employee changes positipns after being under
established standards a minimum of 90 daysl
(c) An employee movel to a new agency/activity or
organization after being under established standards a minimum
of 90 days.
(d) The -first level Supervisor leaves the position
after the employee is under established _standards a.minimtnn Aof
99-daYs, (In this situation, the employee would continue under
the same performance plan under the new supervisor.)
(3) Training Appraisals. When training appraisals
conducted under CPI 410, Appendix G, cover "Individual Development
Plans" of at least 90 days, they will be considered in the annual
performance rating process. Training appraisals -shall abt-servec
as a close-out rating or as a rating of record.- In these instances
accomplishments must be evaluated on the prescribed activity
annual performance appraisal form by use of the procedures
described in this instruction.
d. Summary Rating
(1) A summary rating is completed for close-out ratings,
special within-grade increase ratings, and the annual ratingof
record.
(2) Ratings will be based on a comparison of performance
against written standards.
(3) Each element is initially rated at one of the
element rating levels described in subparagraph 6d(4)(a), below,
Element ratings are then converted to one of five summary
rating levels using the criteria in subparagraph 6d(4)(b), below.
-An employee rated below "Fully !Successful" on a-critical element
may not receive a summary rating- above level 2.
11 Enclosure (1)
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Declassified and Approved For Release 2012/10/25: CIA-RDP90-00530R000501070005-9
OCPMINST 12430.1
1 FEB 111110
CPI 430
.(4) Alement -raceme 40111410.
(a) Definitions of the element levels are provided
below. Definitions serve as a guide to determine the element
rating. They are not used as performance standards.
1'. Element Tans,aFf defined as.
performance, standards_ are written at the "Ft;117?cfss_ful"_leve.11
Gap
Ratings Definitions
ABOVE FULLY SUCCESSFUL Work accomplishments exceed the
(AFS) "Fully Successful" criteria,
depicting unusually good or
excellent quality or high quantity
of work provided ahead of schedule
and with less than normal
supervision.
FULLY SUCCESSFUL (FS) Work accomplishments are of
good quality. The individual
produces the expected quantity
of work. Results are in
consonance with policy and
schedules on work completion
are met.
BELOW FULLY SUCCESSFUL (BFS) Work accomplishments fail to
meet the "Fully Successful"
standard and the individual
needs improvement to reach
that level. A detrimental
effect on the organization's
success in accomplishing
work assignments is recognized.
There is a need for closer
supervision, correction of
work results and remedial
training.
2. Element ratings are defined as follows when
performance standards are written at three levels ("Fully Successful",
"Exceeds Fully Successful", and "Minimally Successful"):
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Declassified and Approved For Release 2012/10/25: CIA-RDP90-00530R000501070005-9
Ratings
OUTSTANDING (0)
OCPMINST 12430.1
/ FEB 1999
CPI 430
Definitions
Work accomplishments exceed
the "EFS" criteria, depicting
excellent quality and high
quantity of work.
EXCEEDS FULLY SUCCESSFUL (EFS) Work accomplishments meet the
"EFS" criteria.
FULLY SUCCESSFUL (FS)
MINIMALLY SUCCESSFUL (MS)
UNACCEPTABLE (U)
Work accomplishments neet the
"FS" criteria.
Work accomplishments meet
the "MS" criteria.
Work accomplishments fail to
meet the "MS" criteria.
(Note: When standards are written at three levels, the rating
form should be modified at the local level.)
(b) Definitions of the five summary rating levels are
provided below. Definitions are used to convert element ratings
to a final summary rating.
1. The following def in t ions_ are Amed when -pert orman c e
standards_ are-written at the "Fully Successful" level Only t;
Rating Definition
OUTSTANDING Rated "Above Fully Successful"
(Level 5) on all critical elements'!-and
made significant contributions
to the organization's mission.
EXCEEDS FULLY SUCCESSFUL Rated "Above Fully Successful"
(Level 4) on the majority of critical
elements.
FULLY SUCCESSFUL Rated at least "Fully Successful"
(Level 3) on all critical elements.
13 Enclosure (1)
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Declassified and Approved For Release 2012/10/25: CIA-RDP90-00530R000501070005-9
OCPMINST 12430.1
1 FEB 1111
CPI 430
MINIMALLY SUCCESSFUL
(Level 2)
'UNACCEPTABLE
. (Level 1)
ance standards
"Exceeds Fully
Rating
OUTSTANDING
(Level 5)
Rated "Below Fully Successful"
on one or more critical
elements but did not fall
below the "Minimally
Successful" standard on any
element.
