PERFORMANCE MANAGEMENT SYSTEM (PMS)

• Document Type: CREST
• Collection: General CIA Records
• Document Number (FOIA) /ESDN (CREST): CIA-RDP90-00530R000501080003-0
• Release Decision: RIFPUB
• Original Classification: K
• Document Page Count: 50
• Document Creation Date: December 27, 2016
• Document Release Date: March 13, 2013
• Sequence Number: 3
• Content Type: MISC

us.Dep_f_22.9.1.2u.iti,ed..aid Approved For Release 2013/03/13 : CIA-RDP90-00530R000501080003-0
Federal Bureau of Investigation
Performance Management
,System (PMS)
Performance Appraisal and
Recognition Matters for Special
Agents
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PERFORMANCE .MANAGEMENT SYSTEM (PMS) .
FOREWORD
The Performance Management System was designed to inte-
grate the performance-related facets of personnel management. It
encompasses not only performance appraisal, but also such perfor-
_ ,
mance-based personnel decisions as promotions, administrative
advancement, office of preference transfers, within-grade and
quality step increases, and superior accomplishment awards.
Nonsupervisory Special Agents (SAs) in grades GS 10
through GS 13 are subject to the PMS. It is similiar to, but
not the same as, the Performance Management and Recognition
System (PMRS) which covets management officials and supervisors
in grades GS 13 through GS 15. (NOTE: The variance between the
systems is based on governing statutes and regulations to which
the FBI is subject.) Details relative to the implementation of
the PMS for executives, in grades GS 16 and above, and support
personnel will be disseminated separately.
The attached policy is organized into two major parts.
covering appraisal and recognition matters, and several related
appendices. The performance appraisal provisions effectively
supersede those in the Manual of Administrative Operations and
Procedures (MAOP). Part I. Section 5. pages 39 - 57, immediately.
The recognition provisions must be applied in tandem with
informationi in the MAOP as cited.
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TABLE OF CONTENTS
FOREWORD
PART
I
PERFORMANCE APPRAISAL PROVISIONS PAGE
A. PURPOSE 1
B. RESPONSIBILITIES 1
C. PERFORMANCE APPRAISAL PROCESS 3
1. Issuance of Performance Plans 3
2. Progress Reviews 3
3. Performance Appraisal Reports (PARS). . 4
4. PARs for Probationary Agents 5
5. Issuance of PARS 5
6. Prior Review 6
7. Employee Review/Reconsideration
Request 6
D. ACTIONS BASED ON LESS THAN FULLY SUCCESSFUL
PERFORMANCE
7
1. Unacceptable - Warning PAR
7
2. Warning Resolution PAR
8
3. Approval of Recommendations
9
PART
II
PERFORMANCE-BASED PERSONNEL DECISIONS
A. PROMOTIONS, ADMINISTRATIVE ADVANCEMENT. AND
OFFICE OF PREFERENCE TRANSFERS
11
B. WITHIN-GRADE INCREASES (WIGIs)
11
1. Making an ALOC Determination
11
2. Delaying an ALOC Determination
12
3. Notification
13
4. Appraisal After Denial
13
C. QUALITY STEP INCREASES (QSIs)
13
D. SUPERIOR ACCOMPLISHMENT AWARDS
14
APPENDIX I DEFINITIONS
APPENDIX II DEVELOPING PERFORMANCE PLANS ?
A. CRITICAL ELEMENTS 1
B. PERFORMANCE STANDARDS 1
C. JOINT PARTICIPATION 2
APPENDIX III COMBINATIONS TABLE FOR DETERMINING SUMMARY RATINGS
APPENDIX IV FORMS
APPENDIX V ABBREVIATIONS
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PART I. PERFORMANCE APPRAISAL PROVISIONS
A. pURPOSE. The purpose of the Performance Appraisal System (PAS)
in the FBI is to provide-a tool for executing basic management and
supervisory responsibilities by:
1. Communicating and clarifying agency goals and objec-
tives;
2. Identifying individual accountability for the accom-
plishment of organizational goals and objectives;
3. Evaluating and improving individual and organizational
accomplishments; and
4. Using the results of performance appraisal as a basis
for adjusting basic salary and determining performance awards, train-
ing, rewarding, reassigning, promoting, reducing in grade, retaining.
and removing employees.
B. RESPONSIBILITIES. The Personnel Officer is responsible for the
overall administration of the FBI's PMS as it applies to-SAs. In
this regard. the Personnel Officer shall ensure that the performance
appraisal and recognition processes are properly administered and
applied. At any time deemed appropriate, the Personnel Officer or
his/her designee will conduct a substantive review and validation of
any Performance Plan/Performance Appraisal Report (PAR) and institute
any actions necessary to ensure compliance with applicable law, regu-
lation, or pone,' as set forth herein. The specific responsibilities
of other executives, management officials and supervisors follow:
1. Reads of offices (e.g., Special Agents in Charge or
Assistant Directors) shall personally ensure that:
a. Employees under their jurisdiction are adequately
informed of their rights and responsibilities under
the PAS in a timely manner;
lb. Managers and supervisors under their jurisdiction
who serve as rating and/or reviewing officials are
given training and periodic reminders of their
duties and responsibilities under the PAS, in addi-
tion to receiving supplementary directives as
necessary:
c. Instructions governing the identification and estab-
lishment of critical elements and performance stan-
dards, within prescribed parameters, are developed
for use within, and tailored to, their respective
.organizations;
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d. Periodic evaluations of the performance appraisal
processes within their offices are conducted and that
only employees whose performance exceeds normal
expectations are rated at or above Fully Successful;
e. Ratings of record issued to employees in their
offices art approved: and
f. Performance-based personnel action recommendations
are reviewed and approved.
2. Reviewing officials are normally the supervisors of
rating officials and as such will ensure that:
a. The critical elements identified and performance
standards established at the beginning of the
appraisal period are in furtherance of the goals of
the entity served;
b. PARs completed by rating officials are reviewed
and accepted or adjusted as warranted; and
c. Rating officials provide advice or instruction
as appropriate to subordinates.
3. Rating officials are normally the employees' immediate
supervisors who train, assign, and review the employees' work. In
appraising subordinates, rating officials are to: ?
a. Prepare, with employees' input where feasible.
Performance Plans for all subordinates;
bi Collect and maintain specific examples of employees'
accomplishments and deficiencies throughout the
appraisal period;
c. Afford guidance and assistance to all subordinates;
d. Issue PARs to employees as prescribed; and
e. If applicable, review the performance appraisal
practices of subordinate supervisors and provide
advice as appropriate.
4. Employees subject to the PAS are responsible for:
a. Participating, as requested, in the development
of their Performance Plans;
b. Actively engaging in performance discussions during
progress review sessions and at other appropriate
times; and
c. Maintaining current knowledge of their rights and
responsibilities under the PAS.
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C. PERFORMANCE APPRAISAL PROCESS. Most performance appraisal proce-
dures are to be accomplished through direct contact with the employee.
Inasmuch as certain assignments often preclude face to face contact
because of geographic location or the sensitive nature. of the assign-
ment, telephonic contact may be considered an appropriate substitute.
When personal contacts are not possible for a reason other than under-
cover assignment, performance appraisal documents are to be forwarded
to the employee in an envelope marked *Personal and Confidential." for
his/her review and subsequent signing and dating.
1. Issuance of Performance Plans - Each employee must be
placed on notice of a Performance Plan at the beginning of each annual
period. Any change in grade after the beginning of an appraisal
period will result in the adjustment of the annual period to begin on
the date of the issuance of the new Plan. Refer to Appendix II for
details regarding the development of Plans when approved model Plans
issued by FBIHQ are not used.
Critical elements and performance standards may be initiated.
adjusted and/or terminated at any time in accordance with instructions
on the forms. Reviewing officials are to review and certify their
approval of the Plans prior to the issuance of the Plans. (NOTE:
When a Plan is prepared by the head of an office, there is no review-
ing official.) Should substantive changes be deemed necessary prior
to or after the issuance of a Plan, the reviewing official must
approve same before they are presented to the employee and become
effective.
An original Plan, comprised of a Notice Page (FD-727) and
Critical Element and Performance Standards Page(s) (FD-727a), is to be
issued within 30 days of: (1) an employee's entry into or change of
positions due to change in grade, transfer, or the like, and (2) the
outset of a detail (temporary duty) expected to last longer than 90
days.
When the same Plan is being continued from one annual
appraisal period to the next, the notice of critical elements and per-
formance standards must be renewed in accordance with the instructions
on the reverse of the Notice Page.
2. Progress Reviews - Rating officials are responsible for
imposing and maintaining appropriate controls which permit the assess-
ment of employees' performance throughout the appraisal period.
Approximately midway through the appraisal period. i.e.. October 1st,
rating officials must conduct progress review sessions with their sub-
ordinates unless a PAR has been or will be issued within 30 days.
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If an employee's appraisal period is altered by a change in grade, the
rating official must initiate a review session approximately midway
through the newly established rating period. At a minimum, employees
are to be advised of their level of performance vis a vis their Plans
during the review session. Such advice is not, and shall not be
construed as. an official rating.
