PERFORMANCE MANAGEMENT SYSTEM (PMS)

• Document Type: CREST
• Collection: General CIA Records
• Document Number (FOIA) /ESDN (CREST): CIA-RDP90-00530R000501080004-9
• Release Decision: RIFPUB
• Original Classification: K
• Document Page Count: 50
• Document Creation Date: December 27, 2016
• Document Release Date: March 13, 2013
• Sequence Number: 4
• Content Type: MISC

U.S. De Declassified and Approved For Release 2013/03/13: CIA-RDP90-00530R000501080004-9
Federal Bureau of Investigation _ 0)-1
t-r
Performance Management
System (PMS)
Performance Appraisal and
Recognition Matters for
Executive Personnel
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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
increases and performance and superior accomplishment awards.
Employees assigned to executive level positions or to
positions classified at or above grade GS 16 are subject to the
PMS. The attached policy is organized into two major parts,
covering appraisal and recognition matters, and several related
appendices. The appraisal information herein effectively cancels
and supersedes that set forth in the Executive Performance
Appraisal System policy statement dated March 25, 1983.
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TABLE OF CONTENTS
FOREWORD
PART I PERFORMANCE APPRAISAL PROVISIONS PAGE
A.
B.
C.
PURPOSE
RESPONSIBILITIES
PERFORMANCE APPRAISAL PROCESS
1
1
3
1.
Issuance of Performance Plans
3
2.
Progress Reviews
4
3.
Performance Appraisal Reports (PARs). .
4
4.
Issuance of PARS
5
5.
Prior Review
6
6.
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. PERFORMANCE AWARDS 13
D. SUPERIOR ACCOMPLISHMENT AWARDS 13
APPENDIX I DEFINITIONS
APPENDIX II LINES OF RATING AND REVIEWING AUTHORITY
APPENDIX III COMBINATIONS TABLE FOR DETERMINING SUMMARY RATINGS
APPENDIX IV FORMS
APPENDIX V DEVELOPING PERFORMANCE PLANS
A. CRITICAL ELEMENTS 1
B. PERFORMANCE STANDARDS 1
C. JOINT PARTICIPATION 2
APPENDIX VI ABBREVIATIONS
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PART I. PERFORMANCE APPRAISAL PROVISIONS
A. PURPOSE. The purpose of the Executive Performance Appraisal
System (EPAS) 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. 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, regulation, or
policy as set forth herein. The specific responsibilities of other
executives, management officials and supervisors follow:
1. Heads 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 EPAS in a timely manner;
b. 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 EPAS, 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 tha
only employees whose performance exceeds normal
expectations are rated at or above Fully Successful;
e. Ratings of record issued to employees in their
offices are approved; and
f. Performance-based personnel action recommendations
are reviewed and approved.
2. The Senior Executive Board (SEB) is a committee convened
by the Director to develop and/or review Performance Plans and/or
ratings for employees subject to the EPAS and, as requested, to
review and make recommendations concerning various personnel actions
influenced by appraisal information. As instructed by the Director,
the SEB will:
a. Serve in the capacity of rating or reviewing official
in consonance with the responsibilities of same as
described below;
b. Review the appraisal practices of rating and review-
ing officials and make recommendations to the
Director; and
c. Review and submit recommendations concerning
performance-based personnel actions.
3. Reviewing officials are normally the supervisors of
rating officials (see Appendix II for details) 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.
4. Rating officials are normally the employees' immediate
supervisors who assign and review the employees' work (see Appendix
II for details). In appraising subordinates, rating officials are to:
a. Prepare, with employees' input where feasible,
Performance Plans for all subordinates;
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b. 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.
5. Employees subject to the EPAS 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 EPAS.
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, 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 and upon any position change, e.g., Inspector to SAC. Refer
to Appendix V 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
and/or terminated at any time. 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 Director, there is no
reviewing 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.
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An original Plan, comprised of a Notice Page (FD-751) and
Critical Element and Performance Standards Page(s) (FD-751a), is to be
issued within 30 days of: (1) an employee's entry into or change of
positions and (2) the outset of a detail (temporary duty) expected to
last longer than 120 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.. January 1st,
rating officials must conduct progress review sessions with their sub-
ordinates unless a PAR has been or will be issued within 30 days. At
a minimum, employees are to be advised during the review session of
their level of performance vis a vis their Plans. 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-753 and 753a, 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-752) and Evaluation Page(s) (FD-752a).
All PARs are "official" and must be afforded the same consideration
in their execution. An employee must have served at least 120
calendar days on notice of his/her elements and standards before a
PAR may be issued. PARS are required in the following instances:
a. End of Annual Period - Immediately after June 30th
for any employee who has not received a PAR since
March 1st and who has been on notice of elements and
standards for at least 120 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 June 30th, 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.
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b. Position Change - Whenever an employee is scheduled
to leave his/her official position after meeting the
120 day appraisal requirements since his/her last -
rating.
c. Change 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
January 1st. Such PARs are not needed for any
employee who has not met the minimum appraisal
requirements since his/her last rating.
d. Headquarters' Request - Self-explanatory.
e. Current Appraisal - Whenever management 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 120 days.
g.
