A.DAIOl 3 66 AIR FORCE HUMAN RESOURCES LAB BROOKS AFS TX F/6 5/9AIR FORCE SENIOR EXECUTIVE APPRAISAL SYSTEMd(U)JUN 81 J A GUERRIERI

LMWr :ACITfn APURL-M-R-11

.uuu///hhlu/hll,MIENEflflfl ll

AFHRL-SR-81-11

AIR ORC !~Alit FORCE SENIOR EXF(:I'TIVE APPRAISAL SYSTEMAIR FORCE 13 i... ,. :,,,

H Jh i A. (Cu rriri. Maji.r. I SAF

UMIIMA

MANPOWER AND PERSONNEL DIVISION

N Brooks Air Force Base, Texas 78235

R Juli 1981 DTICE Final Repotrt ELECT

S SUL0 .. 0URCES LABORATORY

AIR FORCE SYSTEMS COMMANDpA~ BROOKS AIR FORCE BASE,TEXAS 78235

'K (p~ 1 -

When U.S. (Gol4rmoll d ra weiigs. pecsifirii s. or othI er duia a1rese fiii er LII Pii rluPol. *iIhert han alth deinilh relaled Coverii neg I im~u reliemel q4ri 11. Ib I Ic eriie 11411biiireln' i fisr-

nl re.jIensi hilii o or ao% I (111igali og iW whaSoeler. anld he larl Ikal thle '.0', mot ciii 1i4,1 1W 'W

formicist.,go. fur,,i-hed. for in ii a wa stiplied l~Ihe said4 drawings. pi ii'a Iiois. or El Iir Ela lai, tiol lo he regarded bimiaim~ai u or ol lierw ise. aIs hii U it laies P11ivnig ilbe holder (or a ii

Eoli er joersoin tor corjlorali 4m1. or 44)111ey ing Li I rigliIs or p i's 5111Iim L ii oo e a ici re. us'e. tor *i4Jaim paiiiiied ill'. tiomi lbal iii a n waI h11 Wi e rv-lalol lervill.

Thiis rejiorl is sO ,1ib i l l by lie Ia ii power mod 111 ersimil DIi visgilm * iid41r I rtpjecl 7731. %l

HO Air Force thiiian IRiesnur445 Laboraiory (AFSC). Brooks Air hrre Base. TIeuts 78235.

Thiis report has boeen reviewedi by the Office eof Pohliv Affairs (PA) and is releasale to i11WNational Technical lnformaiiin Service (NTIS). Ai W'is. ii will he available lo die4 generalpublic. including foreigo iialjiens.

This spec(ial reporl has been reviewed aodt is app1rovedl for pthlivatioli.

RIONALD) W. TERRYt. (:4,4iefI. I'S %FCommnander

I 3lasisi I ltil

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Air Fore Itliniaii Resolrces Laboratory .j.., 2703F

Brooks Air Force Base. Texas 78235 7 1.4)001 L . . 1.II. CONTROLLING OFFICE NAME AND ADDRESS ., iL..JigplaR DATE

[IQ Air Force iHu,,,an Resources Laboratory (AFSC) /- Junp M81"

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19 KEY WORDS (Continue on reverse sie if necessary and Identify by block number)

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i14 ' Nrforlalce aiplraisalI

-'. lioir * .\littIVe -ervhIt"

20 ABSTRACT (Continue on reverse side It necessary end identify by block number)

.- 'il' Selnior Ei'eclltive .\ppraisal S )lshil (SEAS) was de.signed by integraligll iliflrillation galhered front a review

of the literatiire. a review of e,\isliig eectie appraisal sishenis. and glidaicie frolm Air Force ei'eciltives (military

1111 'iviliani). Tle inOl iinporlai III coron1'i ien of the SE AS is Ihe perforialice plan. Tie plan provides ite execulive.

all El;NpporltiilIl.% to lisI his/her pIerforliallT requiremeills. designate whether or not file% are critical, and assign

lorioritl weighli to lit" reltiirilIelells as a liethod of specifying their relative importance. Tei completed performane.

plall i IiniI revie'%e I and Sig ned b% l Ihl eetilive and his/her suipervisor. ? cr 'I

/DD , jA3., 1473 EDITION OF I NOV 6s IS OBSOLETE Unclassified

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SECURITY CLASSIFICATION OF THIS PAOE(Uhm Da Snowd

116.111 2U(AMlmnmd

%It flit- endi of the appraisal period. flit- exesmtmve' supervisor rates (thc ptroriane ofl ive excuitive (In elregiiiiiiv. Thme ,uam-rvisor also renders am initial overall rating on time individual. Both~ the litrforimnance plan andit#Is(- rating. are reviewed Ili the reviewing offirial (usu.ally ft- stipervisors sumprvisor). Once tlit- appraisal i1141iijll4.14 it im i l all olrgaiza&tioal Perforiiamie Review Board (PRB). A test of the 14111 proc-edures indicated thatthIe~ , %ere ilfr4etive. iii dific-rentitimig between individumals hased onl performnce amnd that thert. was nio sigiicantA% -ieiia dliscrimination oil the basis of rae or sex. To operationalli distribute boniuses. flit- %ir Force conivened Ciieorganiziational PRBs and one central PRB. This configuration of PR~gs was selected hiecause it provided tile itaiiu

deentraliatone while ensuring that the best performers in the Air Force were rewarded. /

SECURITY CLASSIFICATION OF T-1 DAGErWP,.n Date Entered)

AFHRL-Special Report-81-I1 June 1981

AIR FORCE SENIOR EXECUTIVE APPRAISAL SYSTEM

By

John A. Guerrieri

Sublmilled by: NANCY GUINN, Technical DirectorManpower and Personnel Division

Review,.d 1)r: TYREE H. NEWTON. Colonel, USAFChief, Manpower and Personnel Division

This is a Special Report prepared for the Director of Civilian Personnel (AF/MPK) in response to RPR 76-14). Supervisory Appraisal Syslem for Air Force Employees.

1fil ii .1i- Refor %1- ofi ii i i 9I78 atd I liviues; for i'ei-,iiiel R~esearch~ (ltll 76-1,11) sllilllttel to thle %ir

Hoe ilmi~air ILe-ilre I ablovator% iN tlil \if For,-; D~irectorate (if Ciiiioi i'lr~olil. 'Ilii aplrai~aiI-;d erq% .v a oiitliod for it ijeitiveli a,. ai'vsln 11i pgte irformtanc ii Ai r iForce Seilior Em U-llive 1.

Si stt-ui 1k vel.jinw

'Ilii S-elllir .-.\,eillive .A;iprail Stvi %as diesigned It% i liegrat jog itifiormtalilill gathiered from areie of' i iii lileratolre. I rev iv% of -\i~linlg ewiciiul appraisal s~stvmsl. aiid giiidaine froml Air Forvevwcile . (inilitar\ o cli~ieviliali). 'Ilie 11114 ioil~iortatl l4lipolel of the Si. S i it# erformiance plao.1,it4 plan llrovit- iie ~etil kiie, -ill ai ol1 Ii4ritmlitv to lii thigr performiance14 ro-4ii r*leli Is. (o desigoia Iwiliei- these, retliiilemleil, are critical or loloiirili(:ti. aill io assigli prioirit% w4eightls to the r4.(itirtielits11a. a illetho of41 i sirik lug their relat I4 ive iportancei. The coinlilted 1 erfiiriiatte pilaii is Ownii reviewed

At ille evid ol do,1 aliuirad~al pleriodi. the -upetve i~lrtvisir rates 1the1 ,erlormiaiiee ofi thei em-iitv4

out vch reqlairelileii. 'I'iv ujjvirvi~or also rende4rs anii iitiai overall ratig oft the individtial. The appraisalile Ii rev iet,'(i Oii v iewioig official 1151 1kual tile s upen' i.or's u nperv isor) . aniid alter thle appra isalI isoni fplet e. if i. Se lt i to fi orgaizat in a P rf irla itie Hel iew Board (P H ).

Stvi mlP i' h piroceduire, itidit ated that tilci were effect ive iii differettiatinlg betweeniIndividumal. liwas on 1 erfrinaie and that there was Ito signifirant s,,steiiat ic d imeriiiiat ion ofti the basis

ofi rave ,r -4'. ro operatinll Ii (ist ri lmi Ie lion ses. the4 Air Forricoiivem144 fiv o''(rga n iaion al I'PM andIil . vlra I P11 I1. i Sconlfigmi ation ofi P HBs was welee tel bei awi-i it jpro, ided till- ota iflimn1

m1'.4lcitraljza!,iil While' 4.lisLrilig that the bvest performer?. ini the Air Fonci' 141'e reimariid.

Heenniiendal 14411

lil olrder for1 ie( SEA\S it, iiaiii'aini s uqtiti'..vialmiliti. amd 4ureiiiilii. the \ -tim liti, lit-

voiim lk iliatd mli ha all atliproipriate iiiliials r4'lei~v ad(llt traiig.

~Accession For

IVTIS CPA&IDTIC TAR F

_Di~tributioj,f

~V~1??~ittyCodes

Avail anrd/or

ALA

% \%vilI 11~ii. Mti. Kire,, lii~ig. adl NtI, Barbara Kcll . Sitivere d pprecialimiu i. alsoJ e\Ielltledj Ili

lil, gluri4, iter ,muu aitl lilt mi-,uh,~ ofi Iie \ir Forci. Seiiitr Exectitive Serv'ice %tli. ;tarlipuleE iii

1114. 1Iv 4-141111.111eu of the app4iduiu -' \,14im. D r. FI',rri~ IRalijf desvr~v- .1 ,eieI ra'iugiiliiii for lii-gluuldilI dlii lll ~I I - ill 1114. 44144*u.1 liml uieielopmuuewu (if' Iii Sciior E~vci'iiiv \p1 prati-aI S Aeiut.