A Progress Review Sheet and, if necessary. Progress Review
Continuation Sheet(s) (FD-729 and 729a. respectively) are to be used
to record the results of each progress review session. Review sheets
are to be retained by the rating official in the employee's personnel
folder, with other performance documentation, for use in preparing
the employee's rating, and are not to be destroyed for at least 120
days after the issuance of the PAR.
3. performance Appraisal Reports (PARs) - Each PAR is com-
prised of a Cover Page (FD-728) and Evaluation Page(s) (FD-728a) and.
if applicable, Narrative Page(s) (FD-728b). All PARs are ?official"
and must be afforded the same consideration in their execution. An
employee must have served at least 90 calendar days on notice of
his/her elements and standards before a PAR may be issued. Refer to
item 4, below, for details regarding PARs for SM during their first
year on duty. PARs are required in the following instances:
a. End of Annual Period - Immediately after March 31st
for any employee who has not received a PAR since
January 1st and who has been in grade and on notice
of elements and standards for at least 90 days. The
rating official must consider any prior PAR issued
during the appraisal period when preparing this
rating. When an employee has not received and is not
eligible for a rating by March 31st, the annual
*period must be extended until the minimum appraisal
*requirements are met with the next annual period
beginning the first working day after the PAR is
issued. ?
b. position*Chanae - Whenever an employee is scheduled
to leave his/her official position, due to inter-/
intra-office transfer, promotion, and/or demotion.
after meeting the 90 day appraisal requirements since
his/her last rating.
C. Chance in Rating Official - Approximately two weeks
prior to the departure of a rating official who is
scheduled to leave his/her position on or after
October 1st. Such PARs are not needed for any
employee who has not met the minimum appraisal
requirements since his/her last rating.
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?.11 ? El Lumrai- neguesL - beir-exp ianatory.
e. Current Appraisal - Whenever an office desires to
update performance appraisal information for any
employee. A current PAR is necessary when a within-
grade increase (WIGI) decision is not supported by
the rating of record. It is also required in some
instances after the issuance of a Warning Resolution.
(See Section D.2.a.)
f. Details - At the expiration of a detail when an
employee has been on notice of elements and standards
for at least 90 days.
g. Unacceptable - Warning - Whenever an employee's per?
-
formance deteriorates below the Minimally Acceptable
level in any critical element. (See Section D.1..
regarding issuance of an Unacceptable - Warning PAR.)
h. Warning Resolution - At the conclusion of an oppor-
tunity period to resolve an employee's warning
status. (See Section D.2.)
4. PARs for Probationary Agents - In accorliance with the
provisions of the Probationary Agent Program (PAP), as set forth in
the MAOP. Part II. Section 8-1.2.3(4). the first annual period for new
SAs ends upon their completion of the first year un duty and subse-
quent annual periods are on the same schedule as other SAs. The PAP
requires complete narrative summaries, including specific examples of
the SA's accomplishments and deficiencies, for each critical element
rated in the PAR issued at the end of the SA's first annual period
regardless of .the level achieved.
With .the PAP's emphasis on supervisory continuity, it should
rarely be necessary to issue a PAR to a new SA before the completion
of his/her first year on duty. Any PAR issued to a new SA prior to
the end of the first year. for example due to a change in rating
official, must include narrative summaries as described above.
5. Issuance of PARS - When an appraisal is due, the rating
official must review his/her documentation of the employee's perfor-
mance to determine the level achieved on each critical element in
which the employee has had the opportunity to perform by comparison
with the employee's Performance Plan. The appraisal of a disabled
veteran may not be lowered because the veteran has been absent from
work to seek medical treatment. A narrative summary of the employee's
performance, including specific accomplishments and deficiencies.
must be provided for elements rated at a level other than Fully
Successful or Superior. The narrative for any element rated below
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Fully Successful must include the assistance to be afforded the
employee in improving. Such assistance may include, but is not
limited to, formal or informal training, counseling, change in work
assignments, and closer supervision. (See Section D. regarding
performance below the Fully Successful level.)
The summary rating is determined through the arithmetic
process of adding the numeric values for the performance levels
achieved on all elements and dividing that total by the number of
elements rated. The placement of the resultant numeric value in
ranges establishes the summary level achieved. The performance
levels, equivalent numerical values and ranges, together with the
computation of summary ratings with these values for combinations of
up to seven critical elements, are included in Appendix III.
6. Prior Review - The PAR must be submitted to the reviewing
official for approval before it is presented to the employee. The
reviewing official has the authority to accept or modify any PAR in
keeping with the proper application of these provisions. Modifica-
tions to a PAR must be justified in writing and such comments attached
to the PAR. (NOTE: When a PAR is prepared by the head of an office,
there is no reviewing official.)
7. Employee Review/Reconsideration Request - Each employee
must be afforded the opportunity to review his/her PAR and the Plan
upon which it is based, and to discuss any aspect of it with the
rating official. An employee who is not satisfied with his/her PAR
is encouraged to pursue the matter through the office chain of com-
mand. Failing satisfaction, an employee has the right to request
reconsideration of his/her PAR by the Personnel Officer. (NOTE:
Employees whose:PARs are issued or reviewed by the Personnel officer
must direct their reconsideration requests to the Assistant Director,
Administrative Services Division.)
A reconsideration request must be made in writing within
fifteen calendar days of the date the PAR iE presented to the
employee. The written communication from the employee is to include
all performance-related information which, in the opinion of the
employee, supports an adjustment to the PAR. Under the reconsidera-
tion process, the contested PAR may be sustained, modified by increas-
ing or decreasing the level assigned to any critical element, or
changed in any fashion to ensure its compliance with PAS policy. A
written communication to the employee advising of the decision on the
PAR will be provided. In the event a PAR is adjusted through the
reconsideration process, a copy of the adjusted PAR will be provided
to the issuing office for the employee's review and for retention in
lieu of the copy of the PAR as originally issued. To the extent
appropriate, any personnel action(s) taken based on the original PAR
will be modified to reflect the adjustment made.
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An employee must be allowed a reasonable amount of time and
access to performance-related documents to prepare a reconsideration
request. Copies of classified documents. e.g.. PAR. Progress Review
Sheet, or the like. may be released to an employee for submission
with a reconsideration request; however, employees are to be cautioned
concerning the release of such material to any other individual.
Rating officials are not to destroy performance documentation until
at least 120 days have lapsed, to permit approval of the PARs and the
exercise of the right to request reconsideration.
D. ACTIONS BASED ON LESS THAN FULLY SUCCESSFUL PERFORMANCE.
Assistance must be provided to employees in improving performance
rated at a level below Fully Successful. In this regard, at any time
an employee's performance in one or more critical elements is rated
below Fully Successful, the rating official is to provide assistance
through formal or informal training, counseling, closer supervision,
or other appropriate means, such as a change in work assignments.
In some instances, performance may be found to be of such
significance-, e.g., demonstrating a reasonable potential for jeopar-
dizing physical safety, that treatment through the performance
appraisal process would not be appropriate. Other situations may
combine poor performance and actions subject to policy governing
disciplinary matters, as set forth in the MAO?. Part I. Section 13.
Except in cases meeting requirements for action under both the PAS
and disciplinary policy, it is generally unnecessary and inappropriate
to recommend a disciplinary action such as probation when issuing an
Unacceptable - Warning PAR.
Unacceptable performance is a basis to reduce in grade or
remove an employee. Such remedial action may be taken only after an
employee has been provided with notice of the unacceptable perfor-
mance. in the form of an Unacceptable - Warning PAR, and given a
reasonable opportunity to demonstrate acceptable performance. When
an employee's performance is determined to be at an Unacceptable level
on any critical element, the rating official must prepare an Unac-
ceptable - Warning PAR in accordance with the following procedures.
At the conclusion of the opportunity period. a Warning Resolution PAR
must be issued to complete the initial warning process.
1. Unacceptable - Warning PAR - Narrative summaries of per-
formance must be provided for each critical element regardless of the
level achieved. Narratives for each element rated Unacceptable must
include specific instances of performance below the Minimally Ac-
ceptable level. The rating official must append a separate statement
on plain white bond paper, as part of the PAR, regarding the assis-
tance to be offered the employee to improve. Such assistance must,
without exception, include affording the employee the opportunity to
review his/her Performance Plan, thereby reconveying the requirements
of the Minimally Acceptable level, for each element, which must be
achieved/maintained in/throughout the opportunity period.
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a. Length of Opportunitv Period - The opportunity period
is uniformly set at 90 calendar days. Only in un-
usual circumstances, such as absence on extended sick
leave, could the period ever exceed 90 -days. Advice
regarding any such extension must be forwarded to the
Performance. Recognition and Awards Unit (PRAU) as
soon as possible.
b. Interruption of Period - As a rule, once an employee
is given a Warning PAR, he/she should not be trans-
ferred prior to the completion of the opportunity
period. Circumstances may necessitate the transfer
of an employee to protect an investigative operation
or even the employee; however, generally, transfers
?are supervisory options which should be exercised
before issuing a Warning PAR.