Unacceptable - Warning - Whenever an employee's per-
formance deteriorates below the Satisfactory 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. 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 must be provided with respect to each element, including
specific accomplishments and deficiencies. The narrative for any
element rated below 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.)
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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, except that the summary
rating is further dependent on, and cannot exceed, the highest level
assigned to the employee's critical elements addressing executive
management, supervision or equivalent program areas. The summary
ratings for employees subject to the EPAS are also subject to the
personal approval of the Director who has the authority to increase or
decrease same. 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.
S. 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 Director, there is
no reviewing official.)
6. 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 chain of command.
Failing satisfaction, an employee has the right to request reconsid-
eration of his/her PAR by the Director.
A reconsideration request must be made in writing within
fifteen calendar days of the date the PAR is 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 EPAS policy. A
written communication to the employee advising of the decision on the
PAR will be provided. To the extent appropriate, any personnel
action(s) taken based on the original PAR will be modified to reflect
the adjustment made.
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
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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 MAOP, Part I, Section 13.
Except in cases meeting requirements for action under both the EPAS
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 reassign, 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
performance, 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 - Narratives for each element
rated Unacceptable must include specific instances of performance
below the Minimally Satisfactory level. The rating official must
append a separate statement on plain white bond paper, as part of the
PAR, regarding the assistance 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 Satisfactory level for each
element which must be achieved/maintained in/throughout the
opportunity period.
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a. Length of Opportunity Period - The opportunity period
is uniformly set at 120 calendar days.
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 reassign-
ment of an employee to protect an investigative
operation or even the employee; however, generally,
reassignments are supervisory options which should
be exercised before issuing a Warning PAR.
To reassign 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 reassignment
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. The narratives for all
elements for which the employee was warned, and any element rated
Unacceptable, must include specific examples of performance demon-
strated and the level achieved during the opportunity period. When
the Resolution PAR satisfies the end of the annual period requirement,
the rating official must consider all ratings issued during that
annual period.
a. Positive Resolution - If the employee consistently
demonstrates performance at least at the Satis-
factory level during the opportunity period, a rating
of no less than Satisfactory may be assigned. The
narrative for any element rated Satisfactory must
include a description of the assistance to be
afforded. (See introductory paragraph of this
Section regarding means to assist.) If all elements
are rated at or above the Satisfactory level, the
warning is considered to be resolved at a positive
level and no recommendation for remedial action may
be made.
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
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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 120 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 Satisfactory level during the
opportunity period, a recommendation in accordance
with 5 U.S.C. 4302(b)(6) to reassign, reduce in grade
or remove is to be set forth in a cover communication
forwarding the PAR to the Performance, Recognition
and Awards Unit (PRAU), FBIHQ. The recommendation
must be based on the unacceptable performance
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 Executive Assistant Director - Administration,
and will identify specific instances of less than
Satisfactory performance 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 Director, and must specify the instances of
less than Satisfactory performance by the employee
on which the reduction in grade or removal is based.
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
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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 Satisfactory
level. The reviewing official, subject to head of
office approval where appropriate, must advise the
Administrative Summary Unit at FBIHQ by written com-
munication (teletype from field offices; memorandum
from FBTHQ offices) of management'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 increases, and performance 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 executive must be based on considera-
tion of the individual's overall record and demonstrated accomplish-
ments. The time which must be served at any grade level depends on a
variety of factors; current policy governing all requirements other
than performance appraisal may be found in the MAOP, Part I, Section
7, as supplemented by official communications. The provisions herein
supersede those in the MAOP with regard to performance appraisal
requirements.
To be eligible for promotional consideration or administra-
tive advancement, an executive's most recent PAR must have a summary
rating of at least Excellent with no individual critical element
rated less than Fully Successful. Generally, this requirement must
also be met before an executive will be considered for equivalent
benefits such as transfer to an office of preference. Time periods
during which the employee's overall performance is documented as
being below the Excellent 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 Fully
Successful or higher. Refer to the MAOP, Part I, Section 7-15.1 -.2
for a discussion 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. Making 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 rating and
reviewing officials. See Appendix II for details and Appendix IV for
a sample certification form.
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a. Current Performance - The rating official is to con-
sider the employee's current performance in terms of
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.
2. Delaying 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 120 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.
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 120 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 120
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
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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 Fully Successful 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 120 days after the original eligibility date
or, in the case of a delayed decision, 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. PERFORMANCE AWARDS. Employees rated at or above the Excellent
level, with no critical element rated below Fully Successful, may be
considered for these awards based on nominations by the SEB, subject
to the approval of the Director and the concurrence of the Department
of Justice.
D. SUPERIOR ACCOMPLISHMENT AWARDS. These awards are designed to
improve Government efficiency, 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 MAOP, Part I, Section 5-19.) Superior Accom-
plishment Awards may be granted for performance in connection with
particular cases or special projects in which an employee may have
been involved.