Failed to meet the "Minimally
Successful" standard on one or
more critical elements.
2. The following definitions are used when perform-
lrre written at three levels ("Fully Successful",
Successful", and "Minimally Successful"):
Definition
Rated "Outstanding" on the
majority of critical elements
and all?elements rated at least
Exceeds Fully Successful; employee
made a significant contribution
to the organization's mission.
A majority of critical elerents
rated "Exceeds Fully Successful"
or better; the remainder rated at
least "Fully Successful".
Rated at least "Fully Successful"
on all critical elements.
EXCEEDS FULLY SUCCESSFUL
(Level 4)
FULLY SUCCESSFUL
(Level 3)
MINIMALLY SUCCESSFUL
(Level 2)
UNACCEPTABLE
(Level 1)
At least one critical element
rated "Minimally Successful".
At least one critical element
rated "Unacceptable".
(5) In those cases where the "FS standard is the sole
written standard, an employee may receive a final summary
rating two levels above the "FS" level or two levels below the
"FS" level; i.e., an "0" rating or a "U" rating, by use of the
extrapolation system described above,
(6) A written rating of record shall be completed
within 30 days following the completion of the_arinual
performance cycle unless the employee has not completed 90 days
Enclosure (1) 14
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Declassified and Approved For Release 2012/10/25: CIA-RDP90-00530R000501070005-9
OCPMINST 12430.1
1 FEB 1988
CPI 430
under,approved performance etandarda_. When the activity cannot
prepare a rating of record at the end of the appraisal period,
the period shall be extended to allow 90 days under approved
sti.B4WiLlt.110fkotiime a-matimg-Jwill-be conducted-.
(7) When appraisal information is available, the
AratiNt:Of_record will be basitCmpon. the autixa,year,:s
performance. Inter_444.APPraimaiD must be taken_inp
coneAex*tion. A reasonable effort will be made to obtain
interim appraisals including summary ratings from other
agencies/activities. Factors such as length of time in the
position and relationship to current line and level of work
and the significance of work accomplishments will determine the
degree of impact of the interim appraisal on the final rating of
record.
(8)-Ratings of record shall be reviewed and
zalWrOveg by a person(s) at Juhigher level in the organization
than that of the appraising official unless the appraiser is _
the Commanding Officer, activity head, flag officer or a member
of the Senior Executive Service. Ratings must also be reviewed
by an individual within the organization Vith -responsibility
for the performance award funds. Major commands and activities
may delegate this responsibility; however, it may not be delegated
be1oW 'the level of the activity head designee.
(9) 'Ratings of record they not be /communicated to
enployees prior -to.approval by the final reviewer. Discussion
of a performance appraisal prior to conducting the rating is
encouraged. The employee should be provided an opportunity to
discuss work accomplishments. However, the supervisor shall
not communicate specific ratings on elements and the summary
rating prior to approval. Rating forms provided to the
employee shall not reflect changes made by the reviewing-official.
(10) The performance rating-form shall be signed
and dated,by the employee, after, the immediate supervisor and the
reviewer(s) have reviewed and approved the rating. (Note:
Employee's signature does not necessarily constitute agreement
with the rating; it merely signifies that the employee has
received it.)
(11) Employees shall be provided a copy of their
rating of record within 90 days of the end of the annual
appraisal cycle.
15 Enclosure (1)
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Declassified and Approved For Release 2012/10/25: CIA-RDP90-00530R000501070005-9
OCPMINST 12430.1
. 1 FEB WI
CPI 430
- (12) When the-lepprtisal-partedemmmmt-A*Augumulackmo
that en-employee can perform for a-Ininiemm-90-4ayppraisal-period
under-approved -performance standards, e.g., While on extended
llizstiojiy..tor:zzigining, the employee vI11 not receive
aeteddeOP
(13) A prescribed distribution of ratings is
prohibited.
(14) The performance appraisal and resulting rating
may not be lowered because a disabled veteran has been absent
from work to seek medical treatment as provided in Executive
Order 5396, dated July 17, 1930.
(15) Employees who receive a rating of record below
the "FS" level must receive assistance in the form of formal
training, on-the-job training, counseling, close supervision or
other appropriate measures to enable them to perform at the "FS"
level.
-(16) A special written rating will be completed when
a WGI determination is not supported by the most recent rating
of record. That rating becomes the official rating of record.
(17) A written summary-rating- willl-not be conducted
immed4te1y -prior to a,-career-ladder promotion or priorto a
0-erformance-based riaasignmg4t4V-IMBINKUPPLor :removal .