To transfer an employee during his/her opportunity
period nullifies that employee's chance to demon-
strate positive performance with respect to the
critical element(s) in question. If a transfer is
,required, the warning must be considered unresolved
and no recommendation for reduction in grade or
removal may be made.
2. Warning Resolution PAR - At the completion of the oppor-
tunity period, a Warning Resolution PAR must be prepared. The Resolu-
tion PAR is to address the employee's performance leading to the warn-
ing as well as during the opportunity period. Narrative summaries of
performance must be provided for each critical element, regardless of
the level achieved. The narratives for all elements for which the
employee was warned., and any element rated Unacceptable, must include
specific examples of performance demonstrated and the level achieved
during the opportunity period. The narrative for any element rated at
the Minimally Acceptable level must include a description of the
assistance to be afforded. (See Section C. S. of this Part, regarding
means to assist.) When the Resolution PAR satisfies the end of the
annual period requirement, the rating official must consider all
ratings issued at the same grade level during that annual period.
a. Positive Resolution - If the employee consistently
demonstrates performance at least at the Minimally
Acceptable level during the opportunity period, no
less than the Minimally Acceptable level may be
assigned. If all elements are rated Minimally
Acceptable, the warning is considered to be resolved
at a positive level and no recommendation for
remedial action may be made.
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When a warning is resolved at a positive level, a
separate statement on plain white bond paper, ini-
tialed by the employee, must be appended to the PAR
indicating that the employee has been advised that
further failure during the remainder of the annual
appraisal period, in the critical element(s) for
which the opportunity period was provided, will be
cause for the immediate issuance of a PAR at the
Unacceptable level. (If the Warning Resolution con-
cludes the annual period, these conditions will apply
to the first 90 days of the next annual period.) In
the event of such further failure, a PAR at the
Unacceptable level must be issued and forwarded with
an appropriate recommendation in compliance with the
provisions of 2.b., below.
b. Unacceptable Resolution - If the employee continues
to perform below the Minimally Acceptable level dur-
ing the opportunity period, a recommendation in
accordance with 5 U.S.C. 4302(b)(6) to reduce in
grade or remove is to be set forth in a cover commu-
nication forwarding the PAR to the PRAU. FBIHQ. The
recommendation must be based on the unacceptable per-
formance addressed by the Resolution PAR and should
reflect consideration of the employee's record - a
factor not addressed by the PAR but appropriate for
inclusion in a recommendation for personnel action.
3. Approval of Recommendations - When FBIHQ approves a
recommendation.to reduce in grade or remove the employee based on a
PAR at the Unacceptable level, the employee is entitled to:
a. 30 days' advance written notice of the proposed
action. This notice will be provided to the employee
by the Assistant Director of the Administrative
Services Division, and will identify specific
instances of less than Minimally Acceptable perfor-
mance as well as actions taken to assist the employee
to improve, advise the employee of his/her right to
representation by an attorney or other counsel, and
provide the employee with 10 days to respond to the
proposed action orally and in writing: and
b. A written decision. The decision will be provided
by the Executive Assistant Director - Administration,
or another appropriate official, and must specify the
instances of less than Minimally Acceptable perfor-
mance by the employee on which the reduction in grade
or removal is based.
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The decision to retain, reduce in grade, or remove
the employee must be made within 30 days after the
date of expiration of the notice period. Further-
more, in the case of a reduction in grade or removal,
the decision must be based on those instances of
unacceptable performance by the employee which
occurred during the one year period ending on the
date of the advance written notice of the proposed
action. (NOTE: Failure to issue Unacceptable -
Warning and Warning Resolution PARs in a timely
manner may well preclude the consideration of some
of the employee's unacceptable performance in
supporting reduction in grade or removal decisions.)
At the expiration of the notice period, the super-
visor must certify the employee's failure to improve
or prepare a current PAR at least at the Minimally
Acceptable level. The head of the office must advise
the Administrative Summary Unit at FBIHQ by written
communication (teletype from field offices and Legal
Attaches: memorandum from FBIHQ offices) of the
office's final decision regarding the employee.
If. because of an improvement in performance by the
employee during the notice period, the employee is
not reduced in grade or removed, and the employee's
performance continues to be acceptable for one year
from the date of the advance written notice, the
Warning Resolution PAR and any entry or other nota-
tion with reference to same must be removed from any
office or FBIHQ record relating to the employee.
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PART II. PERFORMANCE-BASED PERSONNEL DECISIONS
The PMS establishes the eligibility criteria for all
performance-based personnel decisions, including promotions, within-
grade and quality step increases, and superior accomplishment awards.
The FBI. consistent with the principles of good management, affords
recognition only for performance that is clearly beyond minimum
established requirements.
A. PROMOTIONS, ADMINISTRATIVE ADVANCEMENT, AND OFFICE OF PREFERENCE
TRANSFERS. The promotion of any SA must be based on consideration of
the individual's overall record and demonstrated accomplishments. The
time which must be served at any grade level depends on a variety of
factors: current policy governing all requirements other than perfor-
mance appraisal may be found in the MAO?. Part I. Section 7, as sup-
plemented by official communications. The provisions herein supersede
those in the MAOP with regard to performance appraisal requirements.
To be-eligible for promotional consideration. an SA's most
recent PAR must have a summary rating of at least FS with no individ-
ual critical element rated less than FS. Generally, this requirement
must also be met before an SA will be considered for equivalent
benefits such as administrative advancement or transfer to an office
of preference. Time periods during which the employee's performance
is documented as being below the FS level will not be credited toward
the minimum time required for eligibility for promotion.
B. WITHIN-GRADE INCREASES (WIGIs). A WIGI is a one-step increase
within a salary range. To be eligible, an employee must have com-
pleted the required waiting period and be performing at an acceptable
level of competence (ALOC), i. e., have a summary rating of FS or
higher. Refer to the MAO?. Part I. Section 7-15.1 - 2 for a discus-
sion of waiting periods and the effect of leave without pay.
The ALOC determination must be supported by the employee's
rating of record: if the last rating does-not support the decision, a
new rating must be issued. See Part I for a detailed discussion of
the rating process. The WIGI decision is based solely on the
appraisal of an employee's performance; pending disciplinary actions
and/or administrative inquiries have no impact on such decisions
unless they are also performance-based.
1. Makina an ALOC Determination - Approximately two weeks
prior to each employee's scheduled completion of a WIGI waiting
period, a certification form will be generated by the Pay and Position
Management Unit (PPMU) at FBIHQ and sent to the employee's office.
(See appendix IV for a sample certification form.) The form is to be
completed by the employee's rating official, approved by his/her
reviewing official, and returned to the PPMU within three days of
receipt.
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a. Current con-
?rms of
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his/her Performance Plan and compare the current
level of performance to that recorded in his/her
last PAR and any Progress Review Sheets issued after
that PAR. - If the employee's current performance is
at an ALOC. the recommendation to grant the WIGI
must be marked on the form. If this decision is not
supported by the rating of record, a new PAR must be
issued and submitted with the certification form.
If the employee's current performance is not at an
ALOC, denial of the WIGI must be recommended on the
certification form. Again, if the last PAR does not
support this decision, a new PAR must be prepared and
submitted with the certification form. If the PAR
being used to support a recommendation to deny a WIGI
is six months or more old, a new PAR must be issued
to ensure the currency and adequacy of the documenta-
tion used to support such a recommendation. See
items 3 and 4, below, for details regarding the
impact of WIGI denials.
b. First Year Aaents - Under the PAP, a new SA's first
rating period concludes at the end of his/her first
year on duty, normally at the same time he/she
becomes eligible for a WIGI. The WIGI certification
form for such an employee is forwarded for completion
prior to the issuance of his/her PAR: however, actual
completion and submission of the PAR is not required
prior, to the return of the form. The decision marked
on the form as to the summary rating must be sup-
ported by the PAR. Any discrepancy between the WIGI
recommendation and the level of the PAR may have a
major impact on the validity of the pay action.
No official action to deny a WIGI will be taken pend-
ing receipt and validation of the SA's PAR. Every
effort should be made to expedite the processing of
new SAs' PARs to avoid unnecessary delays in effect-
ing the pay actions.
2. Delavina an ALOC Determination - If for any reason, such
as absence on extended sick leave or for training purposes, the
employee has not been on notice of his/her Performance Plan for at
least 90 days or has not had the opportunity to demonstrate acceptable
performance under such Plan, then that employee's ALOC determination
must be delayed until a PAR may be issued.
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The determination must also be delayed if the employee has
been reduced in grade because of unacceptable performance on. or
within 90 days of. completion of his/her waiting period. In either. of
these instances, the employee must be advised that the WIGI determina-
tion will be postponed until the completion of 90 days: on notice of
his/her Performance Plan. If the employee has not been placed on
such notice, it must be accomplished as soon as possible.