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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. The annual period for
employees subject to the EPAS generally begins on July 1st and ends
the following year on June 30th.
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 - 120 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 EPAS.
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APPENDIX II - LINES OF RATING AND REVIEWING AUTHORITY
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LINES OF RATING AND REVIEWING AUTHORITY
AD - Assistant Director
ADIC - Assistant Director in Charge
ASAC - Assistant Special Agent in Charge
DAD Deputy Assistant Director
DADIC - Deputy Assistant Director in Charge
EAD Executive Assistant Director
OLIA - Office of Liaison and International Affairs
SAC - Special Agent in Charge
SC - Section Chief.
SEB - Senior Executive Board
Employee
EAD
Rating
Official
Director
Reviewing
Official
ADs/Inspectors
in Charge/ Appropriate
Special Assts. EAD Director
DADs
Inspectors
SCs
SACs/ADIC
Sr. ASACs
DAD IC
SACs in New York
Supergrade Legats
AD Appropriate
EAD
Chief Inspector
DAD
SEB
DAD
AD
Director
SAC EAD-Adminis-.
tration
ADIC
AD IC
EAD-Adminis-
tration
SEB
Inspector in EAD-Investi-
Charge - OLIA gations
Note: Lines of authority are subject
to change in accordance with any
management reorganization. Affected
officials will be notified.
Normally, rating and reviewing officials are responsible for
WIGI certification approval. This responsibility has been delegated
to the AD of the Administrative Services Division for those employees
rated by the SEB.
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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
Satisfactory 1.4 1.4 - 1.99
Fully Successful 2.4 2.0 - 2.99
Excellent 3.4 3.0 - 3.99
Outstanding 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.
In addition to the chart below, the summary rating is
further dependent on, and cannot exceed, the highest level assigned
to the employee's critical elements addressing executive management,
supervision or equivalent program areas.
A: Two Critical Elements
Individual Element
Rating Combination
Summary
Rating
410S- S
S - FS
S- E FS
5- 0
FS
FS - FS
FS
FS- E FS
FS- 0
E- E
E- 0
O- 0
B: Three Critical Elements
Individual Element
Rating Combinations
S - S - S
Summary
Rating
S - S -FS
S - S - E FS
S - S - 0
FS
S - FS - FS
S - FS - E
FS
FS
S - FS - 0
FS
S - E - E
FS
S - E - 0
? FS -FS - FS
FS
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B. Three Critical Elements (Continued)
Individual Element
Rating Combinations
FS - FS - E
FS - FS - 0
FS - E - E
Summary
Rating
FS
FS - E - 0
FS - 0 - 0
E- E - E
E- E 0
? - 0 - 0
O- 0 - 0
0
C. Four Critical Elements
individual Elements
Rating Combinations
S- S- S- S
S - S - S - FS
5- 5- S- E
s- s- S- 0
S - S - FS - FS
S - S - FS - E
S - S - FS - 0
Summary
Rating
FS
FS
FS
FS
S- S- - 0
S- 5- 0- 0
S - FS - FS - FS
S - FS - FS - E
S - FS - FS - 0
S - FS - E - E
S - FS - E - 0
S - FS - 0 - 0
S- E- E- E
5- E- E- 0
S- E- 0- 0
5- 0- 0 - 0
FS - FS - FS - FS
FS - FS - FS - E
FS - FS - FS - 0
FS - FS - E - E
FS - FS - E - 0
FS - FS - 0 - 0
FS - E - E - E
FS - E E - 0
FS - E - 0 - 0
FS - 0 - 0 - 0
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FS
FS
FS
FS
FS
FS
FS
FS
FS
FS
FS
FS
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C. Four Critical Elements (Continued)
Individual Element
Rating Combinations
Summary
Rating
E-E-E-E
E - E - E 0
E - E - 0 - 0
E - 0 - 0 - 0 0
O - 0 - 0 - 0
D. Five Critical Elements
Individual Element
Rating Combinations
Summary
Rating
S- S- S- S- S
S- S- S- S- FS
S- S- S- S- E
S - 5- S- S- 0 FS
5- S- S - FS - FS
5- S- S - FS - E FS
