SECRETARY OF DEFENSE · supervisors in the conduct of the performance appraisal cycle ... Defense Logistics ... Secretary of Defense or Assistant Secretary of Defense to which the

"AD-A268 045 0oD 1402.3-H11i111 INl hll L i II lll 111111 1111 11' ••OFFICE OF THE

SECRETARY OF DEFENSE

Director of Administration and Management

, Office of the Secretary of Defense

(703) 697-8304

SENIOR EXECUTIVE SERVICEPERFORMANCE PLANNING AND

EVALUATION,

'A U G 5 -1993 U

Office of the Secretary of Defense, DoD Field Activities,the Joint Staff, the U.S. Court Military Appeals,

the U.S. Mission to NATO, and the Defense Agencies

APRIL 1989

93 "43

OFFICE OF THE SECRETARY OF DEFENSE

WASHINGTON, DC 20301~5Lj.DoD 1402.3-H

Chapter 4

Administration April 1989& Management

FOREWORD

The Senior Executive Service Handbook is issued under the authority of DoDDirective 1402.3, "Administration of the Senior Executive Service Program inthe Office of the Secretary of Defense and the Defense Agencies," datedAugust 16, 1984.

This is a reissuance of Chapter 4 of the SES Handbook, which is designed toprovide guidance to the members of the Senior Executive Service and to theirsupervisors in the conduct of the performance appraisal cycle. The revisedchapter 4 reintroduces a three-level rating system (i.e., Fully Successful,Minimally Satisfactory, and Unsatisfactory) for members of the SES. Inaddition and where necessary, provisions have been changed, and content hasbeen reorganized to enhance use of the chapter.

The provisions of this chapter apply to the Office of the Secretary ofDefense (OSD), DoD field activities, the Joint Staff, the U.S. Court ofMilitary Appeals, the U.S. Mission to NATO, and the Defense Agencies (exceptthe National Security Agency/Central Security Service and the DefenseIntelligence Agency). In this Chapter, the DARPA and the DSAA shall beconsidered sub-units of OSD Components rather tthan Defense Agencies.

This chapter is effective immediately and its use is mandatory.

Send recommended changes through channels to:

Executive Personnel and Classification DivisionDirectorate for Personnel and SecurityWashington Headquarters ServicesRoom 3C444, The PentagonWashington, D.C. 20301-1155

OSD Components may obtain copies of this chapter from the OSD PublicationsCounter, Room 3B960, The Pentagon. Other DoD Components should obtaincopies of the chapter through their own publications channels. OtherFederal Agencies and the public may obtain copies from the NationalTechnical Information Service, U.S. Department of Commerce, 5285 Port RoyalRoad, Springfield, Virginia 22161.

D. 0. COOKEDirector

TABLE OF CONTENTSPage

I. INTRODUCTION/DEFINITIONS ...... ..................... 4-1

II. TIMETABLE FOR PERFORMANCE APPRAISAL . .... ........... ... 4-4

III. PERFORMANCE PLANNING AND ASSESSMENT .... ............. ... 4-6

STEP 1: Identify Critical Elements .... ............. ... 4-8STEP 2: Specify Performance Standards

For Each Critical Element ..... ... ............. 4-9STEP 3: Certify the Final Performance Plan ........... .... 4-10STEP 4: Review Progress and Changes To Performance Plan. . . . 4-11STEP 5: Assess Performance ...... ..... ... ........... 4-12STEP 6: Recommend Further Action (Optionizl) . . ......... .. 4-15

IV. REVIEW OF RECOMMENDATIONS ...... ................. .... 4-17

V. DISAGREEMENT WITH FINAL RATING ..... ............... ... 4-19

APPENDICES

A. Responsibilities ....... ... ...................... ... A-IB. Location and Availability of SES Evaluation Documents ....... B-iC. Performance While on a Sabbatical ........... C-iD. Required Format for Performance Award (BoPus) Recommendations D-1E. Sample Critical Elements and Performance Etandards .... ...... E-1

K.. z .,-

MTIC QUALITY INSPECT:D 3

Dist

REFERENCES

(a) Public Law 95-454, "Civil Service Reform Act of 1978," October 13,1978 (Title 5, U.S.C. 4311-4314)

(b) 5 CFR 430 Subpart C, "Performance Appraisal for the Senior ExecutiveService (SES)," April 10, 1986

(c) Amendment to 5 CFR 430, Subpart C, January 23, 1989

iii

CHAPTER 4

I. INTRODUCTION AND DEFINITIONS

INTRODUCTION

Title 5 of the United States Code, Chapter 43, Subchapter II, requiresFederal agencies to establish performance appraisal systems that:

- provide for systematic appraisals of performance of SeniorExecutive Service (SES) employees;

- encourage excellence in performance; and- provide a basis for retention in the SES and for SES performance

awards

The statutory requirement has been supplemented by regulation (5 CFR 430,Subpart C) designed to ensure a performance appraisal system that:

- communicates and clarifies organizational goals and objectives;- identifies individual accountability for the accomplishment of

agency goals and objectives;- evaluates and improves individual and organizational

accomplishment; and- uses the results of performance appraisal as a basis for adjusting

base pay, training, rewarding, reassigning, retaining, and removingemployees.

Accordingly, this performance appraisal system has been designed for membersof the SES employed or serviced by the Office of the Secretary of Defense(OSD). It is consistent with statute and regulation, and has been designedto maximize flexibility to achieve the following objectives:

- systematic appraisal and fair and accurate evaluation of theperformance of each executive;

- encouragement of excellence in job performance dnd provision of asound basis for the distribution of performance awards;

- assistance to employees in improving unacceptable performance;- reassignment or removal of employees who continue to perform

unacceptably; and- contribution to organizational effectiveness.

SES members and their supervisors will be briefed periodically on theirresponsibilities, especially in connection with their participation onPerformance Review Board (PRB) panels, and will be advised of programchanges by means of policy issuances and information memoranda. Programeffectiveness will be evaluated annually. These evaluations will examinesystem difficulties, will involve Performance Review Board input and willrecommend solutions to perceived problems.

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This chapter is designed to be used in conjunction with the Senior ExecutiveService Performance Planning and Evaluation form (DD Form 2206). The sixsteps presented in pages 4-8 to 4-16 correspond tc the steps on the form.

DEFINITIONS

Critical Element: A component of a position consisting of one or moreduties and responsibilities that contributes toward accomplishing organiza-tional goa-ls and objectives, and that is of such importance that "Unsatis-factory" performance on the element would result in "Unsatisfactory"performance in the position.

Deciding official: The official who assigns the rating of record anddetermines the award of SES bonuses, following review of the initial ratingand any bonus recommendation by the PRB. For OSD Components and the DoDInspector General, this is the Secretary of Defense. For Defense Agencies(except the Defense Investigative Service, all Director, Deputy Director,and General Counsel positions, and positions specified on a case-by-casebasis that are covered-by the OSD PRB and OSD procedures), the decidingofficial is the Agency Director. For the remaining Office of the InspectorGeneral staff, the deciding official is the Inspector General and DIGprocedures govern these appraisals. For Defense Agency employees covered bythe OSD PRB (including Defense Agency General Counsels), the decidingofficial is the Secretary of Defense.