Ti* x 1.1I. )I,' C NTE''IN 'S

Page

I. B ackgrou nd ........................................... ......................... 7

II. S Dteni lesign .................................................................. 7

Review and Evaluation of Appraisal Systems ....................................... 7D)evelopment of thie Air Force Model ............................................. 8Prelest of Senior Execuilive Appraisal System (SEAS) ................................ 9Development of (he Training Program ............................................ 9Description of the Final SEAS ................................................... 9l)evelopmnent of Performance Review Board (PRB) Procedures ....................... 12

Ill. I)iscu .sion .................................................................... 15

1IV. Sum marv and He(.om une ldations .................................................. 16

Appendix A: Gu.idelines for the l)evelopnent of a Senior Executive Appraisal System .......... 17

\ppe i li B: Sele ted Bi1liogralph .... .................................................. 20

Appendix C: Bia, Analysis for the Simulated PRB ........................................ 21

.ppemI i\ D: Suggested Briefing for PRB Members ....................................... 22

Appendix E: Senior Executive Appraisal Form ........................................... 28

\ppendi\ F: Senior Executive Appraisal System Flow Chart ................................ 33

\ppendi\ G: OPM Guideline on SES Bonuses ............................................ 35

I.iST OF TABLES

I I ese ript ion of tie. SE \S I' rftrm ance Aireai. ........................................ 1I"2 E\amphc, of SES I.rformaire Hequiirements ....................................... 10

:3 H aIlah g P . l' . ..ili .... .............................................................. I I(CI I p o.ari-.ir of Meam. riii Standard Devialions of Fomr Sot., of

Appraisal Score. by Iae. Eihnh" Groip. and Se\ .................................. 214:2 (.oimparison of Mean Score,, of \ppraikals by Ethnic (;rmap anti Sex .................... 21

.1i

AIR FORCE SENIOR EXECU1TIV'E APP'RAISAL SYSTI'EM

1. BACKE;ROiND

In 19)70. (lie Air F'orce Human Resources Laboratory (AFHRL) was tasked to develop an appraisalsysemn for all Air F'orce civilian emtployees. Trhree subsystems were required to accomplish the goal ofproviding objective methods to assess the perfornmnce of (1) mrembers of the Senior Executive Service.(2) G,'riral Managers (OM 13- 15)). aiii (3) General Schedule (GS) and Federal Wage- System employees ingrades 1 -15. This report focuses onl the first of these subs 'ystems: the design and development of theSenior Executive Appraisal System (SEAS). the SEAS training program. and other topics pertinent to this'development. One of the primary uses of tile system will be to else the appraisals as the basis for awardinghionrises to senior executives.

Tli speci fic reqire muchs of tle SEA..S are- delineia ted iii PI ublIic lav 9 45-15 ISI lie CivilI Serv ice14. firio %(-I (CSR A) of' 19~78) a ii d gutida ne prov ided hN lt- e(ff ie of' Pc rsoiel Mlaniagemnt (( PM.Exurpis from IT. 95- 154. and in Iorniatioii provided b 4 PNM concering lite giuidel ines for developimig anr\eiiuiive auppraisal sgstemi for senior eemilives are included in Appendi\

11. SYSTEM DESIGN

Review and Evaluation of Appraisal Systems

flue- initial step iii designing fte SEAS was a review of flerature on tiv lopic of' e\eulkis apulurai'.aIa louug eitdi aim e% a Iualtion of c urrn lt systemls is(-(i iii private i nduiitr% anmd lii 1ng dcv.'lop. d b% Feeaage immie- iii respolu-c to t he CS HA. A selected hibl)1iogra phy relevanti to d ie do-velopimule iiifi the( SEA S i,colainied iii Ampeiidi\ B .

Riesul ts of t lie lit ea t rc re% i ew ind1ica tedl that none of thle stseini repo~rted( or uggestled add res-edlie design or developmuent of ago executive appraisal system that mnihi lie thve 11fpecific 4 SR.Ari qire inil s. The emiphFats is of' appraisal systems used hgI pri sate corpora tn. ils il ieicIruinii ig wichiiS\ eiuti ye is bmest s idltedi for promiiot on rat her t haii in a ppra is inrg actutal jobl pierforuimanlce. Hlowever. iiiaimsorganization., have adopted a Maiiageiiieiit-h -0)ject-ive- (MBO) systeml iii which imaniagers spcif% theirihijeci iv es for Ililt ratiing period. ill i their performanc bii einrg apI pra isedl iii seq iuill il thIe ba, i- of' tOw

eOtgIvII 1)Which Iiey mid or exceede~d thevir goals.

For examlple. one14 ronip1 an% wa- found to usc a utodiliedl NIIM) s1-11eii tat Incl~udied hull ioiicept-relevant to lilt- developmienit of a s -tiin that would mevet thie CSH.. requirvelels. Their -%-leii required au

oiiIneat iou of (1) tile posit iou acci li llahi lit ies. which ar- Ole explectedi resutlt, * d. Iinmd byv a1 pos i ollaiiuals i-: (2) the* oiijectivies. ihiich state- ihal muist be pilanned Ii order to gel satisfactlor\ ri-oill iln vcia'muuunlaitalif it% (3) the- standards omf imiariuiii. vihich will ensure liu ohijf-iko. aimalsi,s f' Oiwillvoiii' lie ,rforrinatiie (1) ;u 41hescrilir of' time iitiiiiheiit's actuil1 liroiml: and~ (.5) Owi-Iilluvisiir's appraisal (of' Illv iniuiiem-is overall perihurmiiitlge l ini ulvm if' ri-il- aimimlis ci.

A iioig Federal ageiuc si ,liiu ilcshogied iii respiimise to lie C11 \V lii \ailidia a444luulii

Spac \dinu~isiratimi (\ \SA) hail icolied a -stseiumi ieal mu ll the 4S %l riucm cmT.hiiohri. itproi,4 lie04 aliiil -lartiuig poini for the de velolniio o ilth i uir re s- -liiii is\ 4.11 I illgh it idigil l

llii'il Ili' powific iiieds of't lii' Air Firie.

Thle NAS \ stcuvii 1urog, idi'- Nor a pierformuance pla.n iii % huch ivacli vcwlivv ihisigiialc a .11a' cal- 111

-Jlai ullij.tivi' Andm one iir more- coiltinuing respmoniiliiies maider each I thrie critical i'!uuiuent. Tmeiriial ele-niewis air, mlanageiiit performiance. programli performlance. aiii idiiiisil iiliSI'-. The1

loehlrumaime platel als;o provides lioi ;u li-hung oh the actions riqiuiredl by sloer isor- iir Jli'r- 14o arhmiv~v tlie

l o .1 1 1 1 1 i t t i \ 1 1 1 1 4. i t 1 4 fi i . 1 1 1 .ii I I ,I' n ~ I a 1 4 ; -I I l f t , g r 1 1S1 I -t@a d 4 I -\ % 1 4' I f I n I Ii c I I l r a I e '

I l,-r lmn'c. jiIicI lie ds'grce' uulof acioe- \ voirut is e 'a I ttef. lice cri tical ('Llitet are t(ed( ratedC. TIhw 04li'i-ii

ialifig al, .11-it'e ul'ang a -fowl narrate..o -unnliar. and finally. anl o~eranf ralullg is rendceredc.

Ollin'r ,nvermint age-Ii iv ( krmN: Na\if-%: IDejhrlmieml of* L~abor. I e'1 arlinem of Hlealthi. E'deaeal 1441.

and1 % e'lfarv epc 1 artmennt 4i lift Tr.'asirN : O)fie l' Pe ~nrsonniel Mlanagemntn: atl De'partmeint Ili

Tii14'1144llll) cnic'41ie(f None of ilii'~e agt'lcie- oiad .iffiienlt' advaiiced il 1114 def~e'Iopieiii III

its n'\ecome1.4 appiraisa.l tosle'n Il prof, id.' a dietailed le'scrjiiun. luvarialili (lit- appruacil prefe'rredn li.

e'ach age4i, ev- a mrodlificatnth of Illilt-c' la--ic N1111 Sstc'il.

D~ev~elopment of the Air F'ore' Model

Blased ol lte CSR.A requirements. the literature, private industry sylitenis. mid gove'rnment sifslerns

(actujal and proposed), it was decided that lit!e most appropriate approach would be to design a syste li thatincorporated lte best attributnes~ of all systems reviewed and evaluated which noel [hne (SIA reqnnirennents.

It voans also devided that in order to ittaximly'te User aecc'ptance and ease of imiplemnitation. high-level

mna nagemoe nt n apport and user part ipal in il ite develop nme n would be desrabFle. Th us. pnrospectivye

seiocr executives were emplloyfed ill ever), phase of lte developmnent. Tine appraisal syistemn developmnt

tlnereili incorporated both substaintiated arid tried ps rhological priniciples ats well as nmanlagemlent

eVferience and judgemnent. Therefore, an initial *'strawnain" system was developed and tested.

line *'Atrawinan ll l' was snimilar Ico tihe proposed NASA system; (1) lite appraisal wouild contain

t hree penrformnance are'as: P~rogramn. Mlanagemnent. and Individual. (2) performance requirements would

be4 speciflied ill eaceh of lilt- a reas and( would be writ ten at the level that woul d in diecale fully successful

pifi-ormninuce: (3) eachl performance area would have at least otie critical requirement that mnust beacie nvedl for sicc(essfunl perormance mind one objecthic that indicated an area in which the exective was

goinig toI imnprove; (1) cavil1 performance area wouti be rated. and in addiion. a separate overall rating

votill he provided If i te' sunpervisor: (5) the executive, the rating official (stupervisor). arid the reviewer

(lilt-' first line slnpcrvi~or .s supe'rvisor) woutld all be given anl opportunity to comment oil the4 rating: arid(0) lift4 re'sticntio4ns on IlengthI of' c-oimmrentus were specified.