5- S- S - FS - 0 FS
S- S- S- E- E FS
S- S- S- E- 0 FS
S- S- S- 0- 0 FS
S- S - FS - FS -FS FS
S- S - FS - FS - E FS
S- S - FS - FS - 0 FS
S- S - FS - F FS
6- S - FS - F- 0 FS
S- S - FS - 0- 0 FS
S- S- E- E- E FS
S- S- F- E- 0 FS
5- S- F- 0- 0
S- S- 0- 0- 0
S - FS - FS - FS - FS FS
S - FS - FS - FS - F FS
S - FS - FS - FS - 0 FS
S - FS - FS - E- F FS
S - FS - FS - F- 0 FS
S - FS - FS - 0- 0
S - FS - - - F FS
S - FS - - E- 0
S - FS - E- 0- 0
S - FS - 0- 0- 0
S- E- E- E- E
5- E- F- E- 0
S- - - 0- 0
5- E- 0- 0- 0
-3
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D. Five Critical Elements (Continued)
Individual Element
Rating Combinations
Summary
Rating
S 0- 0- 0- 0
FS - FS - FS - FS - FS FS
FS - FS - FS - FS - E FS
FS - FS - FS - FS - 0 FS
FS - FS - FS - E- E FS
FS - FS - FS - E- 0
FS - FS - FS - 0- 0
FS - FS - E- E- E
FS - FS - E- E- 0
FS - FS - E- 0- 0
FS - FS - 0- 0- 0
FS- E E- E- E
FS- E- E- E- 0
FS- E- E- 0- 0
FS- E- 0- 0- 0
FS- 0- 0- 0- 0 0
E- E- E- E- E
E- E- E- E- 0
E- E- E- 0- 0
E- E- 0- 0- 0 0
E- 0- 0- 0- 0 0
O- 0- 0- 0- 0 0
E. Six Critical Elements
Individual Element Summary
Rating Combinations Rating
S -S-S- S- S- S
S -S-S- S- S- FS
S -S-S- S- S- E
S -S-S- S- S- 0
S-S-S- S-FS-FS
S-S-S- S-FS- E
S-S-S- S-FS- 0
S-S-S- S- E- E
FS
FS
S-S-S- S- E- 0 FS
S - S - S - 5- 0- 0 FS
S - S - S - FS - FS - FS
S - S - S - FS - FS - E FS
S - S - S - FS - FS - 0 FS
S - S - S - FS - E- E FS
S - S - S - FS - E- 0 FS
S - S S - FS - 0- 0 FS
S-S-S- E- E- E FS
S-S-S- E- E- 0 FS
- 4 -
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E. Six Critical Elements (Continued)
Individual Element
Rating Combinations
Summary
Rating
S- S- S- E- 0- 0 FS
S- S- 5- 0- 0- 0 FS
S- S - FS - FS - FS - FS FS
5- S - FS - FS - FS - E FS
S- S - FS - FS - FS - 0 FS
S- S - FS - FS - E- E FS
S- S - FS - FS - E- 0 FS
S- S - FS - FS - 0- 0 FS
S- S-FS- E- E- E FS
S- S - FS - E- E- 0 FS
8 - s - FS - E- 0- 0 FS
S- s - FS - 0- 0- 0 E
S'- S- E- E- E?.- E FS
S- S- E- E- E- 0 FS
5- S- E- E- 0- 0 E
5- S- E- 0- 0- 0 E
S- S- 0- 0- 0- 0 E
S - FS - FS - FS - FS - FS FS
S - FS - FS - FS - FS - E, FS
S - FS - FS - FS - FS - 0" FS
S - FS - FS - FS - E- E FS
S - FS - FS - FS - E- 0 FS
S - FS - FS - FS - 0- 0 FS
S - FS - FS - E- E- E FS
S - FS - FS - E- E- 0 FS
S - FS - FS - E- 0- 0 E
S - FS - FS - 0- 0- 0 E
S -FS - E- E- E- E FS
S - FS - E- E- E- 0 E
S - FS - E- E- 0- 0 E
S - FS - E- 0- 0- 0 E
S - FS - 0- 0 0- 0 E
S- E- E- E- E- E E
S- E- E- E- E- 0 E
S- E- E- E.- 0- 0 E
S- E- E- 0- 0- 0 E
5- E- 0- 0- 0- 0
S - 0- 0- 0- 0- 0
FS - FS - FS - FS - FS - FS
FS - FS - FS - FS - FS - E
FS
FS
FS - FS - FS - FS - FS - 0
FS - FS - FS - FS - E - E
FS - FS - FS - FS - E- 0
FS - FS -FS - FS - 0- 0
FS - FS - FS - E - E - E
FS
FS
FS
- 5 -
FS
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E. Six Critical Elements (Continued)
Individual Element
Rating Combinations
Summary
Rating
FS - FS - FS - E - E - 0 E
FS - FS - FS - E - 0 - 0 E
FS - FS - FS - 0 - 0 - 0 E
FS-FS- E-E-E-E E
FS-FS- E-E-E-0 E
FS-FS- E-E-0-0 E
FS-FS- E-0-0-0 E
FS-FS- 0-0-0-0 E
FS- E- E-E-E-E E
FS- E- E-E-E-0 E
FS- E- E-E-0-0 E
FS- E- E-0-0-0 E
FS- E- 0-0-0-0 E
FS- 0- 0-0-0-0 0
E- E- E-E-E-E E
E- E- E-E-E-0 E
E- E- E-E-0-0 E
E- E- E-0-0-0 E
E- E- 0-0-0-0 0
E- 0- 0-0-0-0 0
O- 0- 0 - 0 - 0 - 0
F. Seven Critical Elements
Individual Element
Rating Combinations
0
Summary
Rating
S- S -S-S S- S- S S
S-S-S-S- S- S-FS S
S-S-S-S- S- S- E S
S-S-S-S- S- S- 0 S
S -S-S-S- S- FS - FS S
S-S-S-S- S-FS- E S
S-S-S-S- S-FS- 0 S
S-S-S-S- S E- E S
S-S-S-S- S- E- 0 FS
S-S-S-S- S- 0- 0 FS
S -S-S-S-FS -FS -FS S
S -S-S-S-FS -FS - E S
S -S-S-S-FS -FS - 0 FS
S S-S-S-FS- E- E FS
S-S-S-S-FS- E- 0 FS
S- -S -S -FS - 0- 0 FS
S-S-S-S- E- E- E FS