As soon as practicable following the completion of the 90 day
period. a PAR must be issued and forwarded to the PRAU. The WIGI
determination supported by the PAR must be forwarded to the PPMU. The
pay action, either to grant or deny, will be made retroactive to the
original eligibility date. A WIGI may not be delayed for any reason
other than absence of notice/opportunity to perform or demotion for
unacceptable performance.
3. Notification - An employee is notified of a positive
decision through the issuance of a Notification of Personnel Action
Form (SF-50). An employee is informed of a negative determination by
a written communication from the Personnel Officer advising of the
denial of the WIGI, the reason for the negative determination, the
steps necessary to improve his/her performance, and the right to
request reconsideration of the determination. Reconsideration
requests are processed in accordance with the provisions in the MAO?.
Part I, Secton 7-15.6.
4. Appraisal After Denial - If an employee's performance
improves after a denial, a new PAR may be prepared to support a
positive ALOC determination and a formal recommendation to grant the
WIGI. Such a determination should be made whenever an employee has
demonstrated sustained performance at the FS level overall. Rating
and reviewing officials are strongly urged to allow four, eight, and
twelve months for the demonstration of sustained performance by
employees whose original waiting periods were one, two, and three
years. respectively. In no case may a recommendation be submitted
less than 90 days after the original eligibility date or. in the case
of a delayed dedision, the date of the PAR.
No action will be taken by the PPMU to grant a WIGI absent a
formal recommendation, supported by a current PAR, affirming that the
performance documented in that PAR has been demonstrated for a sus-
tained period of time. After a WIGI has been denied, a new ALOC
determination must be made, with a recommendation to grant or deny,
no later than 52 weeks after the original eligibility date.
C. QUALITY STEP INCREASES (OSIs). The policy concerning QSIs as set
forth in the MAO?, Part I, Section 5-14, continues in effect except
that the criteria for the approval of.QSIs require that the summary
rating of the PAR satisfying the end of the annual period requirement
be Exceptional, with no critical element rated below FS.
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D. -6e?cra-ss7e-d ;r7c1A-p7:Tr-o;e-d-F-(3-r'ffele-fo-13/037i3 : CIA-RDP90-00530R000501080003-0
imptove wovernment erriciency, economy and effectiveness by motivating
employees to increase their productivity and creativity by rewarding
them for their efforts which, benefit the Government. Awards may be
based on contributions such as. suggestions, inventions. :or special
acts or service in the public interest connected with or related to
official employment. Superior Accomplishment Awards are basically the
same as the Special Achievement Awards as described in the MAO?, Part
I. Section 5-15 and those criteria continue. (Awards for suggestions
and inventions will continue to be processed under the Suggestion Pro-
gram as set forth in the MAW, Part I. Section 5-19.) Superior Accom-
plishment Awards may be granted for performance in connection with a
particular case, i.e., RICO. Kidnaping. etc., or special projects in
which an employee may have been involved. i.e., implementation of new
office procedures, computerization of specific programs. etc.
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APPENDIX I ? DEFINITIONS
??
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. DEFINITIONS
Appraisal - The act or process of reviewing and evaluating the
performance of an employee against the described performance
standard(s).
Appraisal Period - The period of time established for which an
employee's performance will be reviewed. Except for a new Special
Agent whose annual period ends upon his/her completion of the first
year on duty, the annual period for nonsupervisory Special Agents
generally begins on April let and ends the following year on March
31st.
Appraisal System - A performance appraisal system which provides for
the identification of critical 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 infor-
mation in making personnel decisions.
Critical Element - A component of a position consisting of one or more
duties and responsibilities which contributes toward accomplishing
organizational goals and objectives and which is of such importance
that unacceptable performance on the element would result in
unacceptable performance in the position.
Minimum Appraisal Period - 90 calendar days, the minimum amount of
time that employees must be on notice of their critical elements and
performance standards before they can be appraised.
Performance -.An employee's accomplishment of assigned work as
specified in the critical elements of the employee's Performance Plan.
Performance Plan - The aggregation of all of an employee's written
critical elements and performance standards.
Performance Standard - A statement of the expectations or
requirements established by management 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.
Progress Review - A review of the employee's progress toward
achieving the performance standards. A progress review is not in
itself an official rating.
Rating of Record - The summary rating required at the end of the
annual period or at such other times as specified for special circum-
stances.
Summary Rating - The written record of the appraisal of each critical
element and the assignment of .a summary rating level. This record is
to be issued in the form of a Performance Appraisal Report (PAR) with
specific forms as required by the PAS.
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APPENDIX II - DEVELOPING PERFORMANCE PLANS
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DEVELOPING PERFORMANCE PLANS
Employees and rating officials are, whenever feasible, to
jointly participate in developing Plans, i.e.. identifying critical
elements and establishing performance standards: however, rating
officials are responsible for the contents and propriety of the Plans.
All rating officials are to consider and, to the extent applicable,
include in the Plans for employees who serve as management officials,
or supervisors, the responsibility and measurement criteria for (1)
equal employment opportunity and affirmative action matters and (2)
establishment or maintenance of controls to prevent or eliminate the
waste, fraud and abuse or mismanagement of government resources.
A. CRITICAL ELEMENTS. Critical elements are to be determined through
consideration of the organizational goals of the entity served and the
requirements set forth in employees' official position descriptions.
Each element must be of such importance that the rating official
would, in the face of unacceptable performance, recommend the reduc-
tion in grade or removal of the employee.
B. PERFORMANCE STANDARDS. Performance standards, expressed in terms
of quality, quantity, timeliness or other appropriate measurement
criteria, must be consistent with the information in employees' offi-
cial position descriptions as well as with the appropriate definition
of the performance level as set forth below. For each critical
element, performance standards are to be written for the Minimally
Acceptable. Fully Successful, and Superior levels. The absence of a
written standard for the highest and lowest performance levels shall
not preclude the assignment of ratings at those levels.
1. Unacceptable - Repeated failure to substantially meet
the Minimally Acceptable level described on the employee's Performance
Plan in that the employee continually required closer supervision than
specified in his/her official position description, and/or did not
produce a sufficient amount of work at acceptable accuracy and/or
quality levels, and/or exceeded time limits identified by supervisor.
2. Minimally Acceptable - Throughout the appraisal
period, the employee achieved the minimum level set forth on his/her
Performance Plan in that, under the level of supervision set forth in
the employee's official position description, he/she completed a sat-
isfactory amount of assigned projects at acceptable accuracy and/or
quality levels, within time limits identified by supervisor.
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iod.
Declassjfied and i:k.lizinvc1:Fuo-rulie-eie-ajsgu2r13"703a/1n3 :1CelvA-eRlDP 09f0-p00e5r3fOoRrOmOa95nTZ3iChis/her
position in that, under less than the normal degree of supervision
received as set forth in the employee's official position description.
the employee exceeded the production, accuracy and/or quality require-
ments which were set for the Minimally Acceptable level, and completed
assignments in advance of established deadlines. The employee's per-
formance served as a model for other employees engaged in the same or
similar operations.
4. Suverior - Throughout the appraisal period, the
employee's performance exceeded the journeyman level for his/her
position in that, under substantially less than the normal degree of
supervision received as set forth in his/her official position
description, the employee's performance reflected a high degree of
achievement with respect to the quality, quantity, and timeliness
measurements applied in evaluating work performed. In addition, the
employee's performance showed significant contributions to the overall
effectiveness of the organizational entity to which assigned, as
evidenced by increased cost effectiveness, more efficiency, reduction
in paperwork, reduced staffing levels, or the like.
5. Exceptional - Throughout the appraisal period, the
employee's performance exceeded the Superior level described on his/
her Performance Plan, going beyond the scope of assigned duties and
responsibilities in terms of valuable innovations and improvements
introduced. The employee continually demonstrated extraordinary pro-
ficiency typical of expert status within the scope of assigned
duties and responsibilities.
C. JOINT PARTICIPATION. Rating officials are to encourage employees'
input in the development of Plans through any of the following, or
other appropriate, means:
1. Employee and rating official may discuss and develop
Performance Plans together;
2. Employee may provide the rating official with a draft
Performance Plan:
3. Employee may comment on a draft Performance Plan pre-
pared by the rating official; or
4. A Performance Plan may be prepared by a group of
employees occupying similar positions.
2
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APPENDIX III ? COMBINATIONS TABLE FOR DETERMINING
SUMMARY RATINGS
?
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COMBINATIONS TABLE FOR DETERMINING SUMMARY RATINGS
Element Summary
Performance Level Value Range
Unacceptable 0 N/A
Minimally Acceptable 1.4 1.4 - 1.99
Fully Successful 2.4 2.0 - 2.99
Superior 3.4 3.0 - 3.99
Exceptional 4.4 4.0 - 4.4
NOTE: A rating of Unacceptable on any critical element results in a
summary rating of Unacceptable, regardless of the performance levels
achieved on other critical elements.