Defense Agencies: As used here, the term includes:

Defense Communi',ations Agency (DCA)Defense Contract Audit Agency (DCAA)Defense Investigative Service (DIS)Defense Logistics Agency (DLA)Defense Mapping Agency (DMA)Defense Nuclear Agency (DNA).

Initial Rating. The summary rating made by a senior executive'ssupervisor (normally the immediate supervisor) and provided to the PRB. Therating must be based on the currently approved performance plan for theexecutive.

Interim Appraisal: Assignment of a Summary Rating in part A that isnot, in turn, forwarded to a Performance Review Board. Interim appraisalstypically are prepared to assess performance up to the time the ratedexecutive moves to another position (i.e. reassigned or transferred) duringthe rating period. Interim appraisals must be considered by preparers ofthe subsequent annual (initial) ratings. However, they are not submitted toPRB's, and do not comprise the basis for bonus awards or other SESemployment decisions. The interim appraisal is documented on the SESPerformance Planning and Evaluation Form (Step 5, DD Form 2206).

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Rating of Record: The summary rating assigned by the deciding officialafter considering recommendations of the PRB.

Second-Level Review: Optional review, unless requested in writing bythe executive, of the initial performance appraisal by an official at anorganizational level higher than that of the rating official. Second-levelreviews take place before submission to the PRB. Second-level reviews aregenerally not performed on interim appraisals.

a. The second-level reviewing official for civilian Deputy Directorsof Defense Agencies shall be the Under Secretary of Defense or AssistantSecretary of Defense to which the Defense Agency reports.

b. The second-level reviewing official for SES members (other than theGeneral Counsels) of DLSA is the DoD General Counsel/Director, DLSA.

c. The second-level reviewing official for individuals assigned to theU.S. Mission, NATO, is the Defense Advisor to the U.S. Mission, NATO. Theinternational supervisors of all other SES members assigned to NATO assumethis role for them, unless an exception has been approved by Director ofAdministration and Management (DA&M) in order to ensure that the objectivesof this plan are achieved.

d. If a second-level reviewing official does not exist below theDeputy Secretary of Defense, the immediate supervisor shall forward DD Form2206 directly to the OSD PRB.

e. If a Defense Agency Director is the immediate supervisor of anexecutive who is at a level lower than Deputy Director, no second-levelreview is required unless the executive requests it. If there is a secondlevel review, it is within the Office of the Under Secretary of Defense orOffice of the Assistant Secretary of Defense (or equivalent) through whichthe Defense Agency reports.

Summary Rating: The rating level (see step 5, paragraph 3, page 4-12)assigned to a senior executive's overall performance, tollowing theassessment of performance on individual critical elements.

OSD Components: For purposes of this chapter, this term is defined asincluding: OSD, DoD field activities, the joint Staff, the StrategicDefense Initiative Organization (SDIO), the U.S. Mission to NATO, the NATOInternational Military Activities Staff, and the U.S. Court of MilitaryAppeals. The Defense Advanced Research Projects Agency, (DARPA) isconsidered a sub-unit of OUSD(A); the Defense Security Assistance Agency(DSAA) and the Defense Investigative Service (DIS) are considered sub-unitsof OUSD(Policy); and the Defense Legal Services Agenc:y (DLSA) is considereca sub-unit of OGC for appraisals of Defense Agency Gtneral Counsels. OtherDefense Agency Counsels are subject to the PRB of the Agency on whose rollsthey are appointed.

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II. TIMETABLEFOR PERFORMANCE APPRAISAL

KEY DATES ACTIVITIES

July I Start of rating period.Jan 1-15 Mid-period progress review.June 30 End of rating period.July 1 Performance evaluation and review for previous

12 months undertaken within the component. Newrating period begins.

July (third week) Appraisal and bonus information forwarded toPersonnel. PRB begins review process.

BASIC PROVISIONS

1. Whenever an SES member is appointed, assigned, or detailed for 120 daysor longer to a different position (with significant change in duties), aperformance plan (critical elements and performance standards) must bedeveloped.

2. Senior executives employed on June 30 of each year, in organizationssubject to this handbook, shall receive an annual written appraisal of theirjob performance, provided they have been in the SES for a period of at least90 days. An appraisal is required also for Presidential appointees who werecareer members of the SES who elected to continue SES benefits relating toperformance appraisal, bonuses, or rank awards.

3. The annual appraisal period shall encompass the 12-month periodbeginning July 1 and ending June 30.

4. Senior executives entering on duty after July 1 shall receive anappraisal for the period beginning with their first day of employment andending June 30.

5. This plan covers all SES members, including Career, Noncareer, LimitedTerm and Limited Emergency appointees.

EXCEPTIONS

1. Appraisals of the performance of career SES members may not be madewithin 120 days after the beginning of a new Presidential administration.This moratorium applies to all phases of the formal appraisal process; i.e.,the initial rating recommendation, review of the appraisal, PRB action, andthe assignment of the final rating by the appointing authority.

2. The minimum appraisal period shall be 90 days.

3. If on June 30, the executive has not been a member of the SES for atleast 90 days, the executive's appraisal period shall be extended for theamount of time necessary to meet the 90 day requirement, at which time arating of record must be prepared.

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4. Annual performance ratings shall be used as d basis for any reduction-in-force actions, except that an employee without an annual performancerating of record shall be g' n a performance rating before a RIF if theemployee has served in the SES for a least 90 days; employees who have notserved in the SES for 90 days shall be assigned a presumed rating of FullySuccessful.

5. When an SES member leaves one position for another during the rating-*cycle and has served at least 90 days in the old position, an interimappraisal shall be completed by the supervisor of the position from whichchanged and given to the executive and the new supervisor. The interimappraisal is accomplished by evaluating performance against the criticalelements and performance standards as reflected in the executive'sperformance appraisal plan, and must be used by the new supervisor inderiving the next annual rating (See step 5, paragraphs 2 and 3, page 4-12).An interim appraisal is not required when an executive resigns or retires.

6. The individual who is the immediate supervisor of the SES member on June30 is normally the person who evaluates the SES member's performance (if theSES member has been in the SES at least 90 days). This is true even if thesupervisor has supervised the SES member for only a short period. When theperiod has been short, the supervisor must use the evaluation data providedby the former supervisor(s) earlier in the year in developing the initialrating.

7. A performance appraisal period may be terminated (after 90 days) in anycase in which an adequate basis exists on which to appraise and rate thesenior executive's performance.

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III. PERFORMANCE PLANNING AND ASSESSMENT

Performance plans consist of the identification of critical elements andstandards of achievement. They must be developed at the beginning of eachrating period (July 1 of each year) or whenever an employee enters adifferent SES position in which he/she will serve a significant period oftime prior to the end of the rating period. The rater and individual to berdted shall work together to develop the plan. It is expected that thefinal plan will be mutually acceptable. However, when agreement cannot bereached, the decision of the rater is final.