S-S-S-S- E- E- 0 FS
-6-
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F. Seven Critical Elements (Continued)
Individual Element
Rating Combinations
Summary
Rating
S-
S-
S-
S-
E-
0-
0
FS
S-
S-
S-
S-
0-
0-
0
FS
S-
S-
S -
FS -
FS -
FS -
FS
S-
S
S -
FS -
FS -
FS -
E
FS
S
S-
S -
FS -
FS -
FS -
0
FS
S-
S-
S -
FS -
FS -
E-
E
FS
S-
S-
S -
FS -
FS -
E-
0
FS
S-
S-
S -
FS -
FS -
0-
0
FS
5-
S-
S-
FS -
E-
E-
E
FS
5-
5-
S -
FS -
E-
E
0
FS
5-
S-
S -
FS -
E-
0-
0
FS
S-
S-
S -
FS -
0 -
0-
0
FS
S -
S-
S-
E-
E-
E-
E
FS
5-
S-
S-
E-
E-
E-
0
FS
5-
S-
S-
E-
E-
0-
0
FS
S-
S-
S-
E-
0-
0-
0
FS
S -
5-
S -
S-
0-
0-
0-
0
S -
FS -
FS -
FS -
FS -
FS
FS
S-
S -
FS -
FS -
FS -
FS -
E
FS
5-
S -
FS -
FS -
FS -
FS -
0
FS
S-
S -
FS -
FS -
FS -
E-
E
FS
S-
S -
FS -
FS -
FS
E-
0
FS
5-
S -
FS -
FS -
FS -
0-
0
FS
5-
S-
FS -
FS -
E-
E-
E
FS
5-
S -
FS -
FS -
E-
E-
0
FS
S -
S -
S -
FS -
FS -
E -
0 -
0
FS
S
FS -
FS -
0 -
0 -
0
FS
5-
S-
FS -
E-
E-
E-
E
FS
S-
S -
FS -
E-
E-
E-
0
FS
5-
S -
FS -
E-
E-
0-
0
FS
5-
S -
FS -
E-
0-
0-
0
5-
S -
FS -
0-
0-
0-
0
S-
S-
E-
E-
E-
E-
E
FS
5-
S-
E-
E-
E-
E-
0
FS
S-
S-
E-
E-
E-
0-
0
S-
S-
E-
E-
0-
0-
0
5-
S-
-
0
0 -
0-
0
S-
-
0-
0-
0-
0-
0
S -FS
- FS
- FS
-PS
- FS -
FS
FS
S -
FS
- FS
- FS
- FS
- FS -
E
FS
S -
FS
-FS
-PS
-FS
-PS -
0
FS
S -
FS
- FS
- FS
- FS
- E-
E
FS
S -
FS
- FS
- FS
- FS
- FS
- FS
- -
0
FS
S -
FS
- FS
- 0-
0
FS
S -
FS
- FS
- FS
- E- E-
E
FS
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F. Seven Critical Elements (Continued)
Individual Element
Rating Combinations
Summary
Rating
S - FS - FS - FS - E- E- 0 FS
S - FS - FS - FS - E- 0- 0 FS
S - FS - FS - FS - 0- 0- 0 E
S - FS - FS - E- E- E- E FS
S - FS - FS - E- E- E - 0 FS
S - FS - FS - E- E- 0- 0 E
S - FS - FS - E- 0- 0- 0 E
S - FS - FS - 0- 0- 0- 0 E
S - FS - E- E- E- E- E FS'
S - FS - E- E- E- E- 0 E
S - FS - E- E- E- 0- 0 E
S - FS - E- E- 0- 0- 0 E
S - FS - E- 0- 0- 0- 0 E
S - FS - 0- 0- 0 -' 0 - 0 E
S- E- E- E- E- E- E E
S- E- E- E- E- E- 0 E
S- E- E- E- E- 0- 0 E
S- E- E- E- U- 0- 0 E
S- E- E- 0- 0- 0- 0 E
S - E - 0- 0- 0- 0- 0 E
S- 0- 0- 0- 0- 0- 0 E
FS - FS - FS.- FS - FS - FS - FS FS
FS - FS - FS - FS - FS - FS - E FS
FS - FS - FS - FS - FS - FS - 0 FS
FS - FS - FS - FS - FS - E- E FS
FS - FS - FS - FS - FS - E- 0 FS
FS - FS - FS - FS - FS - 0- 0 FS
FS - FS - FS - FS - E- E- E FS
FS - FS - FS - FS - E- E- 0 FS
FS - FS .- FS - FS - E- 0- 0 E
FS - FS - FS - FS - 0- 0- 0 E
FS - FS - FS - E- E- E- E FS
FS ? FS - FS - F- F- F- 0 E
FS - FS - FS - E- F- 0- 0 E
FS - FS - FS - F- 0- 0- 0 E
FS - FS - FS - 0- 0- 0- 0 E
FS - FS - E- E- E- E- E E
FS - FS - E- E- E- E- 0 E
FS - FS - E- E- F- 0- 0 E
PS-PS E- F- 0- 0- 0 E
FS-FS F- 0- 0- 0- 0 E ,
FS-FS 0- 0- 0- 0 - -0 E
PS- F- E F- E- E- E E
8 -
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F. Seven Critical Elements (Continued)
Individual Element
Rating Combinations
Summary
Rating
FS -E-E-E-E-E-0
FS -E-E-E-E-0-0
FS-E--E--E-0-0--O
FS -E-E-0-0-0 -0
FS -E -0-0-0 -0-0
FS -0-0-0-0-0-0 0
E-E-E-E-E-E-E
E -E-E-E-E-E-0
E -E-E-E-E-0-0
E-E-E-E-0-0-0
E -E-E-0-0-0-0
E -E -0-0-0 -0-0 0
E -0-0-0-0 -0-0 0
E-o-0--0-0--o-0
9
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APPENDIX IV - FORMS
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FD-751 (1-20-88)
Federal Bureau of Investigation
Performance Management System - Executive Personnel
Performance Plan - Notice Page
[SEE INSTRUCTIONS ON REVERSE]
Page 1 of
1.
Payroll Nameof Employee
2.
Social Security Number
3.
Position Title and Grade
4.
Office of Assignment
This Performance Plan is consistent with the employee's assigned duties and responsibilities and is in furtherance of the mission and goals of the FBI.
5
6
Signature of Rating Official Date
Signature of Reviewing Official Date