. TWO CRITICAL ELEMENTS
Individual Element
Rating Combinations
MA-MA
Summary
Rating
MA
MA - FS
MA
MA - S
FS
MA - E
FS
FS - FS
FS
PS- S
FS
PS- E
S- S
S- E
E- E
B. THREE CRITICAL ELEMENTS
Individual Element Summary
Rating Combinations Rating
MA - MA - MA MA
MA -MA - FS MA
MA - MA - S FS
MA - MA - E FS
MA - FS - FS FS
NA - FS - S FS
NA - FS - E FS
NA - S - S FS
MA- S- E
MA- E- E
FS - FS - FS FS
FS - FS - S FS
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B. THREE CRITICAL ELEMENTS (CONTINUED)
FS - FS - E
FS - S - S
S
PS- S- E
PS- E- E
S- S- S
S- S- E
5- E- E
E- E- E
C. FOUR CRITICAL ELEMENTS
Individual Element
Rating Combinations
MA - MA - MA - MA
Summary
Rating
MA
MA - MA - MA - FS MA
MA - MA - MA - S MA
MA - MA - MA - E FS
MA - MA - FS - FS MA
MA - MA - FS - S FS
MA - MA - FS - E FS
MA - MA - S- S FS
MA - MA - S- E FS
MA - MA - E- E FS
MA - FS - FS - FS FS
MA - FS - FS - FS
MA - FS - FS - .E FS
MA - FS - S- S FS
MA - rs - 5- -E FS
MA - FS - E- E
MA- 5- S- S FS
MA- S - S - E
MA- 5- E- E S'
MA- E- E- E
FS - FS - FS - FS FS
FS - FS - FS - S FS
FS - FS - FS - E FS
FS - FS - s- S FS
FS - FS - S- E
FS - FS - E- E
PS- S- S- S
PS- S- S - E
PS- S- E- E
PS- E- E- E
5- s- s- S
S- E- E- E
E- E- E- E
-2
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Pei
En
to
En
N
En
'41
04
En
In
'13
tei
tO
Pel
En
En
IA
Iii
En
U)
U)
Pei
Pei
PV
N
Pi
En
'V
En
Pei
Pei
En
En
tel
Pei
En
Pe3
En
In
En
In
ph
En
En
P3
In
Pe,
In
Pa
PO
En
En
En
En
P4
tel
113
113
En
te3
N
tel
En
En
t4
In
En
rei
En
In
En
Cli
CT'
In
Ph,
In
En
te3
Pea
En
En
111
tn
En
In
Peti
En
In
ph
In
re3
In
'13
Psi
En
PT,
In
En
"13
In
En
Pei
04
En
Cli
'V
"41
In
P4
"e1
In
Pel
ph
In
En
Cli
Pi
En
En
Cli
tO
En
En
En
tn
In
Pe3
In
Ph
Cli
En
Peel
te3
PT,
Pei
En
to
En
Pei
tei
Phi
tn
PO
In
in
In
In
PO
tre
cn
CT'
t4
En
CT'
Pv
In
En
En
Pe3
In
Psi
En
123
In
PT'
U)
0
Pi
In
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gbr.m.ENTS ( CONTINUED)
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TS- E -
S- S -
S- S -
S - S -
S- S -
S - E -
S- E -
E- E- E
S- S- S
S- S- E
S- E- E
E- E- E
E- E- E
E- E- E
E. SIX CRITICAL ELEMENTS
Individual Element
Rating Combinations
NA - NA - NA - MA - MA - NA
MA - MA - MA - NA - MA - FS
MA - MA - MA - NA - MA - S
MA - MA - MA - NA - MA - E
111A -:MA - NA - MA - FS - FS
NA - MA - MA - MA - FS - S
MA - MA - MA - MA - FS - E
MA NA - MA - MA - S - S
NA - NA - MA - NA - S- E
NA - NA - NA - NA - E- E
NA - MA - MA - FS - FS - FS
NA - MA - MA - FS - FS - S
NA - MA - NA - FS - FS - E
NA - MA - MA - FS - 5- S
MA - MA - NA - FS - S- E
MA - NA - MA - FS - E - E
MA - MA - MA S - S - S
MA - MA - MA S- S- E
MA - MA - MA S - E - E
MA ?- MA - MA - E- E- E
NA - MA - FS - FS - FS - FS
MA - MA - FS - FS - FS - S
MA - MA - FS - FS - FS - E
NA - MA - FS - FS - S- ,S
MA - MA - FS - FS - 5- E
MA - MA - FS - FS - E - E
MA - MA - FS - S- S- S
MA - MA - FS - 5- 5- E
MA - MA - FS - S - E - E
MA - MA - FS - E - E - E
MA-MA- S- S- S- S
MA-MA- S- S- S- E
MA-MA- S- S- E- E
Summary
Rating
MA
MA
MA
MA
MA
MA
FS
FS
FS
FS
MA
FS
FS
FS
FS
FS
FS
FS
FS
FS
FS
FS
FS
Fs
FS
FS
FS
FS
FS
FS
FS
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E. SIX CRITICAL ELEMENTS (CONTINUED)
MA-MA- S- E- E- E S
MA - MA - E- E E- E S
MA - FS - FS - FS - FS - FS FS
MA - FS - FS - FS - FS - S FS
MA - FS - FS - FS - FS - E FS
MA - FS - FS - FS - S- S FS
MA - FS - FS - FS - 5- E FS
MA - FS - FS - FS - E- E FS
-
MA - FS - FS S 5- S FS
MA - FS - FS - S- S- E FS
MA - FS - FS - S- E- E S
MA - FS - FS - E- E- E S
MA-IPS- S- S- S- S FS
MA-FS- S- S- S- E S
MA - FS - S- S E- E S
MA - FS - S- E E- E S
MA-FS- E- E- E- E S 1
Kik- S- S- S- S- S S I
MA- S- S- S S- E S 1
1
?
MA- S- S S- E- E S
MA- S- S E- E- E S
MA- S- E- E- E- E S
MA- E- E- E- E- E ? S
FS - FS - FS - FS - FS - FS FS
FS - FS - FS - FS FS S FS
FS - FS - FS - FS - FS - E FS
FS - FS - FS FS - 5- S FS
FS - FS - FS -f FS 5- E FS
FS - FS - FS - FS E- E S
FS - FS - FS - S 5- S FS
FS - FS - FS - S- S- E S
FS - FS - FS - 5- E- E S
FS - FS - FS - E E- E S
FS-FS- S- S- S- S S
FS-FS- S- S- S- E S
FS - FS - S S- E- E S
FS - FS - S E- E- E S
FS - FS - E E- E- E S
FS- S- S- S- S- S S
FS- S- S S- S- E S
FS- S- S- S E- E S
FS- S- S- E- E- E S
FS- S- E- E E- E S
FS- E- E- E- E- E E
S- S- S- S- S- S S
S- S- S- S- S- E S
S- 5- S- S- E- E S
S- S- S- E- E- E S
S- S- E- E E- E E
S- E- E- E- E- E E
E- E- E- E- E- E E
- 5
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IP ? D:j7ssTlieTta717787p-p-roved.go7Weiease 2013/03/13: CIA-RDP90-00530R000501080003-0
Individual Element
Rating Combinations
KA - MA - MA - MA
KA - MA - KA - KA
KA - KA - MA - KA
KA - KA - NA - KA
NA - MA - MA - KA
KA - KA - KA - KA
KA - KA - MA - MA
NA - KA - MA - KA
MA - MA - MA - MA
MA - KA - KA - KA
KA - KA - MA - KA
MA - MA - MA - KA
MA - KA - MA - MA
MA - KA - MA - KA
MA - MA - MA - MA
? MA -MA - MA - MA
'MA - KA - MA - MA
KA - MA - MA - MA
MA - MA - MA - MA
MA - KA - MA - MA
MA - MA - MA - FS
MA - KA - MA - FS
MA - KA - KA - FS
MA - MA - MA - FS
MA - MA - KA - FS
MA - MA - MA - FS
MA - MA - MA - FS
MA - KA - MA - .FS
MA - KA - MA -.? FS
MA - MA - MA - FS
MA - MA - MA - S
MA - MA - MA - S
MA MA - MA - S
MA - MA - MA - S
MA - MA - MA - E
MA - MA - FS - FS
MA - MA - FS - FS
MA - MA - FS - FS
MA - MA - FS - FS
MA - MA - FS - FS
MA - MA - FS - FS
MA - MA - FS - FS
MA - KA - FS - FS
KA - KA - FS -PS
MA - MA - FS - FS
MA-MA
MA-MA
MA-MA
MA-MA
MA - FS
KA - FS
KA - FS
KA - S
KA - S
KA - E
FS - FS
FS - FS
FS - FS
FS - S
FS - S
FS - E
5- S
S- S
5- E
E- E
FS - FS
FS - FS
FS - FS
FS - S
FS - S
FS - E
S- S
5- S
S- E
E- E
S- S
S- S
S- E
F- E
F- E
FS - FS
FS - FS
FS - FS
FS - S
FS - S
FS - E
5- S
5- S
S- E
F- E
Summary
Rating
KA MA
FS MA
MA
MA
FS MA
MA
KA
MA
FS
FS
FS MA
KA
FS
FS
FS
FS
FS
FS
FS
FS
FS MA
FS
FS
FS
FS
FS
FS
FS
FS
FS
FS
FS
FS
FS
FS FS
FS
FS
FS
FS
FS
FS
FS
FS
FS
KA - KA - FS - S
S- S
FS
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F. SEVEN CRITICAL ELEMENTS (CONTINUED)
MA - MA - FS - S- S S E FS
MA - MA - FS - 5- S- E- E FS
MA - MA - FS - S- E- E- E
MA - MA - FS - E- E- E- E
MA-MA- S- S- S- S- S FS
MA-MA- S- S- S- S- E FS
MA-MA- S- S- S- E- E
MA-MA- S- S- E- E- E
MA-MA- S- E- E- E- E
MA-MA- E- E- E- E- E
MA - FS - FS - FS - FS - FS - FS FS
MA - FS - FS - FS - FS - FS - S FS
MA - FS - FS - FS - FS - FS - E FS
MA - FS - FS - FS - FS - S.- S FS
. MA - FS - FS - FS - FS - S - E FS
MA - FS - FS - FS - FS - F- E FS
MA - FS - FS - FS - S- S- S FS
MA - FS - FS - FS - 5- 5- E FS
MA - FS - FS - FS - 5- F- E FS
MA - FS - FS - FS - F- F- E
MA - FS - FS - S- 5- 5- S FS
MA - FS - FS - S- 5- 5- E FS
MA - FS - FS - 5- 5- F- E
MA - FS - FS - S- E- E E
MA - FS - FS - E- F- F- E
MA-FS- S- S- S- S- S FS
MA-FS- S- S- S- S- E
MA - FS - S.- 5- S- E E
MA - FS - S- S- E-
MA 7 FS- S- E- E- E- E
MA-FS- E- E- E- E- E
MA- S- S- S- S- S- S
MA- S- S- S- S- S- E
MA-S-S-S-S-E E