According to 5 USC 4313, the performance plan should take into account (butis not limited to) such factors as:

- efficiency, productivity, and quality of work or service to thepublic;

- cost-effectiveness;- timeliness of performance;- significant reduction in paperwork;- meeting affirmative action goals and achievement of equal

opportunity requirements; and- other indications of the effectiveness, productivity, and quality

of performance of the individual within the scope of the employee'sposition.

Accomplishment of organizational objectives must also be included inperformance plans by incorporating objectives, goals, program plans, workplans, or similar indicators of program results.

As a matter of DoD policy (or Law in the case of meeting EEOresponsibilities), certain additional items, as applicable, must beaddressed in individual performance plans. These are enumerated below andmust be reflected in a separate critical element, or in a performancestandard of a critical element relating to the activity, depending upon itsimportance to a particular position. (Reference to Appendix E may behelpful in meeting these requirements.)

1. Significant internal management control responsibilities assigned toexecutives must be identified and eva'uated in SES performance appraisalplans, wherever appropriate. (Administrative Instruction No. 90, 11/8/88)

2. Performance appraisal plans of contracting executives, as applicable,shall include the evaluation of their ability to increase contract awards tosmall disadvantaged business concerns, historically Black colleges anduniversities, and other minority institutions. (DASD(A) memo, 3/29/88.)

3. Performance appraisal plans of contracting executives shall alsoaddress, as applicable, their ability to achieve cost savings and increasecompetition in the DoD acquisition process. (DASD(CPP) memo, 3/7/85.)

4. Resolution of contract audits should be reflected in the performanceappraisal plan of any executive who performs this function. (DASD(CPP)memo, 6/18/84.)

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5. Performance appraisal plans of executives who have access to classifiedinformation must include comments on the individual's discharge of securityresponsibilities. (DASD(CPP) memo, 11/12/85.)

6. Executives who have supervisory or managerial responsibilities shouldhave a critical element or a performance standard assessing their equalemployment opportunity and affirmative action efforts (5 U.S.C. 4313).

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STEP 1. Identify Critical Elements

REQUIREMENTS

Performance plans normally emcompass four to eight critical elements, whichaddress various aspects of organizational objectives, managementperformance, program performance, and individual assignments. Although theperformance plans shall be compatible with the position description, onlythe u,!7t important responsibilities shall be includeýd in the plan.

At the beginning of the period, the appropriate parts of the top of page cneof the Senior Executive Service Performance Planning and Evaluation form(DD Form 2206) should be completed. Then, the final plan must be documentedin steps 1, 2, and 3 of the form. The rater shall retain the original andthe individual rated shall receive a copy. Critical elements andperformance standards must be communicated to SES members at cr before thebeginning of each appraisal period, with written periormance plans providednormally within 30 days of the beginning of the appraisal period.Organizations may retain copies centrally in order to review, assess, andevaluate performance plans in relation to overall mission, goals, andobjectives. When copies are retained, they are to be held, safeguarded,monitored, and disposed of in accordance with Privacy Act regulations andthe applicable Privacy Act System Notice.

CONSIDERATIONS

Critical elements are the major responsibilities of the position. Lessthan satisfactory performance in a critical element may be the basis forreassigning, removing, or reducing the pay of an employee.

The first step in the development of the performance plan is for the raterand the individual to be rated to identify the work that is most important.

identifying critical elements, consider:

- the major functional responsibilities (i.e., program performance,management duties, and individual initiatives);

- the value of the responsibility;- the consequence of error or neglect;- the effect of achievement or nonachievement on the organization;

and- the overall mission of the organization, legislation, and current

agency priorities.

It is important that resource requirements be discussed early in theplanning process. If performance plans are contingent upon receipt otresources (e.g., a contractor product) not under the employee's control,this should be noted.

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STEP 2. Specify Performance Standardsfor Each Critical Element

REQUIREMENTS

After identifying all the critical elements, specify performance standardsfor each. Performance standards describe specific expectations insufficient detail to serve as a basis for evaluating performance.

CONSIDERATIONS

Standards should describe explicit goals or should describe the conditionsthat will exist when a critical element is performed satisfactorily; thatis, at a level which would support a performance rating of "FullySuccessful." Standards should not be geared to the especially competent orsuperior performer. The absence of a written standard at other ratinglevels will not preclude the assignment of a rating at those levels.

To the extent possible, each objective and standard should be:

- Relevant: directly related to the job.- Achievable: able to be accomplished within reasonable constraints

of time and resources.- Measurable: described so that the expected quality or quantity of

performance can be observed.- Explicit: likely to be interpreted in the same way by most

readers. Avoid use of vague terms such as "approximate,""desirable," and "reasonable."

- Judgeable: defined in such a manner that by the end of the ratingperiod, it is evident whether and to what extent a given standardwas met.

Factors frequently reflected in performance standards are the:

- Quality of work expected.- Time limit within which the work should be performed.- Quantity of work expected.- Cost-effectiveness with which work must be performed.- Methods to be used.

Factors should not be limited to those outlined above because there may beother standards that are more relevant than those suggested. Even thoughstandards addressing the quality of work are often difficult to write, theyshould be developed if the quality of work is the actual criterion on whichthe work is assessed.

Some standards used in the past are shown in Appendix E.

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STEP 3. Certify the Final Performance Plan

Both the individual and the rater must initial the performance plan. Thisindicates that the rater approves the objectives and standards forperformance and that the employee is aware of the performance plan. Therater makes the final decision on content and form of the critical elementsand standards of performance. Unless there is an additional intra-organizational higher level review requirement prior to finalization, thework planning is now done.

The rater retains the original in a manner consistent with Privacy Actregulations, and the SES member whose plan it is receives a copy, normallywithin 30 days of the beginning of the appraisal period.

When SES members are detailed, and the detail is expected to last 120 daysor longer, they will be given written critical elements and performancestandards as soon as possible, but no later than 30 calendar days after thebeginning of the detail. Ratings on critical elements must be prepared forthese details and considered in deriving the next summary rating of record.

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STEP 4. Review Progress and Changes to Performance Plan

REQUIREMENTS

1. There must be at least one documented occasion during each rating periodon which performance is discussed with the individual being rated. Itshould occur during the middle of the performance year, and should bescheduled to allow sufficient time for adjustment and observation ofperformance before the end of the rating period.

2. At a minimum, the executives must be informed of their level ofperformance for each of their performance elements and standards, althoughthis may be done orally rather than in writing. Both the rater and theindividual must sign the appropriate section of the appraisal form (Step 4,DD Form 2206), which should include comments summarizing the results of themid-year discussion. The rater is to retain the original in a mannerconsistent with Privacy Act regulations, and to provide a copy to the SESmember being rated.

CONSIDERATIONS

Additional progress reviews may be scheduled at any time during the ratingperiod, at the initiative of either party. In addition to revising plansand reviewing progress, review meetings present an opportunity to identifyand solve work problems, to discuss poor performance, and to identifydevelopment needs or corrective action. Executives with performanceconsidered below the "Fully Successful" level shall be provided assistancein improving performance, such as formal training, on-the-job training,counseling, or closer supervision.