have been advised of my critical element(s) and performance standards for the forthcoming appraisal period and I am aware that my summary rating must be at the
Excellent level, with no rating less than Fully Successful (FS) on any critical element, in order lobe considered for promotion, administrative advancement, and/or
office of preference transfer. In addition, I am aware that my summary rating, if below the FS level, may preclude me from consideration for a within-grade increase
(WIG!), and that a summary rating of Unacceptable may be the basis for my reassignment, reduction in grade, or removal.
7
Signature of Employee Date
PRAU USE ONLY
Logged.
CE
Type
Code
, Reviewed
? 1 ?
THREE
FBVDOJ
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Instructions for Preparing the Notice Page
A Performance Plan is comprised of a Notice Page (FD-751) and Critical Element and Performance
Standards Page(s) (FD-751a). This Notice Page is used to document the communication of one or more
critical elements (CEs) and their performance standards (PSs) to an employee. A Plan is to be issued within
30 days after an employee assumes new responsibilities requiring the communication of new CE(s) and/or
PS(s). 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. To
improve legibility, the names and titles of rating and reviewing officials may be typewritten below their
signatures. While all items 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 FBIHQ,
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 (including each CE and PSs Page (FD-751a)) within 30
days after the beginning of the new period. The annual renewal 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. In addition, the employee is to initial and date each CE and PSs Page.
Employees are to be afforded access to their Performance Plans. Upon request, employees are to be
provided copies of their Plans, unless the classification of the information therein prohibits release.
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FD-751a (1-20-88) Page of
Federal Bureau of Investigation
Performance Management System. Executive Personnel
Performance Plan - Critical Element and Performance Standards Page
[SEE INSTRUCTIONS ON REVERSE)
1. Payroll Name of Employee
2. .Social Security Number
3. Critical Element #
4. Performance Standards
Satisfactory
Fully Successful
Excellent
-3-
6. Initials of Employee Date
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THREE
FBI/DOJ
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Instructions
for Preparing the Critical Element
and Performance Standards Page
This Page is used to record a single critical element (CE) and its performance standards (PSs) and must be
attachpd to a Notice Page (FD-751). 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.
Define the CE. It must (1) be consistent with the duties and responsibilities of the employee's
position, 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, supervis
control, review, appraise, etc.
Item 4 Record the PSs for the Satisfactory, Fully Successful and Excellent levels for the CE.
In developing PSs, the rating official, with input from the employee, must (1) consider the employee's
role in accomplishing the goals and objectives of the organizational entity, (2) state PSs as succinctl
specifically and concretely as possible to enable the accurate measurement of the employee's actual
performance in comparison to the PS, and (3) state the PSs in terms reflecting quality, quantity,
timeliness, amount of review or revision required, compliance with applicable regulations and
procedures, and other measurements of performance as appropriate.
Item 5 Self-explanatory.