MIe'mbIers c fi' le- Illffl. re'.eaecli te'ain ii4-I %%,in iiiilitar and1( c'iviliaii mneimibers epf the Si:S od lioc

(.rceip. whlich inclindl niaiiagc'r' fromi [lic' %ir Staff'. %ir Force Sxsteiii- Comnmland. %ir Force Logi~tivs

.411 lid 1(41. an1 d lilt' O ffie 'of the4 Slecireld r% of lilt' Air Force. T[he memibler, of' thiis griup re'present1ed the

l'rallI/t 44 Ilitat i-ouniie'd m(ore lit 9011 ~ pe'rce'nt oif the auithorized A-ir Fore Sf.S posit ions. This broadl

.4iiovnd r4'1 ire-4'-iii it, dnril'iid a necessity to el-lire a fee'ling of ieivolve'meib theIlc individuals

I )ninrg i lii in'e't ig. Iliet- ( omiirann rc'jreseiitat ive, re'vie'wed aiid imodified thle initial designpril oo .eff bi t li#- A l1l I M res~e'arch Ii la i. ThFei r chianiges Inc-ludiedcl: (1) re'vis inrg tb 10 (esige a oll of the( first

ie'frle mice a rea fro m V~rogra o lt o ' iii m/PFr(gramil so thfat it would h avv m'(ore' in'ani ig to %ir Foirce'4c'II'elnlie': (2) qwrei'ifim iiig oa 1 one critical re'quiri'iil in tlie pe'rforiiance plain, rather hban in e'aechlone'rmcrni a e'~rna (ti ckhanige- va. made lcc'caus'n lilt- wide spvvlIruii of jobs i nhere'ot i ite Air Force SES

mnight inrecine an -%ow''lliv freom ila~iig aI criicial re(filireneii iii e'achl p'ferl'rioatice arc'a). and (3)ife'lc't itig IOli- c-oinlcI off enhjc'ct4-c' Lo'vat- it was fell, that tihe must impocrtant zalleI cif tin' pc'rforna nce

plli %,a- len ein'liiic'ne Ilw re'1 oi4-ilnilitin's and renire'me'nls fur lilt' rating periond. It vias pe'rceived asine'a~lietee Inline ii-o i i ha 1411 1-i'\niivn ul lhi' able4 In spec-ify a reali-tie- ebjcive (e'.g.. redisce pape'r-

,Aer I n 3.) I olV e' o'--oo Ic lie'i r %a ivi 1if ji I o.

rtest goup al-, Setio Execu4time Awpaameyters (SEAS)rt1 e -41-1ilM i i fl-fri t

- irt' ei~o .(2) a%4 S l t' tatl or d -i a ntl. Sgr oll4 ofi pifo 5Elilt% I'' I N '11 .11111 oo'lll ic ce I l l t

titttI'll ft' il' ,Irtjlra r'lt'~ d ill' (3 ll'jtS pom''iagirl'.i g a tr Ito1 fml it-i rt a ill- exen E'l Jl-l i ll

alv liltoliivl ill' Ow l~l' iIl

i~'Thesparame utlls i'ih s'; sie imidcloNr tioprw ooarSis.1S"Sloe

Vc i -tlli (1111.) ret Iriiemei ill,,l ado tol'fll, prllan't aiie anea sl~rafi'lr attfivg. 'm'-1'llrti lng. lTh '

chatgeo-ildim-ea - fit obec-61 oftheoieral aiiig ecu~eit ro ide Iic ipe~ioprAifi atIig

IIt#-- Iia~ m... 111111 Jill it iio II a~~ i Ii g I I I-, ii I ra i t, I- aaaai - aa.iI I i I rvi\ai Ia- 1 O (2)drl igii I t ig itiiit I) aaa-Ijitiritaeit- .0 ..- gn t,, )riaarl I% vi a~I a I I a, 1141 -4-1 aeiaa11aial. - it II (DIIt -j i'i ga

i ~aiiolla, ori ri-oiii-cl- i 1 aa111il Ill

,Ii/a i cjaaa ola alollV% 11 Owiia \ v 111%a f ll I IlIPgIitIIIn of il, raIl g perod 111%%". ( i aii),!

ia llp I P al i a -al l. I i l a a a p p %ill ( . a i pl l a 1 1 \ o l i c l w r f o mam a t I , . r l ir v o j ii'a t i g n v d T hesa 'i l ii' g i vI. otII ieril II alI t- I -it ,- .Pi I i 41it I -a tiitII1- vI jaaa l r it it ri'iaiap.(pa'a- aa(Illa Ilt i.iiii

Tlap 1aa . Desc'riptiont of thle WIAS Performance Are'as

Fit oct iin/Pragrama: This area ipacludipal'.jrigrain planning: 1mrograa in implemen.'tatin: compi~letinig

iud i. '. repo rt , ad conltraits. de'v eloing new po1licies: anrd p rogra an at fotrna -

Ilion) ran'iaigi. ilisei'iatip. (or documenI)'Itation.l 1,li.

Manage'uent: 'Elii a rea iniluades orgaiin g: budget inlg: pe'rso nnel uiiz ,at ion and develop-ient: interiialI/eriial commnilancation. mneeting FF0O requirements:

administrative activitnies: etc.

lniap lial a: ii ari'a inciludei' toiar1t ivi pat loll Ill S.pecial projei'1. Ad I lupa. comimiittees anida k leamns: de'v elopiimenat or actIioni onl in novat ive' idea'. pirofession al d eve'lop.

await. aonfleri-nces' and semninars: and( (other d,'v'lajaaaa' aci pl t a'

Liii pi-foraaa aria saIll aaaian at lea-I otiaa jitfrlaanii rv'iplirviniat. \ pefrac

ra'.juira'naa'aa Iwca'ifie' IIa. reiaalt 14) Ill- aclii' a'i. tihe i'\pviv'ala'i ei' ofii aalaja'si'iaai'ia. appa the littl' ini %% hla

iti nnti- Ioe aihii'v fo1 ar hiall% ucaaav'.lal pairlaaraaaa. Table' 2 1araaid.'s omeaai ,~aaaples of SPS

pierforanc are .qairvtuaa'II.

Faa/dc 2. Exampjles of) SES Performance RequireiCF1CitS

1. le'ratifN 2"-, if thepi'jositina- %s tI iariir ailsiiieiii'vii iillaartiiitii's lair Proje'it Miainstrami b' 3(1

.111.a p'

2. Ret vis rit( to ra'nd itot, risinag , anra'a a andl a mo'rh iva. a il and ac lii'v' a rat io of 15/55 it di rect/indire'ct vosts IPN 30 i aa.

3. Publish saipplem'nni to \FSC H 80111 I las 301 %1 ril.

1. Blraden'a -ibordinate'' 1 rafv i'-.ial -kill,. b\~ pr aahiag vaaa wsith lasia de's alopaae'ial assignmuen~ts

I tiii. I i'-jpe'iI oraaaaaIa ref I ii reii t 1, al.1 irc iaIi vt L IaI !lai %I Is liah .11.4 ari I it itI it Iv aI'.ig II ail . %a iritI Ia Iraaa inr iial I ni .N aaa f piaI I i'aa'a reI eI f IlIa, joIaa slial '. i -aatit aI ita Irl- it IIN tipo tti tIhaI I iadil Iaaite'I peh r a l- ill

a aaaataiigh- il Ia vajiabai e'le aaaaa-l' aa i Iit aai'r a'.pvi'I, it) thea jial.

VKaala I JelI'rl Iaaaaai' v r-4laIi reiit i l - i a i t Itri Pr ,auaI aaaigla a'h aa I i g i-d11 oaal aa wi l I I'- I'- a i aiu il'aaaai'

pal Owl jae'rlpprainiaaii re'ainiri -Ila l lap114 le iaal o ' aaille . I'a' ilal QIl 1l1,' hiliiiril't 5I'igil'. papoit i'i1ial

11101. I ritual repoloaiici'aa %% ill giaaalk hoat noat aaa'i''-arils . raise aI, it igliva pri4 arii %v.iglit. 4b

10)

Ilcfillal mtioii ol1 thie ptmmrmiiiiic plao miiiImimre Rieqimrcd) eniablflll - emmil~iiinidicl Iii alin- resoii im..anid ilis fromt oii-leim ooirces that aire iI.t-aIr% to t14hlime tile

performianice rmijiireiiiiil.

app m1 jraisall ako -h i m mi es fo. mr re% I iul iti Ilii pemrl'orimaiie plani aimd hmeilbaik 14i Ili,e~mliias piart of' till, itormal iiaiimmlici priruVm- (lrilig tihe ralilig period. Tile -i-' j rsorimmim m e '

,mrmm~ Hi till- soivmr~ sor al ex'i-uMit hm 1%%h miii r t)ijuiliit's t) disco~'s tll- vXfuilIl~e's ferhoriiaocml. chiaige-

iii mii'om rijiremiemst. aiim thie imtiim (ii outintl. iifimm'i m'- er wichi Ilici m'xm'milkv~ iiia. have lii

The. ratIineg lree. .~ AI tihe (-till tfilt'h ra Imiig per'iod. t ill- ra 1mm g offic'ial rvoer aiti' ll adijm'mi ma ra lin g III

assess- Ibe pmrforiiaiime of'thle seniomr m'\m'mive mv' bre eulil 'norinaiit't reqiiirelmeil. eachi pemrformancet area.

ainmd tpm m'rail pe' oriuan1cm. 'Ilii' potssible ral i g, aret dem ribe l'in m1Tablie 3. [hem pimrm roiiive a rea rati mmg

siioilii niot nlm't'-tril% he a cmluial M' ave'rage of' the rat mug. of the inditividual jueriuormani- refjloiremmml

bil iNsouiid lit' uuuguin corream'ii. 'SiimarlN . the overall rating -hotinid iioi ieme-a riik be ai imiimoltii.m

d.il rige cll the puerformianice arma riulmigs. umisicad it ihotild iundivile the ratinig oficiai*, jmdgiiei mif dimI\I'mililm' o~ email perftirlaicm. 11' pemrforimanmmetl oi l%- irilutal eleinieii i cimns.idmermed miitmi-faiimur% .iie'm

ili'e~ erail rali mg timI ibe belomw Fuilly Suc'e'-siil.

Table1 .3. Rating Definitions

U TSTANlDlNG: Consistently performs in an otittanding umanner whitcI far exceeds tiheFujll % Siaceessfmuid criteria.

E\( :EI .IEN'F: Consistenitly performls iii a moan ner which is considerably abuove the lFuIIvISuccessfil criteria.

Ft. lLY SIL( CCE.SFL' : Performance was at the iiei which woild no~rmially be e~pected of' a

senior executive.

MIINIMAL1I ACCEPTABLF: Often performs iii a mnnuer which falls helow tie FmulIN Succm-.ftil

cri ria.