As the work situation or the organization's priorities change, theemployee's performance plan (critical elements and performance standards)should be revised to reflect those changes. Space is provided on theappraisal form for revisions that become necessary after the origindl planhas been agreed upon and signed. Do not erase, delete, or alter in any wayany part of the original when making revisions, as changes in the planshould be apparent. For any changes in the plan during the last quarter ofthe performance period, particular consideration should be given toperformance expectations in relation to the time remaining in the ratingperiod.

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STEP 5. Assess Performance

1. On or about 30 June, the rater meets with the senior executive to:

a. discuss performance to date;b. discuss accomplishing a development plan; andc. establish a performance plan for the coming year.

2. The rater completes the evaluation and the top of page 1 of SeniorExecutive Service Performance Planning and Evaluation form (DD Form 2206)for every SES member' who has been on board within the organizations coveredby this handbook for at least 90 days 2 . The appraisal must include anarrative description of the senior executive's performance in relation toestablished critical elements and standards of performance. The appraisaland the criteria shall consider the performance of both the senior executiveand his/her organization, and shall take into account such factors as thesenior executive's:

a. impact on efficiency, productivity, and quality of work or servicesperformed, including any significant reduction in paperwork;

b. impact on cost efficiency;c. timeliness of performance;d. impact on the effectiveness, productivity, and performance of

subordinate employees; ande. meeting affirmative action goals and achieving equal

employment opportunity requirements.

The rater then narratively describes the level of achievement and assigns anadjectival descriptor for each critical element accordingly. The threeadjectival descriptors are: Fully Successful; Minimally Satisfactory; andUnsatisfactory.

In doing this, the rater should consider such factors as: Achievements,opportunity to achieve, risk, visibility, and consequences of failure.

3. Then, on the front of the form, the rater assigns one overall (orsummary) rating ("Fully Successful, "Minimally Satisfactory," or"Unsatisfactory") of total performance that is generally consistent with thefollowing decision table:

1 This includes President--italTappointees who were previously SES careermembers and who elected to continue SES benefits.

2 Any SES member who joined the organization by reassignment or transfer

fewer than 90 days before the end of the performance period, but who hasbeen in the SES at least 90 days before the end of the performance period,should be appraised and is eligible for a bonus, assuming the supervisorof record at the end of the rating period obtains information from thelosing organization to substantiate such a conclusion. Senior Executivesin the SES fewer than 90 days as of 30 June shall have their appraisalperiod extended for the amount of time necessary to meet the minimumappraisal period (i.e., 90 days), at which time a rating of record shallbe prepared.

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FULLY SUCCESSFUL: All critical elements rated "Fully Successful."

MINIMALLY SATISFACTORY: One or more critical element rated "MinimallySatisfactory," with no ratings below "Minimally Satisfactory."

UNSATISFACTORY: One or more critical element rated "Unsatisfactory."

Summary ratings must take into account the ratings assigned to interimappraisals prepared upon Dosition changes, and for details or temporaryassignments lasting 120 days or longer. When senior executives are detailedoutside of the agency, the supervisor must make a reasonable effort toobtain appraisal information from the outside organization.

4. The initial rater or subseauent reviewers may make recommendations forbonuses. Such recommendations must be made in the form of a Supplementalnarrative, be prepared in the format shown in Appendix D, and be approved bythe Comoonent Head. A summary rating of "Fully Successful" is aprereauisite to a binus.

5. A rating of "Unsatisfactory" reQuires either the transfer, reassignment,or removal of the senior executive. Two ratings of "Unsatisfactory" in fiveconsecutive years result in removal from the SES. SES members who receiveeither a "Minimally Satisfactory" or "Unsatisfactory" rating two times inthree consecutive years must be removed from the SES. (See step 6,oage 4-16)

6. When the appraisal is completed, the rater should discuss it with thesenior executive, give him or her a copy of the proposed rating, and ask theexecutive to initial where indicated on page 3 of DD Form 2206. Theexecutive's initials on the appraisal do not indicate agreement with theeval uati on.

7. Tne senior executive is entitled to respond in writing within 7 calendardays after the receipt of the initial rating, and have the rating and theresponse reviewed by someone at a nigher organizational level (if there isone) before the rating becomes final. Normally, the second level supervisorwill conduct the review. Although not a reouirement, it is preferable forthe reviewing official to have been in the organizational hierarchy of therated executive for most of the performance appraisal period. The officialmaKing the nigher level review is not authorized to change the initialrating, but only presents his or her findings and reconmaendations throughthe Component Head to the PRB. The Component Head need not comment or maKea recommendation with respect to the reviewing officials' findings; sinIolynoting the results of the review is sufficient. While the higner levelreviewing official cannot direct a subordinate rating official to change ris

or ner evaluation, the nigher level reviewing official may ask the ratingofficial to reconsider his or her initial ratings based on his or hertentative findings. All related documents, including the executive'sresoonse and reviewer's comments, are provided to the PRIB, the executive,and the rating supervisor.

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8. The original of the completed form and any supplemental material are tobe sent forward, through the established review channels, in keeping withthe timetable presented in this handbook. In the case of d requested higherlevel review, an additional four weeks is permitted.

9. Performance plans and rating.; for SES members are not subject to formalappeal or to the agency's grievance procedures (see paragraph V,Disagreement with Final Rating).

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STEP 6. Recommend Further Action, As Appropriate

Supplemental narrative must be provided when recommending a performanceaward (bonus) or a removal from the SES. It should be prepared by theimmediate supervisor or a higher level supervisor and should substantiatethe action recommended in terms of activities and achievements. The formatfor bonus recommendations is shown in Appendix D.

RECOMMENDATIONS RELATING TO BASIC PAY (Pay Level Adjustments)

Salary adjustments other than comparability adjustments are not made morethan once in any 12-month period. Salaries correspond to one of the sixspecified SES salary rates. Salaries may be increased any number of levels.Salary reductions may not exceed one level per year, and must be preceded bywritten notice at least 15 days prior to the reduction. Salary adjustmentsare processed separately from the annual performance appraisal cycle eventhough performance may be the basis for the adjustment. (See Chapter 3,Executive Pay-Setting)

RECOMMENDATIONS FOR PERFORMANCE AWARDS (Bonuses)

Performance awards (bonuses) are lump-sum payments that may be awarded toSES members having Fully Successful performance ratings. Note that, underthe law, only career SES appointees may receive bonus awards.

The payable rates as of the end of the performance year (rather than thescheduled rates, if different) are to be used as the basis for computingthe minimum and maximum performance awards that may be paid SES members inany given year. The total amount of pay, performance and rankawards received by a senior executive during any fiscal year may not exceedthe annual rate payable for positions at Level I of the Executive Schedule.Amounts in excess of this limit may, however, be "rolled over," and paid ina lump sum at the beginning of the next fiscal year.

A bonus may not be received in the same calendar year that a PresidentialRank Award (Distinguished Executive or Meritorious Executive) is received.