Employees are to be afforded access to their Performance Plans. Upon request, employees are to be
provided copies of their Plans, unless classification of the information therein prohibits release.
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FD-752 (Rev. 1-20-88)
Federal Bureau of Investigation
Performance Management System - Executive Personnel
Performance Appraisal Report - Cover Page
[SEE INSTRUCTIONS ON REVERSE]
1. Payroll Name of Employee
2. Office of Assignment
3. Social Security Number
4. Position Title and Grade
5. Summary Rating
0 Outstanding
0 Excellent
o Fully Successful
0 Satisfactory
0 Unacceptable
6. Rating of Critical Element(s)
#1
#2 #3
#4 #5
#6 #7
7.
Signature of Rating Official Date
8. I have reviewed and approved this appraisal. ( ) See my comments attached.
Signature of Reviewing Official Date
9. I am aware that my summary rating must be at the Excellent level, with no rating less than Fully Successful (FS) on any critical element, in order to be
considered for promotion, administrative advancement, and/or office of preference transfer. In addition, I am aware that my summary rating, if below the FS
level, may preclude me from consideration for a within-grade increase (WIGI), and that a summary rating of Unacceptable may be the basis for my
reassignment, reduction in grade, or removal. My signature only indicates that I have reviewed this appraisal, not that I am necessarily in agreement with the
information herein or that I am relinquishing my right to request reconsideration of it.
Signature of Employee
Date
10. Basis/Reason for Issuance
PRAU USE ONLY
A 0 End of Annual Period
Logged
0 Position Change
Date
Reviewed
O 0 Change in Rating Official
Date
Entered
Verified
0 Current Appraisal
Date
Printout
O 0 Requested by FBIHO
Date
0 Conclusion of Detail
Date
0 Unacceptable - Warning
Date
0 Warning Resolution
Date
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THREE
F131/00.1
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Instructions for Preparing the
Performance Appraisal Report
Cover Page
Rating official is to complete the necessary Evaluation Page(s) prior to completing this form. With the exception
of signatures and dates, the information on this form is to be typewritten. To improve legibility, the names and titles of
rating nd reviewing officials may be typewritten below their signatures.
Preprinted form FD-752 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, and the form returned to the PRAU as the first page of the Report.
Items 1-4 Self-explanatory.
Item 5 Complete item 6 prior to determining the summary rating. The summary rating is determined by
reference to the Combinations Table in policy material, with due consideration given to the weight
assigned to elements described therein. (Note: When any critical element (CE) is rated
Unacceptable, the summary rating must be Unacceptable.)
Item 6 Record the rating level assigned to each CE on the Evaluation Page(s). List the ratings according to
their respective CE numbers.
Item 7 Rating official is to sign and date the appraisal before submitting to higher level official for review.
Item 8 Reviewing official is to sign and date the appraisal before it is presented to the employee. He/she must
assure the validity and fairness of the appraisal. Any modifications made must be justified with
comments on plain white bond paper.
Item 9 Self-explanatory. If the employee refuses to sign the appraisal, the rating official is to document the
refusal and the date of same in the space allowed for this item.
Item 10 Record the reason(s) the Performance Appraisal Report (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 rating 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
necessary for PARs issued at the end of the annual period unless the period is extended past June
30th for reasons set forth in policy material.
In most cases, if an employee received a PAR after March 1st, no separate PAR for the end of the
annual period will be necessary For this reason, "end of the 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
Successful.
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 ?
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FD-752a (Rev. 1-20-88)
Federal Bureau ofInvestigation
Performance Management System - Executive Personnel
Performance Appraisal Report. Evaluation Page
[SEE INSTRUCTIONS ON REVERSE]
1. Payroll Name of Employee
2. Social Security Number
3. Critical Element # as listed on the Plan:
4. Rating level:
O Outstanding
O Excellent
O Fully Successful
o Satisfactory
? Unacceptable
Narrative Comments
5.
-7-
6. Initials of Employee Date
F131/DOJ
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Instructions for Preparing the
Performance Appraisal Report
Evaluation Page
With the exception of the employee's initials and date, information on this form is to be typewritten.
Items 1-2 Self-explanatory.
Item 3 Record each critical element by its identifying number and title from the Performance Plan. No
more than one element may be recorded on the Evaluation Page. Use additional pages as
required.
Item 4 Review documentation collected during the appraisal period and compare with the element's
performance standards to determine the rating level that best describes the employee's
performance. Indicate the assigned rating level by placing an X in the appropriate box.
Item 5 Summarize in narrative fashion the employee's demonstrated performance concerning the
critical element. The summary provided should include specific examples of positive/
negative performance noted during the appraisal period.
Item 6 Self-explanatory.
Refer to policy material for additional guidance on the preparation of Reports for employees rated
below Fully Successful.
Employees are to be afforded access to their Performance Appraisal Reports (PARs). Upon request,
employees are to be provided copies of their PARs, unless the classification of the information therein
prohibits release.