MA-S-S-S-E-E
MA- S- S- E- E- E- E
MA- S- E- E- E- E- E
MA- E- E- E- E- E- E
FS - ?FS - FS - FS - FS - FS - FS FS
FS - FS - FS - FS - FS - FS - S FS
FS - FS - FS - FS - FS - FS - E FS
FS - FS - FS - FS - FS - 5- S FS
FS - FS - FS - FS - FS - S- E FS
FS - FS - FS - FS - FS - E- E FS
FS - FS - FS - FS - ? - 5- S FS
FS - FS - FS - FS - S- 5- E FS
FS - FS - FS - FS - S- E
FS - FS - FS - FS - F- F- E
FS - FS - FS - S- S- S S FS
FS - FS - FS - S- S- S- E?S
7
Declassified and Approved For Release 2013/03/13: CIA-RDP90-00530R000501080003-0
F. SEVEN CRITICAL ELEMENTS tenpirmanwn%
Declassified and Approved For Release 2013/03/13: CIA-RDP90-00530R000501080003-0
FS - FS - FS -
S- S.-
E -
F
FS - FS - FS -
S - E-
E--
FS - FS - FS -
E- ?-
FS - FS - S--
s- S.-
S-
?
PS
FS - FS - S -
5- S_
S -
S
FS - FS - S -
S S-
E--
FS - FS - S -
S- E-
E--
FS - FS - S -
E- E-
E--
FS - FS - E--
E- E-
E--
PS
FS - S - S -
S.- S-
S -
PS-.S - S -
S - 5-
S -
FS - S - S -
S - S
E--
FS - S - S -
S.-
S E-
E--
FS - S - S -
E- E-.
E--
FS - S - E -
E- E-
E--
FS - E - E -
E- E-
E--
5- s- s_
S.-
S S.-
S -
S - S - S -
S - s-
s--
s- s- s--
S.- S
E--
s- s_ s--
S.-
S E-
E--
s-
- s- S -
E- F-
F--
S - 5- E--
F- F-
F--
S- E- E--
E
E - E -
E -
E- E- E--
F- E-
F-
Declassified and Approved For Release 2013/03/13: CIA-RDP90-00530R000501080003-0
Declassified and Approved For Release 2013/03/13: CIA-RDP90-00530R000501080003-0
APPENDIX IV ? FORMS
Declassified and Approved For Release 2013/03/13: CIA-RDP90-00530R000501080003-0
Declassified and Approved For Release 2013/03/13: CIA-RDP90-00530R000501080003-0-age 1 of
Federal Bureau of inveedgation
Performance Management System. Special Agent
Performance Plan - Notice Page
iSEE INSTRUCTIONS ON REVERSE)
1.
Payroll Name of Employee
2.
Social Security Number
.
Position Tide, Grade and Number
4.
Office of Assignment
This Performance Plan is consistent with the position description of the employee and is in hirtheranCe of the mission and goals of the FBI.
-; a 5.
Signature of Rating Official
- 6.
Date
Signature of Reviewing Official Date
I have been advised of my critical element(s) and performance standards for the forthcoming appraisal period and am aware that performance below the Fully Suc-
cessful level may preclude me from consideration for a within-grade increase (WIG!), promotion. and/or office of preference transfer. In addition, I am aware that
Unacceptable performance on any element may be the basis for my reassignment, reduction in grade, or removal.
7.
Signature of Employee
Date
Plan Modification
The attached modification to this Plan is consistent with the position description of the employee and is in furtherance of the mission and goals of the Fel.
9.
Signature of Rating Official
Signature of Reviewing Official
Date
Date
have been advised of this modification to my Plan and sin aware that the consequences of my performance as specified above continue to apply
10.
Signature of Empioyee Date
PRAU USE ONLY
Logged:
CE
TYPff
Code
Reviewed
Accepted/
Rejected
?1
Review not completed due to:
Plan SuperSoded
Grade change
Reassignment
Ceased duty
THREE
Declassified and Approved For Release 2013/03/13: CIA-RDP90-00530R000501080003-0
Declassified and Approved For Release 2013/03/13: CIA-RDP90-00530R000501080003-0
A Performance Plan is comprised of a Notice Page and Critical Element and Performance Standards Page(s),
FD427a This Notice Page is used to document the communication of one or more critical elements (CEs) and their
perfonnance standards (PSs) to an employee. APlan is to be issued within 30 days after an employee (1)
assumes new responsibilities requiring the communication of new CE(s) and/or PS(s), or (2) is promoted or
demoted. Failure to provide or renew notice of the Plan in accordance with this schedule invalidates the appraisal
process.
With the exception of signatures and dates, the information on this form must be typewritten. While items 1-7
are self-explanatory, it is noted that the rating and reviewing officials must sign and date before presenting this form to
the employee for signing and dating. If the employee refuses to sign, the rating official must document the refusal
and the date of same in the space for item 7. A copy of the Plan must be retained by the rating official. The original
Plan, in its entirety, must be submitted to FBIHO, Attention: Performance, Recognition and Awards Unit (PRAU).
When the same Plan is continued from one appraisal period to the next, the rating and reviewing officials and
the employee are to review the Plan (inctuding each CE and PSs Page) within 30 days after the beginning of the new
period. . The annual renewal of notice of the Plan must be documented by the rating and reviewing officials and the
employee by initialing and dating this form near items 5,6. and 7, respectively The employee is also to initial and
date each CE and PSs Page. No submission to the PRAU is necessary
Items 8-10 of the retained office copy are to be completed when the Plan as originally issued is modified through
the addition, deletion, or adjustment of CE(s)/PS(s). Once completed, a new copy is to be made for retention by the
rating official and the original copy with current signatures and dates thereon is to be submitted with appropriate CE
and PSs Page(s) to the PRAU. Plans may not be modified more than one time. If additional modifications become
necessary, the Plan must be reissued in its entirety
Employees are to be afforded access to their Performance Plans. Upon request, employees are to be pro-
vided copies of their Plans, unless the classification of the information therein prohibits release. A rating officials
copy of a Plan is to be included in a field employee personnel file when the Plan is terminated or when the employee
is transferred to another office.
?2
Declassified and Approved For Release 2013/03/13: CIA-RDP90-00530R000501080003-0
Federal Bureau of leyeadastion rage or
Declassified and Approved For Release 2013/03/13 : CIA-RDP90-00530R000501080003-0
_ mama rwrrorrnanee Standards Page
. (SEE INSTRUCTIONS ON REVERSE)
t Payrol Name ol Employee
3. Cdital Element 40
1
Social Security Number
4. . (a)
5.
Assignmilm; (b) Adustment: (o)
Addiedn; (d) lamination
Performance Standards
Minimally Acceptable
Fully Successful
6. Initials of Etnpioyee Date
THREE
? 3 _
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and Peiformance Standar-eh;
Declassified and Approved For Release 2013/03/13 : CIA-RDP90-00530R000501080003-0
This Page is used to record a single critical element (CE) and its performance standards (PSs) and must be
attached to a Notice Page (FD-727). Together these Pages comprise a Performance Plan. With the exception of
initials and dates, the information on this form must be typewritten.
Items 1-2 Self-explanatory.