7. Grievances and Appeals. Covered employees who are not
members of a bargaining unit may grieve through the
administrative grievance procedure. Covered employees who are
bargaining-unit members may grieve through the negotiated
grievance procedure. Appealable issues may be appealed to the
Merit Systems Protection Board. The Special Counsel of the Merit
Systems Protection Board shall review any allegation of a
prohibited personnel practice. Guidance on grievable/appealable
matters is as follows:
a. Contents of the individual performance plan are neither
grievable nor appealable.
_ b. Failure to -inform employees of r?tical elements ?
standards within the required time frame is grievable.
c. Ratings on individual elements iand summary ratings are
grievable.
Enclosure (1) 16
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Declassified and Approved For Release 2012/10/25: CIA-RDP90-00530R000501070005-9
OCPMINST 12430.1
1 FEB 1948
CPI 430
.d. Performance-based demotion-I and tettlovais ,aay tbe
grieved through the appropriate negotiated grievance procedure
or appealed to the Merit Systems Protection Board but not both.
e. Performance Mares are not_grievOle under administrative
grievance procedures.
8. Performance Recognition
a. General. DON will use PARS and APAS performance
appraisals and record as the basis for employees
advancing in the pay range, including within-grade increases and
quality step increases. They also serve as the justification
for performance awards. The performance award replaces the
Sustained Superior Performance Award. Special _Act_Awards
are considered incentive awards and not performance -aWatids.
b. Responsibilities
(1) CMC, CNO, CNR, AA/DUSN (P). and DON commands will ensure
that proper and equitable performance ratings and resulting
payouts and awards are granted to covered employees. CMC, CNO,
CNR, AA/DUSN (P) and DON commands, will also ensure that no more than
t.5 percent of the employees' aggregate base pay is spent-orL,
performance awards. That responsibility may be delegated to
activity heads or activity head designees.
(2) Activity heads or activity head designees wi1i1
approve individual employee quality step increases and one-time
perfoi-mance awards -following the parameters.shOwn
conversion table in paragraph 8f. These officials are encouraged
to base payouts on group efforts, particularly for APAS, where
performance standards are similar.
c. Within-Grade Increases
(1) Federal Wage System (FWS). Employees will receive
within-grade increases when eligible and if their performance is
satisfactory. Satisfactory performance equates to a "FS" or
better rating of record.
(2) General Schedule (GS). Employees covered by this
instruction will receive within-grade increases, when eligible,
if their performance is at an acceptable level of competence.'
Acceptable level of competence equates to a '11r. or better rating
of record.
17 Enclosure (1)
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Declassified and Approved For Release 2012/10/25: CIA-RDP90-00530R000501070005-9
OCPMINST 12430.1
? 1 FEB 1088
CPI 430
(3) FWS and GS. When awikt144wadivAp-qcsoig decision
is not, consistent bath the employees lost _recent .rating met d,
a more current rating of recorCIR4stPr*Part o
record used as the basisfor an ace4tab1e leVe of competence
determination for a within-grade increase must have been assigned
no earlier than the most recently completed appraisal period. The
notice of negative determination must contain the "Minimally
Successful" standard for any element evaluated below the "Fully
Successful" level.
d. Quality Step Increases (QSI) for GS Employees
(1) General Schedule employees with current "Outstanding"
ratings of record are eligible to be awarded_a QSI. The'QSI
is an adjustment to base pay, and is illaddition to any one?time
performance award the employee may. receivetitherefore; -ca'refiir
consideration should be given before recommending a QSI.
(2} The recommendation for a 4WI-pust be forwartlid
at the same time as the employee's proposed "Outstanding" rating
is being submitted for approval: The QSI must be approved by the
same supervisors who approve the employee's rating of record
and the activity head designee.
(3) Where possible, the QSI Will be paid effectiveAao
later-than 90 days after the end of the appraisal period.
Notwithstanding management's ability to-recogni-ze'Outstanding"
performance with the QSI and/or a performance, award,
5 U.S.C. 5336 requires that there be a 524feek period
betWien QSI's.
(4) QSI's are not charged against the 1.5 percent
mance awards budget, but are included in the Object Class
erfor-
1 budget.
e. Performance Awards
(1) Policy. Performance awards will be used to
motivate employees by recognizing and rewarding those who
attain high levels of performance both for individual
performance and in support of group efforts. Awards shall be
based on the employee's rating of record for the current
appraisal period for which performance awards are being paid.
These awards replace the Sustained Superior Performance Award.
The Special Act Award is not considered to be a performance
award. See OCPMINST 12451.1.