I \S %TISIFA(:TORY: Consistently perf'orms in a imiainer which flls well belotm the Fiull%Sueessfl criteria.

The rat lug iiali is alsoi reqire'd to descriiie thel q-\i'iitives eim'rriaicm mil all cr1 mealreqirmeini anld 1o subs-tanltiate all ioiicrilicai -e'quirellemis rateli lisatisfiittior%. tiflimll\ Aimeptamle.

or (ht- lianding wit i a s hort n arrat ivie des-cri ption . nit. nlarrat ie siihitani liI il shuii 1( lii' objecrti ki alld

retail' t) Ihie specific re-uitls (or accoimiplishmnts oif thn i'~mrumlivi relevanit Ii hi.,/her performna cem

reqimrelmn I.

khter the appraisal has been comleted by the rating official. the executive is given all opportuifit% 1(o

review the ratinigs and to make conmmments as required. Then the appraisal is reviewed b%~ an individual at ahigher level of mnanagetnent it) tile organizationl. This higher-level review is to1 maxinmize the objectivityanid equtiI. of senmior meiiit ives' apipraisal..

At dim, end of Ihe' rating pierio~d. iii' iniil appiraisal is cmeiiiiteed lit Ilim rtling imtiiiai antd rm'viemeid

ti% Ilii em-iitifve amd iii' rei's 'ser. 'li iiimie' SHA refloirvioli-. lii6- apiprui-m i- tlivo finvmaru ii ailerrmaitim Rlevie'w Boaitrd (i'iI1 for res iws. lowe ihart oi' thei Smii,. l\e'iuti e ipprai-tii S. -Ivm i

lmrtis le'd iii Appiimi'uui .

NEC

Dee'lmieut of( Pertfolrmiii''ev j' BoairdI (1'1113) Prr.m'shar,

I[' odeli it, ;orai 1111. '.%-III l'4. 1,1,1 a11111 i o lf t.'ri l fij,;,r ka1 . ia oliii ioE'iI %Fif .f1i'm i' Mt .iI--%' ofir.1 l.r. 11 r 1 '.1- irag l'i'ii lri I hi Iiaiid-. th 'AII' rie %i F of11 d 'ivei,, --i. rte i d a - iiita

I I . I s ' i'4I of1i I .1111 iffr r ' I cv i II Il aII va jI I l ie-tN Thli st of IR s% s m n ae % lv(:H %2.iro- iii ii i attr'rl-dlleil ricred4 tod vIriI allag diiire-r tile Ia6tii.

Th egre ofs t ovo na pa %i g. if ' eomo nI ad ofp icr iitia verrsi lalet rev ie') and luie ct iv ii

Ih i. IFoI fr vaia,' ofroinne t\l ac iiv# %iti..ofdc~o ciei oa o~a

[Iij'e o e lillic c ieri t %aiiolves dio ii teljll g tflifclt,'jran e o ik h ciei ntal

1. 1114' po etffor reqitr tos acofpis orgao acti i o esnlpesiNihrn.i h ciiy

i 2a i e. iiimo on ig alivrdiio requ ~.ired ro v nae for mot or thi e and svilihnaiI ilt11.1o aiL i

Di'ei.iiegrbeie oimpacdrefg..iii woid-rra aplkiaiyrds w ocr l thelevned ) oe- tI'e ilijifr ii

Dollari an Olj'(itie oll d5'Ibe till',it .'roiio. f''~o 'eitv

fianea rredte peiik foroe iis*li tee'i toar e Iin soingteapaiaswr a olw: I 'a

biardifi hemsor indepdenu s'red eeo aprid (2) Ta.' obeive ad iporthbe pefodnc oif theki

executive rather than his/her position: (3) The hoard memlbers were directed tgo colnsider both theperformiance requiiremrents and specific achiei.'nients identified on the appraisal sothat an executive With

low stanidards arid high ratinlg would iiot lie perceived as a better performer than aii exectiive with mluchhigher standards and a lower overall rating. (4) the icale tused had a rang.' of I to 10 with whole numberinc'remlents and a score of five' was de'sigrnatedl as the point that indlicated ave'rage achiieve'ment for a seniorexectitive: (5) since each appraisal was scored by the entire board, minor differences were expected andappropriate. huit when any two hoard miembeirs differe'd bN more than three points, a ''split" was declaredand the( appraisals we're restored, after relevant discussion, by the' entire panel: ((b) once the scoring andrescoring were c'omfpleted. the average score for earch executive was computed, and (7) the average scoreb%ecre then tuse'd to rank the e'xecuitives be'ing considered.

Igo df'e'orlai.' their approrileness if, t tile Nir Feorce svliir l''%i'lives. aild tom y'rify their fre'lafdoin froml

bija. (.'.g.. again~t femlesif' alill olilienrity membeIIHrs). 'Tihi first board f'lIsi'ti'l of 1,oo (lllI ' itll plrior

flato were oarfalliliar 'A Id Air Forn.' boeardf iiroc'f tres. Thire'i Oif OWi W~ardf mem'beilrs welre' mle andi tAoo

'lI' ll major puoeli' of ihe' first '11144k- btoardf oas Igo dfltirine if' li.- fprice'iaii'' efi,'crialilatl'd

agairati I iiarit% groupft e fe'mles'. Ill oirdeir to accomtlpli'sh tii task. 22 atiinaf 'svoilir .'\'citiiv'

pi'rfooratte plats we're ohitaiovt'i. I siotg thle actul p l(efrmiance'l plait- 'Ad- i a1plirtlt Iee'ai-e it en hlanced

tile pirel4ed ri'aliti iif ile pl'41e'. SIll' ratitlg. v%'e'e not I' iiIdihlv. -intiolatedl raliigs and wrilttl'

12

F~at -i alopraisat i vo a a,..gte I.. oflt iIb thre e r I tiI railiog ((lts iiti I ig. IiL' -1i11. or Ful'IN Stiie-leilI) at I(

A lilt lilt- atloprai~al siraiiil tutu Iliti. ratiitg griuieot. fictitious ntames that iiere echuiuitelI ltah..

ltiale.. \iigbu. aitelhr Ifi-sualtii suernaed~i. isre runfyassigit ed to eachi groti p. His-pantic -itritiit

voere Itelf to tejirt'siit lhei variousI et tit it minoirit ies biecause lilt, namtes rvdil% idii ified individuals a-

euiiiu1ieers ofi at iirit'. groupji S~Iin lilt boardl mtembiers. weet p rov'idedt an'. ietl'orietio otlier tItao (lIts

-iiial. Iiiw l i fa II% tills eihitii. tittiesrt'. itaie ia Inougl to lote 11ie Ittli-i applroplriate ituidllbr

ioiiucaiitg elliicu loaikgroooiuul 491' lilt- veviuse-s. As briefl v-,Iolaital ion was. giveoi to lilt- bouardl jiuvliluur- til

lilt- ii-t ' ilt- i,co.uriog 1iriutujires. boa linrd ioured ,'ail appraisal Iinei ratiL-oiertil till, exertt i'.e

lai..d ott lit-e scores.

A, aI iltiuk ott tilt- et'si,.te of an'. s,le itatit ritrimiraliu iteherewi in thei proedultres-. lilt board

%%Sit, riitvetted. Fll-r te second triatl rimi. Ililt *amte app~raisals were itelf'. bos'.e. ietiiies viveclitigei. AllI app~raisals psilt l'i tiale andi/oir Ilisjiatiiiattes wsere give't 141 o-ilt tinrit% matlei iaitte. Thto ,

aphtraisal. that tirigittal' hall lilt- tttti-tinorit mtale tiattit. were giveni Ieiiiab andt/otr Ilipatiir namtes.

totomparisnt of' tilt- results oh t liet two trials indicated thbat tile- hoard mettihers Aere voosti.ttItn iii their

ra itki*ng aritd that thee' vs a- tit) sigi ficanit differenc e bet we'en [ft- limeanis of the overall rat iu g. of inales.

lettiale.. attd initiorit. miteitlrs (.e.' %ppwtdi\ C ). Thte board wats cotsistei't in seliec ting lite sat. or

The restrictions on bonus distribution were such tlia( I I of the 22 intdividu~al- confsidered coulid be

reeommoettded for a bonus. On lDay 1. seven white males. one female, and three Hispanic tmembers were

eletti'd for a bonus. Conversely on Day 2. four white males. four females. and three Hispanic niembers

viere recoinentded for hofluses. Based on these rtesults. it was inferred that tit) systematic discriminlationinhlerent itt thle procedures existed. However, a few minor administrative piroblems were detected whilerunininlg these boards and appropriate changes were made. The mosi important change was to provide theboard tnembers with somle experience in using the procedures by allowing themt to participate in a trial

rtun. thetn thoroughly debriefing them onl their performance.

Is seuondt -miock" boeard ia conveneditt at Air Foet hfeadquoarters to diteritiut if actual tuterriher- oif

III,- SES at i Air lore t'offhicers ('tild effect i veh1 ose till- res SId p rocedu0re's otl t a isde ia rivI e fjolt. Iitio-mer-'rIilt eli thtis boiardl %.- dlesigneduit) app~rositttale a true PlIB. Therefotre. a carver SI.S ititiber actedl

a- ,tr-ideot. itih oilier carver totitthter- anid high-level mtilitar'. revtreveiilatuse. otu the boardl. Thei

itiioble r (I filiack L tulle . The Ilti'-' ht j, o f tll bo Itar %elwre tiei tier stat tstnaI)N no. r 1 ,ract ival % d ifferee

r~teitttt't t-i a Ibettit- nt'garult. ill geitler ori tiiinii mtembership,. \omtt (t'f (ie w~~ii -ith i

Itill'. oeicv.fuii ratinig %sere reommentdethd for I bietiu'. hloiwtvin. [te' boardI tumuiitr. indticated thit ill ati

arit al PhIB lit-%w l haiv requtedt adudiiotial ifotrttationi for some1 vase, pirior Ito poitliig a flial-litre' for fitetietit iv.

liiini'.nht of boith botardl- %ere their atiahze and( ithle policies andu criteria 01h IIIV bilitIis ereiheeuritTti. hie atiah'. i- sltitisel tilt~ litbards- found0 tiil% Iiret' criteria it Ilie critnctl: (I) he lel Ilif

ellitit re'qeirel t iticcomplish 1 erlttrttni- reqtutirettietit- (2) Ililt aiottii of' aftettjoi twtutried tuo mtanage.

aice mntittor Ill, peurormancet requtiretrrettt-: andi (3) the ,totitoial for gaiti tin loss ofi tlgatuiiatiomitl andu/oir

lotr-oitial plrestige iiit'etttl ii the ,terlcerittatr ret~ttire'tttit-.