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RECOMMENDATIONS FOR INCENTIVE AWARDS

Incentive awards may be used to recognize SES Career, Noncareer or Limitedappointees for a specific one-time accomplishment, a suggestion, aninvention, or a scientific achievement. A job-related special act orservice award could be used to recognize a nonrecurring contribution or ascientific acnievement that either represents a culmination of worK over aperiod of time, or has such significant tangible and/or intangible benefitsas to warrant immediate recognition. A performance bonus, on tne otherhand, would recognize overall performance during a particular performanceaporaisal period. Incentive awards are not subject to the Executive Level Iceiling on total SES compensation for a fiscal year. For furtherinformation, refer to agency instructions on incentive awards.

RECOMMENDATIONS FOR PRESIDENTIAL RANK AWARDS

These awards are made by tne President to career SES members only for long-term career achievements. Nominations are solicited on a schedule separatefrom the annual performance evaluation cycle and are not reviewed by thePerformance Review Board(s).

RECOMMENDATIONS FOR RETENTION AND DEMOTION

- A post-probationary SES member who receives an overall performancerating of "Unsatisfactory" must be reassigned or transferred withinthe SES, or removed to a continuing position at GS-15 orequivalent. (See Chapter 9.)

- A Post-probationary SES member who receives two overall performanceratings of "Unsatisfactory" within a five-year period must be

21 removed from the SES to a continuing position at GS-15 orequivalent. (See Chapter 9.)

- A post-probationary SES member who receives either a "MinimallySatisfactory" or "Unsatisfactory" rating twice in three consecutiveyears must be removed from tne SES to a continuing position atGS-15 or above, or eouivalent. (See Chapter 9.)

- An SES member who is serving a probationary period and wnoseperformance does not meet expectations is covered underprobationary period removal and placement regulations. (SeeChapter 8.)

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IV. REVIEW OF RECOMMENDATIONS

After the immediate supervisor completes the recommendations, he/sheforwards the appraisal through: (a) the second-level reviewers (if any havebeen designated by the organization or requested by the executive), to (b)the OSD Component Head 1 , or the appropriate staff element head or equivalentofficial in a Defense Agency, to which the senior executive is assigned.All materials must be reviewed by the Component head or the designatedDefense Agency official prior to being submitted to the Performance ReviewBoard. The purpose of the review is to keep the higher level officialapprised of the performance of subordinate executives, and to ensure thatthey are being evaluated in a uniform and equitable manner. If a seniorexecutive whose second-level supervisor is the Secretary of Defense has notrequested a review by the Secretary of Defense, the DD Form 2206 andaccompanying material (if any) are forwarded for review and comment directlyto the Performance Review Board.

FOR RATINGS OF SES MEMBERS COVERED BY THE OSD PRB 2

Considering all incoming recommendations and organizational constraints, theOSD Component Head forwards four copies of:

1. initial performance appraisals (original and three copies);2. employee responses;3. reviewer comments;4. bonus recommendations in order of priority;5. other supporting information; and6. recommendations, as appropriate and necessary

to the Executive Personnel and Classification Division, Room 3C444, ThePentagon. The Executive Personnel and Classification Division will managethe subsequent review process for the OSD PRB.

1 This includes the Chairman of the Joint Staff; Under Secretaries ofDefense; Assistant Secretaries of Defense; DoD General Counsel/Director,Defense Legal Services Agency; Directors of DSAA and DARPA; Assistants tothe Secretary of Defense; and Chief Judge of USCMA. The Defense Advisorto the U.S. Mission to NATO assumes this role for individuals assigned tothe U.S. Mission. The international supervisors of all other SES membersassigned to NATO assume this role for them unless an exception has beenapproved by DA&M in order to ensure that the objectives of this plan areachieved. The initial raters of SES Defense Agency Deputy Directors sendtheir recommendations to the appropriate OSD Component.

2 In addition to reviewing the ratings of SES Members of the OSD Components,identified on page 3, this includes the ratings of the civilian Directors,Deputy Directors, and General Counsels of Defense Agencies; the InspectorGeneral; and other SES members identified on a case-by-case basis.Defense Agency General Counsels are rated by the DoD GeneralCounsel/Director, DLSA, in consultation with the appropriate DetenseAgency Director. The OSD PRB reviews these recommendations, and theSecretary of Defense is the deciding official. Other DLSA employeesassigned to the Defense Agencies are covered by Defense Agency PRBprocedures.

4-17

FOR RATINGS OF SES MEMBERS COVERED BY THE DEFENSE AGENCIES' PRBs

Consider the following documents:

1. initial performance appraisals;

2. employee responses;

3. reviewer comments;

4. bonus recommendations in order of priority;

5. other supporting information; and

6. recommendations, as appropriate and necessary.

PRB REVIEW

PRBs in OSD and the Defense Agencies are constructed so that more thanone-half of every PRB panel consists of career SES members, and individualPRB members do not take part in any PRB deliberations involving their own,their supervisors' or their subordinates' appraisals. As required bystatute, notice of appointment to the PRB must be published in the FederalRegister. See Chapter 5 for a complete description of the responsibilitiesof the PRB.

The Deciding Official:

1. considers all incoming material;

2. decides final ratings and personnel actions (such ds transfer,reassignment, and removal);

3. decides who will receive bonuses; and

4. decides the range or amount of those bonuses.

4-18

V. DISAGREEMENT WITH FINAL RATING

Although SES members are covered by agency grievance procedures, the

Office of Personnel Management has determined that the following matters may

not be grieved:

d. the substance of the critical elements and performance standards;

b. the performance evaluation; or

c. the granting or failure to grant a performance award.

Complaints of unlawful discrimination will be processed through EEO channels

under applicable procedures. In addition, complaints about prohibited

personnel practices may be appealed to the Merit Systems Protection Board.

Contact the personnel office for information on how to proceed in these

areas.

4-19

APPENDIX A

RESPONSIBILITIES

1. The Secretary of Defense:

A. reviews recommendations of the approDriate Performance ReviewBoard and of subordinate rating officials, and

B. makes final determinations regarding:

(1) the performance appraisal of each senior executive;

(2) the transfer, reassignment, or removal from the SES ofsenior executives whose performance is considered to beunsatisfactory;

(3) approval of financial Performance awards (bonuses) withincertain ranges or of certain amounts for career seniorexecutives.

2. The Director of Administration and Management overseesoperation and administration of the SES performance management program.

3. If an organization opted to designate Intervening Levels of review atlevels lower than OSD Component Head or Defense Age-VTt-FF-Element Head oreouivalent, the reviewer(s) shall:

A. review the SES Performance Planning and Evaluation Form (DD Form2206) and employee response, if any;

B. provide additional comments as indicated on page 4 of the form,as desired; and

C. sign comments and forward the form to the individual's ComponentHead.

4. The Executive's OSD Component Head or Defense Agency Staff ElementHead:

A. reviews DD Form 2206, employee response, and any comments bythe second-level supervisor or other reviewer;

B. provides additional comments as indicated on page 4 ot tne torm,as desired;

C. lists all nominees for bonuses in order of priority in dtransmittal memorandum addressed to the Chair of the Performance ReviewBoard; and

D. forwards DD Forms 2206 to the OSD Performance Review Board orthe appropriate Detense Agency Performance Review Board.

A-1

5. The Immediate Supervisor of each senior executive:

A. in consultation with the employee, develops criticalelements and performance standards prior to the beginning of eachrating period, that:

(1) reflect the requirements of the work assigned to theexecutive to be rated;

(2) identify the major responsibilities and duties to beperformed;

(3) establish the quantitative and qualitative standards to bemet and results to be attained;

(4) identify target dates for accomplishment and key milestoneindicators.