Enclosure (1) 18
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Declassified and Approved For Release 2012/10/25: CIA-RDP90-00530R000501070005-9
OCPMINST 12430.1
.1 FEB 1988
CPI 430
(2) Eligibility. GS employees in grades GS 1-18, or
equivalent, and prevailing rate employees are covered. An
employee is eligible-to receive a zark9.MmIKAtAm4e4aibta.ltn
a--GSprivalent. ci.qp,nr previa/JAW; es4d
by-AnApproVid", - *Mance plan_on the4asLday orUTTJ
.
performancs spOralse%period, incliaWintAix -10*.4to
providethe needed 90-days in -which to rata amp yeast Employees
on long-term training are eligible for a performance award
training directly benefits the employ*ng_acti.v#y. An employee
will not be eligible when the employee is -ami-JeaVelWilaKMM, pay
for a period of time such that he or she is not-in.la-pay sta;us
during the appraisal cycle for at least the minimum appraisal
period; or is newly appointed to the Government within-90 days
of the end of the activity's appraisal:period.
(3) Recommendation and Approval. Performance awards
shall be reviewed and approved by activity head designees, who
are normally at a higher level in the organization than that of
the reviewing official who concurs in the official rating of
record. Performance awards should be considered together-where
the employees have the same or similar performance standards
and are working together in support of the same organizational
requirements.
(4) Funding Levels. Commands listed in Appendix
shall establish 1.5 percent of aggregate base salaries of
covered employees as the maximum funding level for performance
awards. No minimum:funding level is provide lt The aggregate
base salary will be calculated based on the numberof covered
employees as of the last day of the appraisal cycle. Commands are
responsible for deciding the PARS performance award expenditure
targets for their activities. Activity targets may be set at
different levels so long as the command's total PARS performance
award expenditure does not exceed the 1.5:percent. (OSIs are not
charged to the 1.5 percent limit).
(5) Payment of Awards
(a) Employees may be considered for performance
awards using the percentage amounts shown in paragraph 8f, below.
(b) For employees in the same grade within each
organizational element having responsibility for managing a
performance award budget, performance awards for "Outstanding"
must be greater than_those for "EFS", and performance awards for
"EFS" Must be gieater than those for "Fr performance. An
exception to the rule is permitted in those cases where an
employee has been promoted during the performance appraisal period.
19 Enclosure (1)
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Declassified and Approved For Release 2012/10/25: CIA-RDP90-00530R000501070005-9
OCPMINST 12430.1
1 FEB UMB
CPI 430
In Such cases the full payment of a performance award may be
restricted to a lesser amount, bu;_po_less.than 2.percent?of
base ipty for ,an ,employee -rated 1.10114,yln11017
? - it7,
(c) All performance award nominations shell be
submitted to the appropriate approval authority within 30 days
of the end of the employee's appraisal cycle. Performance
awards must be documented on Standard Form 50 and paid within 90
days of the end of the employee's appraisal cycle.
(d) The receipt of, failure to receive, or amount
of, a performance award is excluded from administrative grievance
procedures. In addition, matters related to performance awards
or other awards are not appealable to the Merit Systems Protection
Board, except that the Special Counsel shall review any allegation
of a prohibited personnel practice.
f. Rating/Payout Conversions
Payout Conversion?Table_
Within-grade Quality Step Performance Award (PA)
Ratings Increase Increase (QSI) % of Salary
-0
FULL
1 -4
2-20% 2-/
EFS
FULL
_ELIGIBLE
NO
0-10%
FS
FULL
NO
0-10%
M
ZERO
NO
ZERO
U
ZERO
NO
ZERO
1/
1-/The payment-of QSI's and/or _PA's is optional;
=!Awards of more than 10 percent and up to 20 percent may be
given for unusually outstanding performance. They must be approved
by the command headquarters.
9. Records
a. Retention
(1) Employee's performance ratings of record and perfornance
plans may be maintained in the Civilian Personnel Office, or at the
activity head's discretion may be maintained centrally in one or
more activity locations. Activities shall ensure that records are
made accessible to CPOs for pay, award, RIF and other personnel
actions, and that employees' performance rating data are input to
the Naval Civilian Personnel Data System (NCPDS).
Enclosure (1) 20
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?
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OCPMINST 12430.1
?1 FEB 1909
CPI 430
(2) Performance ratings of record and individual perform-
ance plans shall be ggpAingfVfor.three c4/endar*yeirt. Supporting
documents shall be ref/I:Died at leastone calendar year. Documents
may be retained in the Official Personnel Folder (OPF) or the
Employee Performance File (EPF). When filed in the OPF, they
shall be placed on the WudAsmpormily) side of the folder.