Woomttti-iraiivt'lN. Iii burdu ittuiihti- loi ia l a oIiti a trial rn od %4t-sr%. oeltaileil iouttttiiit suno

Iiglk ule-iraild.. Iluiwover. It. utttlieatitl that the atttital proiii'!'4 titii/ql hi'. thti, bolard itriet vr- shuild

h Iti .tffrii-tls 14P~hte ti .lhtliii for ihiiihliiittit-eut.it ihti~t-

I;7

li.iii tilt thlesi' finiiiiii. final piro tiltri'- we~re dr lip edpi for use bi tilt a~iinii l'RK . Tlhe -tigge-led

Iirieing for tIIte ' lilis is jIrovideid a, %I 11-111ixi D. ItI %$a- ai IIici I iat t at thIIis I)rieinig wouIdii be lino lI ifivo'4 IIto

Rei.t 11.i-1 I ioard fl. ilIt -rat I t Iit I iast.: M I s Inge It- ir Force' IllM. (2) five' orgalinialI PH11-k andl (3) -i\

iltilt--Iti fi4' organizationtal hoard- plus a ( i'iirai PRBI.

The single lPFHB concept msas d isiiis.t'i bitl re jeted 11% 1 It iE, c IAt i % e- lRe~oo ris Boardl. \I ir Forceminlagiintl wail it) 4 dec(entralize' w-el 1) as ill uh a possiblet to etisllre tile dvi'ioniis werE' imad,' b%

tilt, lmost knoiwledgeable iniidvidiials aidi to 1ireilideth de potenitial bias to fasor the v\t'lli ivs' visibill1i

rat her ilmag thenir ,ierformaiite.

To (erlt''' ralIize thle select ion of senlIior e xecl ves for liontus awards. th li se, (of fi ve organ izat iolla Il'HRs was 'onisidered. nhese. board., would represenlt thle tiecutives, ii (1) [lie Office (ohf thle Secretary of

ibe \ir Force. (2) Headquoarlers Air lone. (C) Air Force Systemls Comimanid. (V) Air Force (LogisllcsComm11 ianid. a nd (5) all other miiajor comndli s not speci fica 1k cove red by thle other folir board.,,. These

I uiarcl would ide nt ify the high performlers within the groupl of execuiatves reviewed by each board. After

the bo4ardl decisionis were mnade, (tle appointing authorities (designated by the Secretary of tihe Air For'e)

toooili diis tribute lioniuses. based 4111 the recoi ienidaton s of their PR Bs.

lii- appiroachl was aielalli to thi,- Fiectiities R'oiri'es Board. Iliwt'itr. ITl 90-30t (81tJl 11984)ieloij Ihvi li Inpler oif hpptii, eligiblie pos-itions fronto 501 ptercent (the original qutota 1)e4'ifiedl iii the (SRA.)

lIt 2.1 Jer.'t'it. Thleii. thet Office of l'.rsonnel Mainagemeiit. ill ait'lemorandumil to lleads of I lelartllleits

aind \gi'ile.s dated 21 .Iiil% 19801. pro% iled Iiriber guidaincei wicht stated thiat 'ageil.' sliouli generall%

liiiil Iloises too 20) pttrtt'i of tin' eligible c'arver ThlIye. ii- meiiitralitdlt al-n limited the ntlilier

of1 e\eri'tkies e'ligibtle for boiiises of' I' to 20"(, ('cc Apijeiidix C for at i'oji of tileit, )1 of tie

iniiioraiiiiiii). rrlefo~(r. ill order toi elisurt' that v'iv'r ev-\t'ttti vi wouild ha'. ail equal ojijitriunit% to

rer~tli'e tile- llaimiuli aiiiwaile bontis while maintainling tlt-i iteiessar% dece'ntraliz.ation. the KEt.'uiie

Hf-oorcitn- Bonard dec'iided to add tilt- Ce>ntralI PRB as a si ih board. Un der tlli , new 1111figurnitiii i. t ilt- five

oprpiaizatiiial boards woliuld iflr-ard their nomniiation~s to the Cenitral PRB1.

Tilt, Stcri'ar of it- \ ir 'opro-e pvveifiivil tlilt, inieiber-iiij ofi 1lit ( :chlrad NI 11 t- lii elisliri tilet-ilt-i

liiniig varv'.r stliir .''.t'tIi'.e. Th i-f1114'ji tti of tihe bolard i is tare'r SJFS imeiiiber fromii lthe O lfire il* Ilil(.

Sicrelan'.o iitle %ir Force. Mti'iihur~hill al-i? ipcligt- a varver t'i''ii.0ie from~i alliiht' agt'llti 14i illlii/

1811 it)i pro%. itli' riaxiilllrl mitiagsiiieitt rep1 ri'-i'iiationl. Th'ie liii oirganlizationll Intartl- are rin-eitted Ii'\

'iii'r tareer e'.tcutiv.es. nilareer t'\t'(iti's . (or general officers oiln I Cettral 11111. 'flu5 miix Of

ilidividlials i- believed Ito provide' tilt- inno-I oltjecti e. 1un biased. aiid represeillativi' llltl Iershl io-sllle.

Eachi orgainizatioiial I'HH mua% norlliflal. (lIF:1) to3 e 1in.' #If the exei'git'e, it considevr- for at honus.

%I livev i'it'iti.s nominiiatd b% ifi rganizational hoards art' vonl-idire1 I)% lii Ct'tiral Pi'R. 'Ilie- Central

Iwanil ranks- iii. i'\eviii'e sit as ip v'iiru' ia'.iiri i'quit in awardinig itithities It) liii ito-I ilisu'r'ing

t'\t't'Ities. and4 re*c'ommendsii'l- lit 201 litrt't 'il the icartver SE:S tiinihtr- for aI loriu'. Sitnce the rating

rentlered hti t-e t'ief'tikes 5ii'riisitr was onk' ai iiiitial rating, tihe lull also rtecommhed,'l fintal oiii 'tai

ouririnaine ratings Fir all career SE'S ui'lllliirs. lThe recommiitenidedi boil dill raliig are thi'i it) ie

$etni'tar'. of tilt- \ir iiiorti lfir final dt'ivriiiiiialii,i.

4SH V\% hl. li1h 11o CS reqiuiredl ifll 1the S1K %S hie iilliii Iter I 4-lerir 1979. 'iFJII "a ,,,Ilasked III piartiipate Ill thre lelr iiell' lt, appiraisal ~lt~r ut,! Marchr 1979i. ITherefore. ill less thall

Illiiliiii.. tli#- Lalirbralior% had io dievelo lilt % r~ sirm ari tihe training. test arid iriridilN ihe s~stemi d fie

(rahilng. tralii the em-civ'' land their srrpvrvr-nrs. and operalimall imlpleiririth lii s tvill.

Tl'h -rr11pri jnro0 inled tol %F11111,l. i all ln i-s nof 'Ir Force ilia liage lilt-it1. litiiidiing ii. I )ireetor (if4 k~iliarl lVersoniie arid the Air Force I liil Seire Rilefoirmr Act \ nrking G roli. %a, outhiaridirg. Sliiilor

o-i'-itivke- mid getirral oicvr %inrt it% ailahle at all -tagv, of development li virinrv lif apibtroijrialf' '5 siin

%%I nlelk'erb'n and that hlere sa at 'eliig oif imokileiiieii (Iii (lit, part of the ewiiitill es andI iilicr leeilmlaniagemienrt i tlilc design of'lit-e SEAS.

l iili-ioii tc lit- emeclivs ill the rirvelopirrew~ of lit-e -s'eIv prosedl to Ie( evrerieI iliporlarit.

I hi ri 1ig [Ito- actunal imi jeiie Itat onl p a'. t(lie- ini ridurals wvho' fpan iipa ted ilil t- SE.A S d evelopmienltavt lI tipprned the' sltemr bY ve\pl aihng the ratijonllhe fr tlite varions aspects of' tilt- SE AS to their

ll 'brs. \% ithl 1t this suppljort. i rp lemiie ntatim (if the svstem ilitiia% have bieer n verted b%~ pansiv oe(r active

iiibtir imriritaril conisiderationi ill Ie imrplrlriin4ritatiriri 1JlIN' 'A ib ll b,..ll fS lo igh 115 rIliraibigerit1 .ipporit. Sinice rliaiiagerineii %%a- incliideril i t- dr'eripmrrrt. thleN haud at %estel iiiterest '111

111Cs tii dliii Vieri' -ri1i1iuirlivi. Als.ialfetier frifin lie IDepirts lssistai Sncrrtars #I) liet Air Force cobwU iihati hber~omriel IbrliiV snijijortirig lit the \ ne s i emi %%as readl at everv SE.AS trajining e-bl.Iietr

111;14e it Ovle a t- sy'steml wvas inaw d hi lass. approved biy dire Office of' Personneil Maiiageiieii. arid

,iillliobrl hp% fte Svwrvlar O b~te Air Forc. Suppoiirt of' t his hal iire precludnedf r*\l'ni tisi froiim a-ilrii, ig

Oil iii'5 - Maii i as.oiiietlilig that wouiild go awas . criddii h ignioredl. (or chaniged at miill.

lierpierariroral traiinig sv-i-or- al-ri pros nm1 a iniier ofi impjortart iiisighii. lii all ther trainiiigdl-il- ie inure arnurai perforintiir 1 lant- sienrfeveloiied Alieii the suipervisor arid eu-rcrtiie %onrked

tiigotller. rini1gl lev-clv pefre dmrb.dring thle first half of [lte training sess-ion. lilne

addedir inpuiit arnd wiis* of rorinn irn biriel h\ the tiprvrsisor inhlancedr t lie pierfoirmancei plandlseln 1 liliil Proress. Somie sr aior r'w'rrive~ we'rv uniable ito iiir sith their -opens isor- wilul criili not

ariiatel sjiet-4% their -iipvirvisnir- i\p~itvatirii, and %vu' tierefor. ntil inble rhrrjei anlriii~ oke

pirr'livane lan ruiing thei training -(-sibii.