B. records the performance plan on the SES Performance Planning andEvaluation form (DD Form 2206). This plan may be adjusted, as appropriateand in consultation with the executive, during the rating period.

C. provides a copy of the performance plan and any amendments tothe employee.

D. conducts and documents a progress review with the employee half-way through the appraisal cycle.

E. evaluates the performance of each executive at the end of theannual rating period by:

(1) appraising performance against the established performancestandards, and completing DD Form 2206, to include:

(a) a narrative evaluation of the employee's performance

on each critical element;

(b) an adjectival rating for each critical element;

(c) a recommendation for an overall rating;

(d) as desired and appropriate, a recommendation for:

- transfer, reassignment, or removal from the SES ofany senior executive whose performance has beenunsati sfactory.

- nomination for a bonus for any career seniorexecutive whose performance has been rated as "fullysuccessful" and also warrants financial reward;

(2) provilJing the employee an opportunity to review the initialappraisal and to respond in writing; and

(3) forwaoding the DD Form 2206 to the second-level supervisor,if appropriate.

A-2

APPENDIX B

LOCATION AND AVAILAPILITY OF SES EVALUATION DOCUMENTS

During each ongoing rating cycle, the rater will retain the original planand any necessary supporting information in a work folder and provide a copyto the individual who is rated. Performance documents are part of thePrivacy Act system of records established by the Office of PersonnelManagement, and must be retained and disposed of in accordance withapplicable Privacy Act regulations.

SE' Performance Planning and Evaluation forms, including supplementalnarrative, written reviews by higher level officials, and PRBrecommendations, will be available to individuals being rated during allphases of the rating process. In addition, the completed forms will also beavailable to line officials, to the supervisor of the individual beingrated, and to other officials having a need to know during the process ofrecommending, reviewing, and approving ratings, and of determining bonuses,ranks, and pay.

Requests for access by others to performance appraisal material will bedealt with under the "routine use" provision of the Privacy Act notice orunder Freedom of Information Act access provisions and procedures.

Pursuant to 5 CFR 293.404(b), servicing personnel offices will maintain anEmployee Performance File (EPF) for every current SES member. Completedappraisals (and all related performance appraisal documentation) will beretained in the EPF for 5 years.

When an SES member moves to a position under the jurisdiction of anotherpersonnel office, all performance appraisals 5 years old or less will beplaced in the Official Personnel Folder (OPF) (temporary, left-hand side),and forwarded to the new servicing personnel office. Any bonus, rank awardor PRB related documents filLJ in the EPF must not be placed in the OPF andtransferred with the performance appraisals. If the SES member resigns orretires, the performance appraisals 5 years old or less are placed in theOPF, and forwarded to National Personnel Records Center.

B-A

APPENDIX C

A. PERFORMANCE WHILE ON SABBATICAL

The performance of an SES member on a sabbatical should be subject toappraisal in the same manner as for SES members generally, but evaluatedagainst standards appropriate to activities involved in the sabbatical. Asa matter of policy, it is not appropriate to award a bonus for performanceon a sabbatical. SES members are not precluded from receiving a bonus whileon a sabbatical for performance contributions made before the sabbaticalbegan.

C-I

APPENDIX D

REQUIRED FORMAT FOR PERFORMANCE AWARD (BONUS) RECOMMENDATIONS

1. Memorandum format

2. On letterhead

3. For The Secretary of Defense

4. From OSD Component Head or Defense Agency Staff Element Head orequivalent

5. Subject: Performance Award Recommendation for (Name)

6. No more than two pages of specific and substantive justification.

7. Justifications should be related to established performancestandards, and should describe in particular how the individual'sperformance exceeded the standard(s). They should avoid merelydescribing the individual's duties or component's mission.

Justifications should deal in specifics rather than generalities;that is, they should identify, in detail, monetary savings or otherbenefits derived from the individual's accomplishments. Have a pointto each paragraph; indicate the nature of the achievement, the resultor net effect; stress energy or imagination applied above and beyondperformance requirements. Specificity, as opposed to global statements,is what is needed in performance documents for reviewers todetermine the relative value, of an Executive's accomplishments.

D-1

APPENDIX E

SAMPLE CRITICAL ELEMENTS AND PERFORMANCE STANDARDS

Page

1. Technical Position ...................... E-2

2. Fiscal Position ......................... E-4

3. Program Management Position ............. E-6


5. Program Management Position ............. E-1O


7. General Managerial Activities ........... E-14

E-i

1. TECHNICAL POSITION

CRITICAL ELEMENTS PERFORMANCE STANDARDS

Maintain a dynamic and balanced Innovative new research projectsresearch program. constitute 10% of the agency

program, and managementflexibility is maintained toaccommodate new work as needed.

Manage and direct the xxx programs Successfully meet 75% of thein the xxxx Division. Establish and major program milestone on timeplan the long-range programs for within budget. Prepare andadvanced technology in xxx, submit the present and futureadvanced xxx, control systems, and documentation and plans for thenew weapon systems. Establish Division inputs to thetechnical and financial objectives following:and direct the activities of the o Budget Book - Sept 11, 198x.Division. o Congressional Justification-

Dec 21, 198x.o Mid-year Review - Feb 11,

198x.o POM/Apportionment - June 11,

198x.

Aggressively pursue a program of Establish and initiate at lcastidentifying high payoff technology two new technology initiativesgaps in the land warfare and weapon in the fiscal year.system arena.

Establish a clear transfer path with the Transfer the xxx program to theService or Services that would ultimately Army by October 1. Establish autilize the technology of the Division. joint program with the Army on aMaintain good relations with the xxx missile and an advanced xxxServices to insure a positive reception System. Develop "going out ofof the transferring technology, business" plans for the program.

Manage human, financial, and space Provide for development ofresources of the Division. staff. This will be evidenced

by execution of developmentplans. Reward superiorperformers. Correct performancedeficiencies of subordinates.All budget requirements are met.Arrangements for physical moveare made by November 15.

E-2


Support the Affirmative Action Program. Emphasis on recruitment ofminorities/women will beevidenced by addition ofwomen/minorities to professionalstaff. Establish/restructureposition at lower level toprovide an Affirmative Actionopportunity. Arrange for aqualified minority facultymember of a minority institutionto spend the summer or take asabbatical in the organization.

Maintain Internal Controls* necessary Develop and maintain anto meet requirements of OMB Circular organization, procedures, andNo. A-123 and Federal Manager's practices that provideFinancial Integrity Act (P.L. 97-255). reasonable assurance that:

o obligations and costs are incompliance with applicablelaws.

o funds, property, and otherassets are safeguardedagainst waste, loss,unauthorized use, ormisappropriation.

o revenues and expendituresapplicable to Agencyoperations are properlyrecorded and accounted forto permit the preparation ofaccounts and reliablefinancial and statisticalreports, and to maintainaccountability over theassets.

o resources are efficientlyand effectively managed.