Item 3 Assign an identifying number. CEs are to be numbered consecutively. A CE may be added or
deleted during the appraisal period as necessary (see item 4 below). If a CE is deleted, that number
Is not to be reassigned to any element subsequently added. Upon submission of an entirely new Plan,
at the outset of an appraisal period, CEs should be numbered consecutively beginning with #1.
Define the CE. tt must (1) be consistent with the employees position description, but not a complete
restatement of the duties/responsibilities contained therein, and (2) specifically state those duties,
responsibilities, tasks or functions of the job that are essential to its successful accomplishment, using
action verbs such as develop, plan, direct, supervise, control, review, give guidance, appraise, etc.
Item 4 Item 4(a) must be marked when an entirely new Plan is communicated to an employee.
Item 4(b) Must be marked when an existing CE and/or its PSs are adjusted to expand or clarify previ-
ously expressed information but there is no substantive change in the performance level require-
ments. Reuse the original CE number.
Item 4(c) must be mariced when a CE is added to an existing Plan.
Item 4(d) must be marked when an existing CE is deleted. Execution of a new CE and PSs Page is
not necessary in this instance. A copy of the Page for the CE being deleted must accompany the
Notice Page sent to the Performance, Recognition and Awards Unit.
Item 5 Record the PSs for the Minimally Acceptable, Fully Successful and Superior levels for this CE.
In developing PSs, the rating official, with input from the employee, must (1) consider the emp:oyee's
role in accomplishing the goals and objectives of the organizational entity, (2) use available resources
(e.g., employee's position description, office M80 statement, etc.) to establish specific :evels of
achievement for the CE. (3) state PSs as succinctly, specifically and concretely as possible to enable
the accurate measurement of the employees actual performance in comparison to the PS, and (4)
state the PSs in terms reflecting quality, quantity, timeliness, amount of review or revision required, com-
pliance with applicable regulations and procedures, and other measurements of performance as
appropriate.
Item 6 Self-explanatory.
Employees are to be afforded access to their Performance Plans. Upon request, employees are to be pro-
vided copies of their Plans, unless classification of the information therein prohibits release. A rating official's copy
of a Plan is to be included in a field employees personnel file when the Plan is terminated or when the embloyee is
transferred to another office.
?4
????
nna-Inecifiari n c-i Annroved For Release 2013/03/13 : CIA-RDP90-00530R000501080003-0
*
Fu-729 (3-30-87)
Declassified and Approved For Release 2013/03/13 : CIA-RDP90-00530R000501080003-0
Pedal* Bureau of Investigation
Performance Management System. Special Agent
Performance Appraisal Report - Cover Page
!SEE INSTRUCT/ONS ON REVERSE)
i
Payroll Name of EmPlulYee
2.
Social Security Number
- 3.
Position Tide. Grade and Number
4.
Office of Assignment
5.
General Nature of Assignment
6
Summary Rating
7.
Signature of Rating Official
Date
I have reviewed and apprn..ved this appraisal. ( ) See my commenbs attached.
Signature of Reviewing Official
Date
am aware that my summary rating. if (nitre/ the FuNy Successful levet may preclude me from consideration for a within-grade increase (WIGI), promotion, and/or
office of preference transfer. In addition, tarn aware that a summary rating of Unacceptable may be the basis for my reassignment, reduction in grade, or re-
moval. My signature only indicates that I have reviewed this appraisal, not that Ian necessarily in agreement with the information herein or that I am relinquishing
my tight to request reconsideration of it
9
Sambre of Employee
Data
10.
A
I
0
N
0
D
F
Basis/Reason br Issuance
0 End of Annual Peraid
0 PosIdon Change
0 Change in Rating Official
0 Current Appraisal
0 Perpjeat.dbyFBlsiO
0 Conclusion of Detail
0 Unacceptable
Date
PRAU USE ONLY
Wined
Reviewed
Date
Entailed
Dale
%Wined
Date
Printout
Das
Dew
-Warning
0 Miming Resolution
Case
THREE
? 5 ?
Declassified and Approved For Release 2013/03/13: CIA-RDP90-00530R000501080003-0
Plarfritinianebak A runwailabist
Declassified and Approved For Release 2013/03/13 : CIA-RDP90-00530R000501080003-0
VW *I V r-10107
Rating official is to prepare the necessary Evaluation and Narrative Pages prior to completing this form. With
the exception of signatures and dates, the information on this form is to be typewritten. This Page is the first of any
Performance Appraisal Report (PAR). All subsequent Pages are to be numbered consecutively.
Preprinted form FD-728 will be furnished at the end of the annual period by the Performance, Recognition and.
Awards Unit (PRAU). The biographical data on this form should be verified, with any discrepancies being corrected
in ink.
Items 1-4 Seff-explanatory.
Item 5 Record the type of cases/matters handled by the employee during the appraisal period. Do not simply
insert the position title.
Item 6 Complete item(s) 4 on the Evaluation Page(s) prior to determining the summary rating. The summary
? rating is determined by reference to the Combinations Table in policy material. (Note: When any CE
Is rated Unacceptable, the summary rating must be Unacceptable.)
Item 7 Rating official is to sign and date the PAR before submitting it to a higher level official for review.
Item 8 Reviewing official is to sign and date the PAR before it is presented to the employee. He/she must
assure the validity and fairness of the appraisal and attach comments, on plain white bond paper, to jus-
tify any modifications made.
Item 9 Self-explanatory. If the employee refuses to sign the PAR, the rating official must document the
refusal and the date of same in the space allowed for this item.
Item 10 Record the reason(s) the PAR is being issued and enter the date of the action causing the issuance.
(Example: A PAR required due to the departure of a rating official would be marked as "change in rat-
ing official . and the last working day of the supervisor would be used for the date.)
The date of the action causing the PAR does not need to match the signature dates. No date is neces-
sary for PARs issued at the end of the annual period unless the period is extended past March 31st for
reasons set forth in policy material.
In most cases, if an employee received a PAR after January 1st, no separate PAR for the end of the
annual period will be necessary. For this reason, 'end of annual period" is to be marked as well as the
initial reason for the PAR, e.g.. 'position change", and the date of that action.
Refer to policy material for additional guidance on the preparation of PARs for employees rated below Fully Suc-
cessful.
Employees are to be afforded access to their PARs. Upon request, employees are to be provided copies of
their PARS, unless the classification of the information therein prohibits release.
?6
neclassified and Approved For Release 2013/03/13: CIA-RDP90-00530R000501080003-0
FD-728a (34047)
Declassified and Approved For Release 2013/03/13: CIA-RDP90-00530R000501080003-0
Federal Bureau of Investigation
Pertormence Management System - Special Agent
Performance Appraisal Report- Evaluation Page
ISEi INSTRUCTIONS ON REVERSE)
1. Payroll Nome of Emboli, 2. Social Security Number
3. Critical Element 0 as noted on the Plan. 3a. The andlor brief summary at eiernent:
4. Rating level:
O Exceptional
O Superior
O Fully Successful
ID Minimally Acceptable ?
0 Unacceptable ? ?
*See attached Narrative Page.
3. Critical Element ? as noted on the Plan. 3a. Title and/or brief summary of element
4. Rating levet
O Exceptional ?
O Superior
O Fully Successful
Cl Minimally Acceptable ?
0 Unacceptable
'See attached Narrative Page.
3. Critical Element #. as noted on the Plan. 3a. The and/or brief summery of element:
4. Rating level:
O Exceptional ?
O Superior
O Fully Successful
ID Minimally Acceptable ?
0 Unacceptable ?
.'See attached Narrative Page.
3. Critical Element ? as noted on the Plan. 3.. The andkir brief summary at element
4. Rating levet .
O Exceptional ?
O Superior
O Fully Successful
O timimally Acceptable
o Unacceptable ?
'See attached Narrative Page.
?7-
5. initials of Employee Date
Declassified and Approved For Release 2013/03/13: CIA-RDP90-00530R000501080003-0
Evaluation Page
Declassified and Approved For Release 2013/03/13 CIA-RDP90-00530R000501080003-0
With the exception of the employeel; initials and date, the information on this form is to be typewritten.
Items 1-2 Self-explanatory.
Item 3 Record the critical element (CE) by its identifying number from the PerformanCe Plan and provide, in
Item 3a., Its title and/or a brief summary of the element
Item 4 Review and compare the documentation collected during the appraisal period for the CE with its per-
formance standards to determine the rating level achieved and check the appropriate box.
If the employees performance is at the Exceptional, Minimally Acceptable, or Unacceptable level, a
Narrative Page (FD-728b) must be completed.
When the Performance Appraisal Report (PAR) is issued as an Unacceptable-Warning or as a Warning
Resolution, a Narrative Page must be provided for each CE regardless of the level achieved.
Although not necessary when an employee performance meets the Fully Successful or Superior level,
except as required above, the rating official may choose to provide a Narrative Page and so indicate by
entering an asterisk when maridng the rating level achieved.
Item 5 Self-explanatory
Employees are to be afforded access to their PARs. Upon request, employees are to be provided copies of
their PARs, unless the classification of the information therein prohibits release.