Sr. - ither %tr irtijortat les-(ii- Siere Iarrieul fromi Oil, traininig. Thie Iranting wa- rfr~ignnd it)

uriinrririze thee Jiantibifiaii timer rei'rniurou rib -h unpen rs r.hirsr. sromre rrf' the itighn ranikig iiiar%~ljiss~sfelt that the\ ufidnlot receiveifuul'ri infiornatioii Ili hiartirillahi iffeitis ei1 ill tiw 5E AS. Ill

liet lilirI'. trailirig -liriild be rr-Igined sro as to pirovider all jinticiparis the -anne iiliiriiatirii. Tiis Vill

rinriiimoe dii ;iirrepirii that aill\ one iniviiduial rir groii is ihitaiiiiiig iiipuirtaii kdrnfirrtiin to %%hirin

F ut oolier. arei ii riirv%.

I ialligtic and f'edriak Ili Ine traiiig piroidedil iiiirtailt iiil.ignt- itn tI \I t~ ic apphraisal lriniii1

.im-lit s flri~n esd aw allinrrhlniatb. NIo-I o Ow te rmtives mnid ilinir trijlsi-or- fll tlie 1iirmr boIdinii

Ill i lrntil4 ti iit lgli' page Sr liili ailliss rg thl 'iiiti- i ee-ri.r tip aiirr-. Oiwi s iilr varIvt\ 40i joblitnlibrsiit lii app~rai~ikig -iim(Siiie.The moirrI rloow% ire Nrmi apipnro6N1141 te a lnik -ib ibf paper.

lilt- iiiire aclbilabtili it appeiaredi 14i lbe. The1 final ajiprai~ai floi~n is irr-rirle - ; is Iovlil\ V.

\il b-b iai jiart nil an-, (Ii \iiain -' tiii it sill derIqsbIbIvrl. iiii-gong 4-illllnlrtiinn anid .irnaIV .. jIllall.

Tninllv Irssri tir si ur i rru tril lle inInllin 11i11i liii iijinaeil ilitisiiie.. rl\ t1ll v -' tiir livii

.iihnrjian\ iii' tliri Irfnrrnirarlni. plai- -Ilintihl loti rlti-rninir. EV ir\ larri of tlil S~K VS that nalit liv cnieiuki oi,

1. 1, eiierl. thati all. .qeprae..iil -Ivl btei lesignied to inieorp)uralle apopropriate cliaccge.~ -AIiviieler

.ijillroliirl'ile. F l.itl. iiiii kiii'. tial Ilieir comriinl-. iiggeslIions. anid reqworeimemit are loeeing

iupi-i(Iid whlen chlnigi are miiale illo iiiroiv i t- s, leli. ' 1 ,1 ro 1 riale up~date to tll- sN'tIcIl 11a11 aI'o hielpu

tli eoemimiiie' iiifflmieoi. It Is v\remieI. i liio~rtWIigi tat (114e users. (ft, S'S fierm.iiiiel. pereu'.t e Own si *tI'ii a-

lice \ir liprre Seiiior I:~cci'.e Ap~praisal S%,terii (SEAS) iiii'it botll flte iiileiit ,iiiqflit- litter of ftll'

lii Serv.ice liefeermit ill' 10178. l]Ii.- SFIAS lorn'.des e''veeliae aii uelio1eiirteiii'. Iii vlsii with thevir-1a1,er'.is4r- and to specil'% flt- peerrmiance re( 1 iirenieiii for flt- u ieomiiig ratii ig pieriod. %I 4-s (1iii'

r're'iiieowi muscet Ili- e' 'igiiatee as critical. \1 ft- enid ofi tic app~raisal pevriod, Ihe supewrvisoir will rats, thnei''e'etite.e aod provide %writte'. obljecti'.i jlis~t i ica iori for thei inilial rating. Thie appraisals will bielomr'. dieed to (ifie ill' Five iergaiiizatiiiriir iiIJ-. Thiese boards w..ill .ileviut he till 311"' of flit- e'xeeti'.es basedeuii 1 erfiirmuaine. Thew app~raisal. of ire-c' inil.idicak. will hleii Ili- con'idered l Ii.leeicriral PIIH. and thelie-i performiers ii flt-e \ir Force (alpro\imiatu-I'. 211"( of the exeutilve ill flit- 'ir Fire) will lieriecomi tiiienue to flit- Secrear oif ili A.ir Foerce for liintise,.

The aipihraisai -'.lv -tern l'.eiped for \ir Force eciior ev-ciies is-a iiajor. initial lic~ inl providing anlohijecti'e s.' 411 -iiii or niea'iriieg e\eiuiiive p.'rformianue'. iThe initial i'edhaek iniiuiate that iio-te'.eenti'.- find it diffinlt ito state their ri'sponiilit ies objuitivel'.. Howev'er. after tlire' have '.%ork;-d wihflie- -\ 'ilee fr a while, thev 1 rocves~ should biecomte r'iiibstaIIIiahl' easier. Thle Li''. tolii he SES i. that itprovides an opiportuinity 14) eprv~s reasonrable e'.petaieiii, for thel appiraisal pieriod l '.%hilu' mcaintainiiig

* efiiccflqe\ihiliI'. io inucorpiorate' re-cogit iisi of ierfori ve oni unatliiiiateul reqiiriiieii I.

lii oirder for flte SEA.S to iairtaiii it- iisefulnress. viahtilit'.. arid credihilit-, . it i., recommiiendedl that fteffive (of tie \ir Fort-e D irertor if C ivilian liersoiriel enlsure that thic f'ollo'.'iiug steps hbe taken:

1.alline% '. iei,ers iiist receive adequate traininig ujenl iteriiig tiie SES.

2. fi-% stiiervisuir, of' SES iin'iier mo rst recivo' ad(leqiate train lug.

:3. Iraiiniig shu~ld heo eoutiiuuall% iilidaied toi rueei ile inieeds of' the iiieiiier. (ol te' 51K a.d tue~rsillerv i-or-.

1. thel 51 V '.u lioigild hei oiliticicalh'. Iili n iiu l lip detect,4 anl\ s'. -teruatie uli-ir.:uiuatliiui duel/orel ivoiec c-.

5.a Iracking -~iri-luocld be deveulopedl tii eu-unr lie ierhininaioii uiaci are developi1iie adi

re''. iieil at i lee heegiur i i l' oftlit- rainig pceriodu.

6i. 'lie- IhII 1prce-d'ures. mosut lie moinitored and rev'ised to enscire ila~iintom olujcii'.i'.

T. reqired chiaige, %innild i' imleeiledi in a lintiel\. manner. andu

It. mebeher~ofiv th E5KManul their .upensrs. e must Ill, gi'. en accuiratean a ml el\ Ifeedliack that w..illu---II ill inparticilpaiiirg e'ffe'ctiv.e'I ill flte SF \S.

I'ic4, 1,oiu-io liu :1ciple'nie'iiaieii eefti1' re coiiiiiviei is e's-eiltiai if the SEK \S i- to peerformiehe ie ll'. tl fioii for wic h it Iva. e-igneel.

10

SiK10i1 1Ait IlT1\ E APRAI SAL. SYST1EM

P'ubl ic Law 95- U-) t

lTI I 1 oI I C I I~ Sv~o lifr %c I (C SH A) Sv -tin 1012 estalislhes *a Sen ir E'.xecu tiv~e ServicetoI 4,1-:;r, that the em-cotive mniaagement of [he* Cofverninvtiii o the United States is. respons.ive to thle

114Cl4. poll. n'.. andl goals of thle N at fit atiid fithlerwise is f f liet- highest quaiIN." Secin 45 requires eaviiagcfif . tii acc ordaoc t A e i iJards e-tabhIish. d 1h ' i.[he Office of Personnel Manage ijenlt, to dev elop oneOr more performiianice appra isal I ste itt des ignied to actromp ,1is h thle followig

I Permijt ft, accurate eia liat ion of performnc e iii any posit ion on the bas is of'criteria which are related to ft- position and] which specify the critical elements (oflte pIositioni.

2. Provide for sytl apaJpraisals (If performance (If senlior execultives.

:3. Encourage ext-ellenre ini performance by senior execultives.

1. P rov ide a biasi s for makLing el1igi hi itN dleteriinat ions for retention in the Sen iorExecutive Service anid for Senior Execitikq Serve pe~rfoirmnce awiardis.

Thie (SH A alsvo reqires that the agenc performiiance#' appraisal e nsuares the follo(w ing:

I . (o fr before ft- etgion ig of each rating period. perfortiance requni remten ts for

each senlior # xef ltke i lt- ageinc) are estali shled ill foisid tat ion with it- ienieo rexecuit iv e and(011 cmil a ted to the senlor e'xecive.

2. % ritten appraisals of performance are based on the individual aitd organizational

performiance reqiremtents estab~lished for the rating period i nvoilved.

3i. Eachi senior executlk in iite agenc% is provided a copy of thle appraisal andrati ng ...avid ks give'n aii opportuniity to respofnd in writing and have the rating

reviewed h-, an emiployee in a highter executive level ill the agency before theratinig Ileconies final.

The CSR A ftirther specifies the following:

I ach pterformiance appraisal systemii shall protiside for alnnial suiiiiary ratings oif

levels oIf perfosrmanfe as follows:

a. O ne fir mo~fre ft1 II sliffess iii level's.

li. A miiiimall' sat isfactorv level.

4.Anu i i.aisif actory level.

2. Eac h performa nce a ppra is~al si sterii shall 1irfAide that -

a. any a ppra isalI anti ani rating un de r such1 systemi -

(1) Arf miade oll after review and e,,aItialiofl b1 a performance reviewboard.

(2) Are conidiicted at least annuall).