*May be used for any position, as appropriate.

E-3

2. FISCAL POSITION


Manage the Organization. Execute all administrativeresponsibilities adequately andon time (space, personnel, EEO,budget, procurement, etc.).Identify, attract, and recruittalented senior staff. Providestaff with opportunities forprofessional growth. Assure anadequate level of productivityfrom all staff or generatecorrective action. Assure thatall professional staff membersare operating with professionalmaturity.

Ensure that staff papers are delivered Talking papers for meetings onon time, well in advance of meetings, etc., delivered to the ASD twotrips, etc. Ensure full and expeditious evenings before the occasion,responses to all inquiries. or 48 hours after agenda

received, whichever is earlier.All inquiries answered within 72hours after receipt.

Supervise preparation of the semi-annual Final draft of the report forreports to the Congress on DoD audit, the period 10/1/8x - 3/31/8x toinspection, and investigation organizations be ready for review by thepursuant to Section 2(c)(1), P.L. 9x-xxx. Assistant xxx by May 20.

Supervise preparation of the DoD annual Final draft of the report forreport of audit operations. FY8x to be completed dnd ready

for review by the Assistant xxxby June 30.

Establish a system to account for and System schedule to be operativecontrol the projects assigned to xxxx by September 30.Directorate personnel.

Initiate program policy changes, as Initiate at least twoappropriate. significant projects (one

involving development orrefinement of boD audit policyand one involving the evaluationof the adherence orimplementation of DoD auditpolicy) by June 30.

Assure development of staff. Update all IDPs concurrent withannual appraisals. During thefirst half of the year,implement 50% of trainingscheduled for the year.

E-4


Achieve EEO objectives. Conduct a wide-ranging andthorough search for minority,women, and handicappedcandidates for the next seniorvacancy.

Make demonstrable efforts toinform minorities, women, andhandicapped about the field andfederal careers.

Offer temporary assignment anddevelopment opportunity to aparticipant of an OSD upwardmobility program.

E-5

3. PROGRAM MANAGEMENT POSITION


Establish a DoD-wide program Develop program 15 Dec.to increase small business Conduct review withparticipation in DoD Research OUSDRE 1 Feb.and Development. Publish directive implementing

Program I Mar.Publicize program 1 Jun.Measure results I Nov.Recommend changes 15 Dec.

Establish Area Small Business Develop program 15 Dec.Councils. Publish program 15 Dec.

Publicize program 15 Dec.Provide report to DUSD(AP) 15 Jan.

Improve Program Management Oversight. Develop and implement a surveillanceprogram by June 30.Schedule staff visits torepresentative procurement centers.Establish Disadvantaged BusinessUtilization Program Guidelines, foruse by Services and DLA ProcurementManagement Review teams Sept. 5,198x.

Organize a program in conjunction Contact training program personnelwith the OSD Training Program to and Directors of Small andconduct a series of 2-day classes Disadvantaged Business Utilization.on policies and procedures contained Develop program.in DAC No. xx-xx of 22 Jul 8x. Publicize program.

Conduct ongoing, thorough, andselected reviews.Make report to DUSD(AP).

Determine level of compliance with Develop questionnaire.updated DAC No. xx-xx of 22 Jul 8x. Review questionnaire.

Conduct surveillance reviews.Evaluate findings and submit reportto DUSD(AP).

Actively support OSD Equal Employment With respect to vacancies andOpportunities and Affirmative Action promotions, performance isobjectives, satisfactory when the incumbent has

demonstrated a good faith effort torecruit highly qualified minorities,women, and handicapped candidatesfor vacancies as they becomeavailable. The quality and successof the search would be the basis forthe evaluation. With respect to

E-6


supervision of staff,performance is satisfactory whenall support staff, especiallyminority, female, andhandicapped staff members havereceived career counseling andhave individual careerdevelopment plans.

E-7



Executive Program Improvement Plan For the rating period,performance on the FY 8x DoD xxxObjectives will be satisfactoryif:

o The xxx Program ImprovementConference is held and aconsolidated list of DoD xxx

o Objectives are issued by theend of the calendar Year198x.

At least 50% of all Objectivesassigned to xxx and scheduledfor completion by June areactually completed in thattimeframe.

Institute a reliability/maintainability In FY8x, a Directive will beprogram. issued to increase emphasis on

front-end design to improveoperational values and providelife-cycle traceability.

Revise xxx Guidance Handbook. Identify areas needingimprovement by 31 December.Develop a workplan to accomplishnecessary revisions by January31.Accomplish all scheduledmilestones (Feb - June) by June30.

Update and consolidate existing DoD Develop an outline and work planpolicy relating to budgeting, by Nov 15. Accomplish thoseaccounting, reporting, billing, and milestones scheduled torcollecting into a Handbook. completion on or before June 30.

Prepare alternatives for xxx facility Satisfactory, if alternativesfinancing for xxxx and subsequent are derived and presented to xxxCongressional review, and introduced to Congressional

staffs with substantive backupbefore February 15.

Recruit, evaluate, and maintain The indicators of success are:morale of staff. o Full staffing; highest

quality recruits possible.o All staff members fully

employed on useful,challenging work.

o Outstanding staff membersappropriately rewarded.

o All staffers know what isexpected of them.

o All staffers have achievablecareer goals and plans to

E-8 achieve them.

CRITICAL ELEMENTS PERFORMANCE STANDARDS ""

Establish and achieve EEO objectives. Performance is fullysatisfactory when:

o Applicable laws, regulations,and policies are fullyimplemented through formalprograms.

o Recruitment programs identifyand encourage the selectionof women and otherminorities.

o Recruitment contacts inuniversities and otherorganizations are identifiedby September 15.

o Programs are structured toinsure that women, thehandicapped, and minoritiesreceive the training reouiredto improve their Knowledgesand skills and achieveoccupational advancement.

E-9



Implement long-range planning functions. Performance is satisfactorywhen, by June 1980, xxxx hasestablished an in-housecapability for long-rangeplanning and policy formulationto meet future programrequirements, which willanticipate, as opposed torespond to, trends, innovations,and state-of-the-art changes inthe field of health caredelivery.

Office management and administration of Performance is satisfactoryresources are improved, when, in addition to executing

current responsibilities, thefollowing administrativeimprovements have beenimplemented by June 1: (1)establishment of controls andorganizational responsibilitiesfor reviewing external auditreports to insure implementationof findings, or preparation ofobjectives to findings, asappropriate, in a timely manner;(2) .implement procedures toeffectively analyze manpowerrequirements, and insure thatallocation of availableresources is based upon anobjective assessment oforganizational responsibilitiesto reduce the number of vacantpositions and to insure that on-board strength is at no timelower than 90% of authorizedstrength.