- 8 ?
Declassified and Approved For Release 2013/03/13: CIA-RDP90-00530R000501080003-0
(
Declassified and Approved For Release 2013/03/13: CIA-RDP90-00530R000501080003-0
Federal Durum of invosagedon
Performance Management System - Special Agent
Parforrnancts Appraisal Report - Narrative Page
MEE INSTRUCTIONS ON REVERSE)
. Critical Elantant * (Irciude specMc examples of positive/newly* performance.)
4. initials of Ernpioyea Oats
Declassified and Approved For Release 2013/03/13: CIA-RDP90-00530R000501080003-0
instructions for Preparing the
Declassified and Approved For Release 2013/03/13: CIA-RDP90-00530R000501080003-0
Narrative Page
This Page is required for any critical element (CE) rated at the Exceptional, Minimally Acceptable, or Unaccept-
able level. It is also required for each CE, regardless of the level achieved, when the Performance Appraisal Report
(PAR) is issued as an Unacceptable-Warning or as a Warning Resolution.
With the exception of the employees initials and date, the information on this form is to be typewritten.
Items 1-2 Setf-explanatory.
Item 3 Record the (CE) by its identifying number from the Performance Plan. The rating official must sum-
marize in narrative fashion the employees demonstrated performance concerning the CE, including
specific examples of positive/negative performance noted during the appraisal period, supportive of
the assigned level.
Although this Page is not necessary when a CE is rated at the Fully Successful or Superior level, except
as required above, the rating official may choose to summarize the employees performance in the man-
ner described above.
Narratives for CE s rated below Fully Successful must include a description of the assistance to
be afforded the employee to improve. Refer to policy material for additional guidance on the prep-
aration of PARs for employees rated below Fully Successful.
Item 4 Self-explanatory.
Employees are to be afforded access to their PARs. Upon request, employees are to be provided copies of
their PARs, unless the classification of the information therein prohibits release.
? 10 ?
npriassified and Aoorov'ed For Release 2013/03/13: CIA-RDP90-00530R000501080003-0
1-1.). 'ZS (3-30-57)
Declassified and Approved For Release 2013/03/13: CIA-RDP90-00530R000501080003-0 hge of
Federal Bureau of Investigation
Palonnence Management System - Special Agent
Prognoss RIPVIOW Sheet
(SEE INSTRUCTIONS ON REVERSE]
1.
Payrol Name of Ernpioyee
2.
Social Security Number
_ 3.
Payroll Nam of Rating Official
4.
Oats of Progress Review Session
S.
Comments:
Signature of Employee
7. Signature of Rating Official
? 11 ?
1 Declassified and Approved For Release 2013/03/13: CIA-RDP90-00530R000501080003-0
Declassified and Approved For Release 2013/03/13 : CIA-RDP90-00530R000501080003-0
During the progress review, the rating official must, at a minimum, advise each employee of his/her performance
;eve' based on comparison of demonstrated performance with the employees assigned critical element(s) and per-
formance standards. According to Federal regulations. such advice is not, and shall not be construed as, an official
rating.
Preprinted form FD-729 will be furnished approximately midway through the annual period by the Performance,
Recognition and Awards Unit (PRAU). (Note: If an employees appraisal period was altered by a change in grade,
the rating official must initiate a review session approximately midway through the newly established rating period.)
This form may be handwritten in ink.
Items !-4 Self-explanatory.
Item 5 Summarize the employees performance for each critical element, including representative specific
examples of positive/negative performance, and assign the appropriate rating level. Record any
guidance afforded the employee concerning means to improve his/her performance. Use Progress
Review Continuation Sheets (FD-729a) as necessary.
Items 6-7 Self-explanatory
Review sheets are to be retained by the rating official in the employee's personnel folder for use in preparing the
employee Performance Appraisal Report.
Employees are to be afforded access to the forms used to document their progress review, i.e., FD-729 and
FD-729a, if any. Upon request, employees are to be provided copies of these forms, unless the classification of the
information therein prohibits release.
? 12 ?
nprlassifiRd and Approved For Release 2013/03/13: CIA-RDP90-00530R000501080003-0
Page
Declassified and Approved For Release 2013/03/13 : CIA-RDP90-00530R000501080003-0
Pertorrria-ri;e?Mansgernent?i;tens Spedei Agent
Progress Review Continuation Sheet
'SEE INSTRUCTIONS ON REVERSE]
I Payroll Name ot Erni:63'19e
2. ? Social Security Number
3. Comments Continued:
? 13 ?
4. Initials ot Empty** Date
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r ? wirers es rip ?8 UW
Preariifitik thildMtar r?orw?imar -
Declassified and Approved For Release 2013/03/13: CIA-RDP90-00530R000501080003-0
This foxm may be hanchvritten in ink.
Items 1-2 Self-explanatory.
tern 3 Refer to instructions for Item 5 on the, Progress Review Sheet (FD-729).
Item 4 Seff-explanatory.
Employees are to be afforded access to the forms used to document their progress review, Le., FD-729 and
FD-729a, if any. Upon request, employees are to be provided copies of these forms, unless the classification of the
information therein prohibits release.
? ? 14 ?
Declassified and Approved For Release 2013/03/13: CIA-RDP90-00530R000501080003-0
Declassified and Approved For Release 2013/03/13 : CIA-RDP90-00530R000501080003-0
UNITED STATES DEPARTMENT OF JUSTICE.
FEDERAL BUREAU OF INVESTIGATION
To: Date:
From: Director. FBI Return to: FBIHQ. Room 6159. TL *234
Subject:
Grade/Step: Salary:
WITHIN -GRADE INCREASE (WIGI) CERTIFICATION
IMPORTANT: RETURN THIS FORM WITHIN 3 DAYS OF RECEIPT TO THE PAY AND
POSITION MANAGEMENT UNIT. ADMINISTRATIVE SERVICES
DIVISION. WHERE FINAL CERTIFICATION WILL BE EFFECTED.
Captioned employee is eligible for WIGI on
He/she has used hours of leave without pay (LWOP). Addi-
tional use of LWOP may necessitate a change in the eligibility
date.
Under Federal regulations, an employee must be perform-
ing at or above the Fully Successful (FS) level, as evidenced by
his/her most recent Performance Appraisal Report (PAR), for the
WIGI to be granted.
The employee's rating and reviewing officials* are to
complete this form by: making pen and ink adjustments to update
any of the personal data shown: checking the appropriate state-
ments on, the reverse: and signing and dating in the spaces
provide4.
If the lel/el of the employee's performance%reguires a
recommendation to deny the WIG', specific comments detailing how
the employee must improve his/her performance in order to be
eligible for a WIGI must be provided on a separate sheet of
paper.
*The rating official is the person currently responsible for
appraising the employee's performance. The reviewing official
is the person currently responsible for reviewing and approving
any appraisal issued to the employee. .
(CONTINUED - OVER)
- 15
Declassified and Approved For Release 2013/03/13: CIA-RDP90-00530R000501080003-0
Declassified and .Approved For Release 2013/03/13 : CIA-RDP90-00530R000501080003-0
PAR: Date:
Administrative Warning as of: for:
Check the appropriate boxes:
t
] GRANT WIGI since employee's current performance is at or
above the Fully Successful level as indicated by:
[ ] previously submitted PAR (information preprinted or
as corrected, above); or
I
attached current PAR.
DENY WIGI* since employee's current performance is below
Fully Successful as indicated by:
II
pending administrative warning or previously sub-
mitted PAR (information preprinted or as corrected,
above), which was issued within the last six months;
or
] attached current PAR (REQUIRED if last PAR is more
than six months old).
*ADDITIONAL PAGE with specific comments detailing how the
employee must improve his/her performance in order to be
eligible for a WIG! is ATTACHED.
DELAY WIGI** since there is no PAR that can be used for a
determination because employee:
] was demoted on based on Unacceptable
performance; or
[ ] entered on duty as of and has no PAR on
record.
**Employee will be issued a PAR on
Signature of Rating Official Date
Signature of Reviewing Official Date
-16 -
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Declassified and Approved For Release 2013/03/13: CIA-RDP90-00530R000501080003-0
APPENDIX V ? ABBREVIATIONS
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Declassified and Approved For Release 2013/03/13: CIA-RDP90-00530R000501080003-0
-ABBREVIATIONS
ALOC - Acceptable Level of Competence
CE - Critical Element
FS - Fully Successful
GS - General Schedule
LWOP - Leave Without Pay
NA - Minimally Acceptable
NAOP - Manual of Administrative Operations and Procedures
NSPB - Merit Systems Protection Board
PAP - Probationary Agent Program
PAR - Performance Appraisal Report
PAS - Performance Appraisal System
PNRS - Performance Management and Recognition System
PM - Performance Management System
PP - Performance Plan
PPMU - Pay and Position Management Unit
FRAU - Performance. Recognition and Awards Unit
PS - Performance Standard
QSI - Quality Step Increase
SA - Special Agent
WIGI - Within-grade Increase
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