17

() lin life-' case of aI career appointee. tiiaV not he Made' Within 121) days,a fter d ie' beg inintg (of' a ntew Presi dent ialI adinnist ratitoll: antd

(a) ktre based on performnce doto in tg a performncfle a ppraisal

(bi) knyl career appotintee' receiving a rating at ao oif te ftill%sti'cessfid leIcvels. .. ma) bet gi vt' a pet'rformncrie a ward.

(c) .Xv senior '\'ectitket ret'iing an utisatisfaetor'. rating. halllie reass igne'd or tra iit' rrt'd wit hin itflieSell br 1 tcatiSe.er i

or remtovetd fron thIle Se nior E secn te Serv let. lbut anii se io rexecutive w ho rece'ivyes two tansa, isfat'tory ratings in an% perioid(if 5 tonseto tivi' yea rs sitall lie remioved fromnt ilit Seio rl'.etitive Service.

(ii) Any senlion extcu tivye whio twice- in any pe riodt of 3 tin seentivyears receives less tihan fully succ'essful ratings shll bt' rentovedfrom thet Senior Executive Service.

3. a. Each agency shall establish... one or more pierformntrce review hoards. asappropriate. It is the function of the hoards to make reconmnendationts to the'appropriate appointing authority of the agency relating to the performanceof senior executives in the agency.

1). The supervising offitial of the senior executive shall provide to theperformance review hoard. an initial appraisal of the senior executive'sperformance. Before making any recommendation with respect to tiet seniortexeeutivte. the hoard shall review any response by the senior executive to theinitial appraisal anid conduct suchi further review as the hoard findsnecessary.

c. Performiante appraisals... with respect to any senior executive shall be madeby the appttotinrg authority only after considering the retomnmendat ions I)he pterforinte' review board with respect to such seior exettmet...

d. Members of penformancte review hoards shall lie appointed in such a manneras to assure consistency. stability. and objectivity in performance appraisal..

Office of Personniel Management (OPM) G;uidance

l it Spt't(ia Ii Bulefn :11. FPM Bualletitt 9)20-9 the Office of PersonnelManaget'ietrt provided further guidancte on SES Performance Review Boards as