Provide organization-wide supervision Performance is satisfactory whenon the preparation of Congressional Congressional testimony for thetestimony. ASD or the PDASD is prepared at

least 72 hours prior totestimony date, and back-upbooks are completed at least 24hours prior to testimony.

Oversee the final review in the xxxx Performance is satisfactory whenAppeals System. the final review process is

completed and coordinated withinthe 0SD for 75% of the casesannually in less than 20 workingdays following receipt of casefile.

E-1O


Oversee the xxxx Decision Process for Performance is satisfactory whenxxxx Department Personnel and Flag a decision of an Officer or FlagOfficers. Officer is determined for 90% of the

cases annually within 72 hours ofreceipt of the Servicerecommendation.

Fiscal Intermediaries performance and Performance is satisfactoryservice to beneficiaries are improved, when, by Feb 1, 198x, the following

improvements have been implemented:(1) the overall amount of time forindividual claims processing isreduced to no more that 21 days; (2)procedures for periodic andcomprehensive on-site performanceevaluation reviews annually of allFiscal Intermediaries have beenimplemented; (3) procedures to insurea fair and equitable process ofselecting open competition amongproviders; and (4) procedures for on-going guidance and instructions havebeen implemented, insuring promptdissemination of information of newpolicies, current interpretation ofthe Regulation, etc., andresponsiveness to questions andrequests for guidance.

Improve the representation of minorities Performance is satisfactory whenand women through affirmative recruitment, by April 1, 198x, the followingplacement, and development, administrative improvements have been

implemented: (1) establish andpublish procedures to assurerecruitment efforts are designed in amanner that will attract qualifiedapplicants from all groups; (2)provide for a periodic review of allplacement actions to assure thatplacements are being made inaccordance with established meritprinciples and procedures. At leastsemi-annually, an analysis will beconducted by occupational series andorganizational units to determinewhether an out-of-balance situationexists; and (3) establish proceduresto provide equal trainingopportunities for all employees.

E-11



Manage the FY 8x Joint Market Research Full success means:Program (JMRP) contract survey studies o The Fall 8x Youth Attitudeand plan for the establishment of a Tracking Study is executed,centralized management structure for analyzed, reported, and madethe FY 8x Joint Recruiting Advertising available to the Services byProgram (JRAP). I March 198x in a manner

considered to be clear,logical, and professional bythe DASD.

o The Spring 8x Youth AttitudeTracking Survey is plannedand data are collected by thecontractor prior to the endof the 198x-8x school yearwith content considered bythe DASD to be consistentwith past studies andresponsive to Service and OSDmarket information needs.

o A work statement is developedto revise the nature andcontent of the youth attitudetracking survey to includefemales.

Insure that DoD can accept draftees Full success means deliveryand volunteers rapidly and efficiently to the ASD by 30 June xxxx aunder emergency conditions. report that defines how DoD

will act in an emergency toreceive draftees andvolunteers. It will describehow DoD will accomplishsuch key tasks as:

o Integrated SSS/DoDinformation systems for theprocessing of draftees andvolunteers.

o Transferring of recruitingmanpower to other militaryjobs and to SelectiveService.

o Providing logistics supportto SSS.

o Expanding of Armed Forces.Examining Stations.

o Adjusting mental and physi-alstandards.

o Managing draft calls.o Allocating of manpower to the

Services by mental category.

E-12


Conduct an analysis of the Army and Full success means:Navy 2 year enlistment option tests Provided the RAND Corporationand prepare a preliminary report to provides usable dataCongress. analyses, (a) provide a

decision paper for the ASD by30 November that yields, inthe opinion of the DASD, aclear and logical basis for aDASD decision regardingcontinuation of Army 2-yearenlistments and that can beincorporated in a Feb 198xreport to Congress onenlistment incentives; (b)provide by 30 June apreliminary report to the ASDon the results of the Armyand Navy 198x tests that, inthe opinion of the DASD, isclear and logical indescribing the market impactsof the option.

Prepare testimony and resource backup Full success means:in support of the ASD's testimony before o Providing complete andHouse and Senate Committees on the FY 8x current recruiting programrecruiting program as part of his information to the ASD.or her manpower testimony. o Meeting deadlines

set by ODASO.o Contains, in the opinion

of the DASD, clear andlogical explanations ofthe recruiting program.

o Supports the President'sBudget.

Achieve EEO objectives of the Demonstrate a good faithorganization being managed. effort to recruit staff from all

possible sources. Quality ofsearch and success of searchwill be basis for rating.Assure that all subordinatesupervisors receive training inEEO or interpersonal relations.Offer at least two surrieremployment opportunities tominority, women, and handicappedcollege students.Restructure existingprofessional positions belowjourneyman level and initiaterecruitment effort by October15.

E-13

7. GENERAL MANAGERIAL ACTIVITIES


ORGANIZATIONAL REPRESENTATION: Represents Performance is Fully Successfuland speaks for higher management and when incumbent: (1) representsits work to persons and groups within and higher management by persua-outside the Agency. sively explaining and gaining

support for policies,priorities, and goals; (2)communicates clearly,etfectively, and positively inpresenting policies andpositions; (3) responds toquestions appropriately,satisfying the reauirements ofthe situation; (4) advisessupervisor and subordinates ofimportant issues; demonstratesa thorough Knowledge of programpriorities and policies incarrying out liaisonresponsibilities; and (5) dealseffectively with others toarrive at satisfactorydecisions or actions.

PERSONNEL MANAGEMENT: Directs and manages Performance is Fully Successfulresources, supervises personnel, attends when incumbent: (1) managesto career management, and is accountable people, positions and otherfor compliance with internal Agency resources DroDerly, effective-policies and administrative directives Iv and productively; (2)relating to personnel management staffs positions with highactivities. quality candidates and holds

them responsible for the timelyand accurate completion of worKassignments; (3) administersperformance appraisals, cashawards, and otner careermanagement programs for staffeffectively and eauitably; (4)establishes and maintainsproductive work relationsnipswith staff members that resultin a nignly motivated,productive, and mission-oriented staff,and (5) applies sound EEO andaffirmative actionprinciples to employeemanagement.

E-14

DEPARTMENT OF DEFENSEPUBLICATION SYSTEM

CHANGE TRANSMITTAL

OFFICE OF THE SECRETARY OF DEFENSE CHANGE NO. IDirector of Administration and DoD 1402.3-HManagement Chapter 4

October 10, 1989

SENIOR EXECUTIVE SERVICE,PERFORMANCE PLANNING AND EVALUATION

The Director of Administration and Management has authorized the followingpen changes to Chapter 4 of DoD 1402.3-H, "Senior Executive Service, PerformancePlanning and Evaluation," April 1989:

PEN CHANGES

Page 4-19, paragraph 2, line 3Change "appealed" to "made"Change "Merit Systems Protection Board." to "Office of Special Counsel."

EFFECTIVE DATE

The above changes are effective immediately.

JAMES L. ELMERDirectorCorrespondence and Directives

WHEN PRESCRIBED ACTION HAS BEEN TAKEN. THIS TRANSMITTAL SHOULD BE FILED WITH THE BASIC DOCUMENT

SD Form 106-2. MAR 81 32/10I