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FD-753 (1-20-88)
Federal Bureau of Investigation
Performance Management System - Executive Personnel
Progress Review Sheet
[SEE INSTRUCTIONS ON REVERSE]
Page 1 of
1.
Payroll Name of Employee
2.
Social Security Number
3.
Position Title
4.
Office of Assignment
5.
Comments:
6. Signature of Employee
Date
7. Signature of Rating Official
-9-
Date
F131/DOJ
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Instructions for Completing the
Progress Review Sheet
During the progress review, the rating official must, at a minimum, advise each employee of his/her performance
level based on comparison of demonstrated performance with the employee's assigned critical element(s) and
performance standards. According to Federal regulations, such advice is not, and shall not be construed as, an
official rating.
This form may be handwritten in ink.
Items 1-4 Self-explanatory.
Item 5 Summarize the employee's 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-753a) as necessary.
Items 6-7 Self-explanatory.
Employees are to be afforded access to the forms used to document their progress review, i.e., FD-753 and
FD-753a, if any. Upon request, employees are to be provided copies of these forms, unless the classification of the
information therein prohibits release.
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FD-753a (1-20-88)
Federal Bureau of Investigation
Performance Management System - Executive Personnel
Progress Review Continuation Sheet
[SEE INSTRUCTIONS ON REVERSE]
Page of
1. Payroll Name of Employee
2. Social Security Number
3. Comments Continued:
-11--
4. Initials of Employee Date
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FBI/DOJ
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Instructions for Completing the
Progress Review Continuation Sheet
This form may be handwritten in ink.
Items 1-2 Self-explanatory.
Item 3 Refer to instructions for item 5 on the Progress Review Sheet (FD-753).
Item 4 Self-explanatory.
Employees are to be afforded access to the forms used to document their progress review, i.e., FD-753 and
FD-753a, if any. Upon request, employees are to be provided copies of these forms, unless the classification of the
information therein prohibits release.
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3-815
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? UNITED STATES DEPARTMENT OF JUSTICE
FEDERAL BUREAU OF INVESTIGATION
?
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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).
Additional use of LWOP may necessitate a change in the eligibil-
ity 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
provided.
If the level of the employee's performance requires a
recommendation to deny the WIGI, specific comments detailing how
the employee must inprove 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)
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PAR: Date:
Administrative Warning as of: for:
Check the appropriate boxes:
( ) 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
attached current PAR.
DENY WIGI* since employee's current performance is below
Fully Successful as indicated by:
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 WIGI 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
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Signature of Rating Official Date
Signature of Reviewing Official Date
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APPENDIX V - 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 executive management
officials, the responsibility and measurement criteria for (1) equal
employment opportunity and affirmative action matters and (2) estab-
lishment 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 established for the employees' official position. Each
element must be of such importance that the rating official would, in
the face of unacceptable performance, recommend the reduction 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 requirements of employees' offi-
cial positions 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 Satisfactory,
Fully Successful, and Excellent 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 Satisfactory level described on the employee's Performance Plan
in that the employee continually required greater supervision/guidance
than appropriate and/or did not exercise sufficient controls to
maintain effective management/supervision of assigned program(s)
and/or personnel.
2. Satisfactory - Throughout the appraisal period, the
employee achieved the minimum level set forth on his/her Performance
Plan in that, with only minimum supervision, he/she ensured compliance
with applicable laws, regulations, policies, and guidelines in
effectively managing/supervising designated program(s) and personnel
while maintaining cost-effectiveness.
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3. Fully Successful - Throughout the appraisal period,
with only general guidance, the employee's performance exceeded the
Satisfactory level in that the quality of the program(s) administered
was enhanced through policy modifications and/or personnel actions
while cost-effectiveness was maintained or increased.
4. Excellent - Throughout the appraisal period, the
employee's performance continually exceeded the Fully Successful
level in that highly significant enhancements were made to the
program(s) administered without increasing costs, thereby directly
resulting in more effective management of the field office or Division
to which assigned.
5. Outstanding - Throughout the appraisal period, the
employee's performance significantly exceeded the Excellent level, as
described on his/her Performance Plan, by introducing extremely -
valuable innovations and improvements which resulted in greatly
increased program efficiency and effectiveness and decreased costs.
The benefits of the changes introduced extended to numerous entities
within the Bureau.
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
III
Performance Plans together;
2. Employee may provide the rating official with a draft
Performance Plan;
3. Employee may commerit 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.
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APPENDIX VI - ABBREVIATIONS
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ABBREVIATIONS
ALOC - Acceptable Level of Competence
CE - Critical Element
E - Excellent
EPAS - Executive Performance Appraisal System
FS - Fully Successful
GS - General Schedule
LWOP - Leave Without Pay
MAOP - Manual of Administrative Operations and Procedures
O - Outstanding
PAR - Performance Appraisal Report
PMS - Performance Management System
PP - Performance Plan
PPMU - Pay and Position Management Unit
PRAU - Performance, Recognition and Awards Unit
PS - Performance Standard
S - Satisfactory
U - Unacceptable
WIGI - Within-grade Increase
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