The personnel data system may be used to retain and print out
performance ratings. The CPD or designee will sign the printout
to validate their accuracy.
b. Disposition.- When the employee's OPF is sent to another
servicing office in the employing agency, another-agency, or the
National Personnel Records Center, the-"lotineservicingioff*Pe
shall include in the:DPVall rtings,of,record completed-inthe
previous three-year period. As viii. 88 the-performance 41,in on
whiqh_Oe:pOst..,reCent _rating_ltalL:beted and the.,..sOnsser*:Iritinft
prepared-When the employee or supervisor changes positions. The
losing office_ will purge the OPF of all rating's of record more
than three years old, performance _plans more than one year-old-
and other performance---related records according to agency policy
established under-5 CFR 293.404(a) and.FPM_Supplement 293-31.
10.- Evaluation of the Performance Appraisal Program. The
effectiveness of the program will be measured through -or.-site .
evaluations conducted by the DON Office of Civilian Personnel
Management (OCPM) and by analysis of statistical data requested
by OCPM. Local activities should continuously monitor PARS
operation and correct deficiencies as necessary.
11. Relationship to other Performance-Based Personnel Actions
a. Promotions
(1) Career-Ladder Promotions. Performance appraisals
shall be used as a basis for determining eligibility for career-
ladder promotions. To be promoted, an employee must be
performing at the "0" level or better on-all critical elements
A written rating of record will not be conducted as part of the
career-ladder promotion appraisal process.
(2) Merit Promotion Actions, The rating of record
will be used in merit promotion -evaluations and by selecting
officials to the extent it is relevant to the position to be
filled.
21 Enclosure (1)
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Declassified and Approved For Release 2012/10/25: CIA-RDP90-00530R000501070005-9
OCPMINST 12430.1
.1 FEB HO
CPI 430
1). Probationary Period. Performance shall be a factor
in the decision to retain or remove an employee during the
probationary period. General criteria for retention are
described below. agatormakozdattistaitittENVIELIAZIMELar
503.1teR..n1LOYAIMAPEanaintatiatut.ASCAtkaagailliOY
(1) Initial Probationary Period. Evaluation of the
employee's performance, as well as other considerations will
serve as a basis for the decision to retain or remove the
employee from the Federal Service.
(2) Supervisory and Managerial Probationary Period.
Evaluation of the employee's performance of supervisory or
managerial elements of the position will serve as a basis for
the decision to retain or remove the employee from the
supervisory or managerial position.
c. Removal, Demotion and Reassignment
(1) Employees whose perfor!aance_is_4Unaccepta,ble" must
be-rembvid, reassigned76t.:rednt-id in-grade; but only-ifter the
employee has had an opportunity to demonstrate acceptable
performance as required by 5 USC 4302(b)(6) and CPI 432. The
written notice of opportunity period must inform the employee
in writing of the "Minimally Successful" performance standard
that must be reached to be retained.
(2) If, at the conclusion of the "opportunity" period,
the employee's performance continues to be "Unacceptable", the
activity must initiate reassignment, reduction in grade, or
removal, subject to the provisions of 5 USC 4303, and CPI 432.
d. Reduction-in-Force (RIF)
(1) The rating of record for RIF purposes will be the
annual rating conducted at the time specified by the activity
and special ratings conducted to support WGI determinations.
Interim appraisals will not count as the official ratings of
record for RIF purposes.
(2) No rating will be assigned for the purpose of
affecting an employee's RIF retention standing.
(3) The three most recent ratings of record are
considered for RIF purposes. To determine retention standing,
an employee receives additional years of service for each "0"
rating, "EFS" rating and "FS" rating.
Enclosure (1) 22
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OCPMINST 12430.1
.1 FEB 11188
CPI 430
*e. Training and Development
(1) Identification of training requirements to improve
performance is a significant element in the appraisal process.
The performance appraisal process shall clearly identify areas
where training and development may be appropriate. Whenever it
is determined that an tffiployeeis:veriormtumsic7iesszthaw.gan"
supervisors are responsible for assisting the employee in
bringing his or her performance to the "FS" level. Thilikmmettlztle
atiromplTshetl-through-counselingi-c loser4superirisionc-Im.*11e-jvb
training; iinclior,4orisalized-ztraining3-.,awatppropriete.
(2) Performance appraisals conducted as part of the
employee's individual training plan or other specialized
training plan illbe co?idired in the tfii1:perf9riaance
"Zing 'Process. Such appraisals are tattgbritedinterim
appraisalsand shall not-sekve.as-thezatineacif-tecord.
23 Enclosure (1)
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