Membtlershipt Guidane

~~~~~I . Each pterforitiane rte% itw bttoard in ani agt'n c shtu I -4 fta t tlrte t r mo trte membeiii'rsappo intted b he hteltad tof tit' agt'nt' or hi a nitt ttr offiti a iomr g rou p....

2. 'lit siuperv istry offic 'ial wb litmtatde the' initia I aplltrai salI of' an vet'citt ivi' sitti i d ntitt a imembeft'r tof Ih lit' coni tt s ide trintg te atpiltraisal o f fiat e Scti i e. Iltiwt'vt'r. tis

18

so.,etri,, m.i 1 h1 . ,.ui,'w Io allpear l il re lb,* NIf as it 4on du,4-s filrdler

:. Memlr- of a IMilt ,., aihmlo.e all I% lI"" of l:,.ldrl es\.utive' from witli, antd

ouill'.id" the ageltf\ . I ml i iduak ,% 4 ,o art, lut ldural ,.mployees Imay' also servt i1

1'l1- (,.g.. orf-ugse- ," a iounf.iou l a.o,,iaion). Ceiiralls . PHIm111.111r- -Iuuhuld iu in i tititumi. tti i% alent to SES posititons. Mem bers can ttitcllJtd

11lilar, officer., and , nc'art.etr oliciaIs. ill when a career appointee is being

ap)praised,. a maiorilis of Ihe t- 1 mi it hi, care'r SFS appointees.

I. lAI-pt where it is imlpossible btamise of the levl of the position %itlilt lilt-

agency, the executmve iITusl have the opportunity to have fhe appraisal re% ie ,ed by

a higher level emtecutive within i the agenc i. This higher level e,\e.nlive ,eed not be

a career SFS appointe...

5. Fe-deral members of the PRH should have current fullN succssful performance

ratings.., and not he. a direct stibordinate of the executive whose performance isunder revie%.

Guidance on PRB Functions

I. Eact PRB reviews and evaluates the initial appraial and rating by the seniorexvecutive*5 supervisor ...

2. A PRB can review any aspect of the appraisal process ...

3. A PRB should make a written recommendation concerning an exectiive's

appraisal and rating. . . No appraisal or rating is final, until the appointing

authority takes final action.

k. PRB is also responsible for making recommendations to the appointing

authority concerning individual awards to be granted to fully successful career

appointees ...

19i

I1'', \)I \ It: SEII, it IElIP III ,IO RrAI'ItN

Wll. ., a Il{s. iberg, S. Io,'l1 lilt i in asable ohjlctis f'or manager perl'irnne" a ppraisaI. Persounli.Io.i,,,i. Nm,,,her I1978. 57. 6( 6-02) +.

Beer, M., Huh, R., Dawson, J. A.. McCaa, B. B., & Kavanagh, M. J. \ perfornance ,nanagemeitS-le'n, Ie'.earc'. design, inlrdtic'ionI and i valiiation. I'ersmn el 'sychtdfgy. 1978. 31. 515-535.

( l0 I Scrviee el'otri \, of 1978 PIlici' I.a 95-151,

I )rmker. I'. 'li' practce / niaiagemhvto. New N ork: Ilarper. 1954.

Ginsburg. S. G. Fhe "'",V t - Evaluating execr'tive talent and itlenltial. PersonnelJur.ieI. April 1)70.55. 168-169+.

Judd, H. L. Appraising exeutive ierformance. (In M. Rock (Ed.). Hndbtook of wage (still salarydIniitsj.slrotion. Nest Vork: \fi'(raw-lill. 1972.

Kontlz. I. 114m aein alppraisal of iatnagers lbe made effeel ve. S. A. . /i.an,',ed Ilanag,n enl Jou rnal.\pril 1973. 38. 2. 11-21.

Newland. (C. A. P1erformance appraisal of iiiIih administralion: Aecur, inig I %hic.h ,rileria? Publir',ersogne ilb inagenent . Sept ein er - (Ohober. 1979. 8. 2(4 -3.

Norton. S. D. The empirical and content vali(diIN of assessnnt centers versus iraditional methods forir.diling niuamagerial sni'es..4. dentn of Wa'sngenti Reriew. 1977. 2. 142-453.

Norton, S. D.. Balloun, J. L., & Koustantinovich, B. Tie Sotndness of supervisor% ratings as predictorsof managerial success. Personnel Psvchohogv. in press.

Odiorne. G. S. .lnaugetient bY objectives. Belmont. California: Pitman Publishing Corporation. 1965.

'eres. S. H. Perfortance dimensions of .srpervisory positions. Perstonel IsYcioiogi. 1962. 15. 105-410.

Rceser. C. Em,'iuiive performaice appraisal - The view froii the top. Personnel Journal. January 1)75.5 t. 12-,14)+.

Tosi. I. L.. & ('arrol, S. Mfaniagemen by objectives. Persionnel .hldministrarItie. ] 970. 33. t--148.

Zimmer. T. W., & Stroh. T. F. Preparing Managers for iperformance appraisal. . A. it. Idivn,,ri dlhznagetnent .Iumrrnal. Jisl 1971. 39.3. 30-12.

SeleclionI Boards

Fairbank. B. A.. & Farahmand. I). V. The )'reilonttint o" ii set to ./nttorN fr iting fun'timin., find

litndards wilhin i, t, I ili Shtts lir loree meril pay iitiayimal ,.SSftrfli. \n1 npillisi'ud report lo 1t,\ir Ioru linnuan .sonrce,- Lalnoraiir, muller conitract 1:1 0t89-79-( C-11 .. I'e ,ruarN 1980E.

Stumpf. S. A.. Zaid, 1). E.. & Freedman. R. D. I Designing gronups for ju,,ldgimental flo'iiiil-. fAidieti ijiiiiagi'ie t RIevi,'w. 1929. t.. 589-6(1.

Towsend. (. E. In.-id. a pronlion ,board. ,irnmant. 19801. 21,. 1 1-18.

Implementation

Rogers, E. M.. A Shoemaker, G. G. (o,,nm tnication of Itioiniiti,,ns. \ew No, rk: The Fre Press. 1971.

2)

lPI'iA ~ ~ \ \1.1 , i ~UA i I l'W SINII II vr.I ,11

Thei v\JperittlPt %%as de.igiied ltp pip-tire that flit- nivipplirs ()Ithle "intick" bopard riu% iievid flit- sim- 22appajhai vacl (eat%d~. Thesep app~rai~als %%vrv ditvided iototi, pir ()ii la~ pine, set I vias com~iposedI (f sixappris~als withi hispanic surlialote. "It 2 via cioposed of sl\ appraisals ihi Aniglo inmes, set 3 va

voIi osedl of fi e a ppra ~a Is with feiipale na in es. and sv[ I via., composed of five appraisals with i lale

1w pies. ( lit dai 2. 1 he i a Iies viere rev ersed so Ilhat set 1 was poitptpised oif sit~.~ Atglo.s. set 2 was '(Pillposedl of,i I I is pais se 1 3 %as 1votnp .d of fiv pt alIe?.. at (I set I t was niiti psed of1 five fp in a Ilvs. Ta I I (A1 I)roii Ies

a listIlig of flte mean st-ores anid standard de-viations for thle %~ariows groups.

Table CLi Comparison (of' Meanis and Standard [Deviationsof Four Sets of Appraisal Scores by Day, Ethic Group, and Sex

DiiI Di 2

111) N X SD)

Set I ispaiiiic 0 5.87 .885 A nglo 6 -).72 .542Set 2 Anlglo Ii (o.28 .0i70 Hispanic 0 .5.54 . t56Set 3 Female 5 0.27 .080 Miale 5 5.83 .782Set I. Male- 5 o.9.5 .7(11 Fenmale 5 0.413 .895

The results of the two days were voinbin ed to iniii ii iize the effects of pract ice a rid othle r smiid r%intertiening variables. The results are' soinarized in Table C2.

Table (:2. Comparison of Mean Scores of Appraisalsby Ethnic G;roup and Sex'

Mean SD N t df

Xnglo 0.00) .651 12 1.00* 2Ilispanlic 5.71 .602 12liale 0.39 .90 10 OA.1 18Femnale 6.35 .757 10

P i i p rtpa r. jprtrir pppp. pi~i laii i n

*Nip -igiiipami lififfere~ii ali1 < .5

21

II'PVA.I)I\ D): St ; ,IKST' IRIEFIN(; FORl PIUI MEMBEIiRiS

Welcome:

(ins.ert flure )f biiar( otemb er) Welcomie to (intsert bwa'tu,,i)

Purpose:

Thell purpose of this performance Review Board is to assure Ihe vonsrnstency. stability. andl oljectivitNof the Senior Executive Appraisal System by providing recominidat ions ito the %ppointing Atiori1t.(insert mime#of ..1,intiizg 411thorjt ' ). This board shall recommitend~ a final rating and a liomn. amount foreach setnior e xeciive coniode red.

Authority:

This board is convened puiruant to the requirements of Title Four. Sec*tion 4,115 (of (te C ivil ServiceReforin Act anid Air Force Regulation W1-2 (Executive Assignmenmt) subehapter 0.

Task:

Youir jh is to evaluate (insert number here) senior em-cuitves to deterinine which should get a bonuis.I our budget is (insert amount here). However youj art, not required to distribute the entire amount. The.M~aximmin nilier of executives eligible for a bonuis is (insert numb er here). Onve again, it is important tosir,% that it is not necessary to distribute bonuses to all eligibles. It is more iportant that Nou use %okirexperience atid jigmuent to distribute the tmoney wisely.

Board Schedule:

Tme scheduile for this performance Review Boamrd wui be as follows. Yotu %ill receive a detailedbriefing which specifies the procedures to he used by this board. .At the conclusion of the biriefing. you%ill participmae in a trial run. The purpose of the trial ruin is to provide you a preview of the appraisals Yottwill be evaluating and the procedures y'ou will be uising. The trial run will be discussed in more detaillater. After the trial rin. you will he sc-oring actual Senior Executive Appraisals for the record. This

prot-eumre will contintie until all appraisals are scored and all differences resolved. The Board SecretarN%ill thiei compute the fin~al order of mnerit and bonuis aniounts ba.,ed on your scores. Yoi will then specify

ur recin "it tided rating. Once the l is t is finalized. it will he senlt to the A ppoinmt ing Aul thon hN as t(het

recoinnmendation of this PHR.

Board Organization:

The majority of tie miemblers on each PRB are- (areer SES personnel. However, the systemn wasdesigned to incorporate part ici jia ion liv non-ca reer. iiiar%. mimiorit . anid femnale personinel. AllP'erformance Review Boards. except the one at Air Fore Systetos Comutmanmd. will have five nieibers-apresidenit and four patnel membhers. The AFSC board will have nine members-a president and two

panels, with each panel having fouir members.

Eligibility Criteria:

lIn order for Seniior Eseenti 1','5 to lbe el1igible11 for a bonts t hey intimst lie 'a ree r imlembi ers of' tle NS .The exectit i vis mu lst have rece ive d an in it ial rating front the ir stiperv isor of FtimlI S~m ce'"f Il. Fcel .litm.or I ). standin 1g: amid the,. rimi-1 thiavye beeni il t he si stii for at least I 21 cda -.

.22

;.1 4 4I 'I 44 a' I 41 , 1 1,,- r-' le %% 1iig I ta I I I'.4 4 i ( , ),,I it, nt4 I i t. ( h)

P.- tI I44 a4.11 4'1 . v I I.I I ic I4~Il44.I 1 444. llllam sI i g. II 0if idr tip44 o id*''-'e sioe co4. i44Il'. and

-lali1a I'd1i.4I4.to,1. 1i, I 144444 iIti i ' iI.d I444 It Jln 444 1411i 41' 41414"- a - I- 44ic.i4n/I'rograin4 illhi1ch1 1114. ew, \444i''- 'It1411tl1id r11 1 4*i44 I.414'.c .v it I 14rg-.4144, tollv endca% 4'4a'.r- foJr vo hic41 1114''%

.ir,* lo I4a~ioiI i'..IoI It dle. li-I -lip.r'. -..r. or ther 14t.44.ig.'tz.'i r4'-ponsib.41444114'. all( I

t441' - i itj i it- 4tIa I 41 er14 li, '\'4t "144w4414 I -i -(t I I t4'4144444t44Itt'i loo,4~t Icriit-d fr var. irfomn area.4pr'.'44'4

I'vi'o.rmtanc Hqurvnvl I41II.I.'4tt. l4444i 141' % .iIij. it '. ic444 li4- lt44 (of rv.'ho t I-if(ll- c44 1414444 %i' dwi. wwoi.%' vhIi.iog ic ratinli 44ri4o. Fain 1.. r144rt44a41.4' j I i-I ot l .444t4 at Iva.4 one44 ,riti.,i rc'4144r4'1444'44. %. criticalret I iirvii it14 -i iI.de'i ne.d a- atn% rl'441 Ili i v mvti I4(f1 li.' job4 '.4 I441 ich iuIlvit ~I' I * , i 44rlanIt dial inlade*q iaI,'

I~-l(j-a ice of oui'...ighi' ace';.abi lovi44rforman444 I it oIlher a~j44'lls ofi Iii job1 . *'lh,- j.4'rform4anf..'re~ill-vill4l.'ll4 art. al., w'..'ghled to indi 1441a14 ilt,'i, relati44' prlr.t (or ilprlralt44. 11'I 4444 (41 ofi, '.'..'igis41441-1 e'ilitaI 111). The, etaalim144 14r44'. e 414( il t- super'.i-4r w'. rooii ofti- 4 a ratlug (if I tis.ali'laclor'.

a t rail ral .1g. II.. ralinig 1frm ldvl b%' the. upe~r'.i-or .14 1444 inal ratioig. Nm '.'. I c r.'citi t441t4 Iing 4141'uI'a 4th inlg Illth 11414 44 apontn a111111% '4 ' tltti 110Iic.tloo4 k4' lilt- ul i-r for lilt- raluigs' ll''14

cril4 i. andl !4ri4ril4% we..ightl4. (if th pe4rl4rtalll4' rt'qllirvillel'rtt along '.' lit Ileir ralilg.

E~'.aIuatijon Process:

144 o.rder to effecli~t i m bc' rtl4Ijelki-I'. 4'.aIl4alit,' 414 4 c'44i'.4'. each .~ .)'411 Nou 4(11'. im lo~dalI'. sco4re

v.441 app4Iraisal. Thit'-. imikidual sco44 ~res Atotald Ie4rli- d l d'4Iin '.'. 114441 aln' discusiont 144''.'.'4' or amon)1g

IIi- % i '.rimislit IIa rd i444i ie iI er,. Iitt', bouard1 14r4'.144'41 hoold414 141.4 '44444 each app~rai-aI lil order4'l to Ili

)ftit#- pe4rillrmlanlt of 4' e'\4'44411'. rathelr tOwan Iils fir he4r po(li 144. )~ 4444 hould4 ct414"1d4'r the.

ji~liru~i secti"o'4 i4f' th14 f'orh4. 1it -444444 inst4ance4s. 1144' plaiil~t performlance4 re4'4144 is't4I 4441' be4 so4

d1i'441 fill i 'r4'I% meet4'ing thvi'44 %.'44i141 be it greate14r :4'.4~~11 t hantt1444 144 ralf4t 14- 444.l.II44ing 144rfollier- 4'x.'.ii. Some c'444 riI4'ria Noll4 -hoo4.14 4 444sidtT%iit' '.:14-torintg 114 apptrais.alar4' (af) th' 14''.4' of* 4lt

re.1 uii'ti- If% lilt- e'\'44t'.4 144 444444 flic. 1 .'rhrma4ct r4'4144r4'ttt4' and a(44 comp4tli~li Ilic. r'-44I1- ind1ic'1le4. (b)

ii 14114441441l of* pe4rson41al alti on44 re~jllired 14) Ilatiage'n moit1tltfljor 1114 res4ill. andt (c) th' poten4tili for gail

for 141'- (of 4rganIizatiilI tlr p4'r.44a I eslig4' i n144rcn I i Ow44 pe'rm4ance re'qi remts'rl. A f'rm

( flt 144441I) is "Iipplied4 fo4r '..44r list . o 14414 1144'ial the v'.'4444'e a4ginst th1ese crill4i..li' form iiil4'41414'4l its all aid4. but1 '.'44 lived'4 not4 44s-' it If yhhu 4do not4 wih it) 4. ( Once again). it is' impat44r144 4o -Ire.' that

4444r mirih~e~. jod4g144'41. and1( 4'\pe4rienrce art' li1t- mo4(st i44 144rlanI4 facto0rs ill dlerm'4itinIg Ole4 44'.4r11I sco4re'.

osvo4ritig Scale:

\," m-i444441444'4 .arli.'r. '.4fli#44a ,4 i" , r4'4'4tm14t4444 -ii1or 4'\ccu44ives' for li444444.4 II'\ aligning I144'In ill a1

relI111'.4 44r4I4'4o .. 14ril. I o ill do41 414li- I)\ iiig thue svlorilig -c-all' o441 this4.11414 ( '4tlacivn,444 2). ra1144'r 111110

If% 14oi 4444rc miiialed. rauukiiig 1 ,roj..'ulir. A 1 4144 can ev. the4 sc(ale rarige's fromu I t14 vi'' ll 'Al hole444414t'lr 1444remeti'444. ) ot limi 'i i4 I .ahiv '.4141 ' 4f ive. a.' \oi44r as4-.'''1l4'4t qi lilt- ave'4ral 44'4II'4

acii4vemo44'41. Those4 civa1rI'. ah.,.' .' 1'4'l.4ge hoidd41 rvicH'.. a sco4re' ill di44 highe.r rililgI 14114 41444.4 below,.'

ia'.tg. .imild14 rect-k' i'.' -core Ii the4 lime4r ralig.'. A'. 14114 411' a4114 simlilar' sco4ring 4hi4 114'. ' 14ro4'4'1)

lhmseil.4'I' m'" 41'. Nearsi' 4 1". 4144' majo~r 1 ilfaI '.444 liv'ed( 4(1 avo4id is cenrtral 111a 4isilig (pill\ 44444

fir thlree ,I...'.l'. r4'1a4'41 -coIre', lowr iP-1 of*4' te appraisals. 144 essence444. a bo4ard1 memb'4l, "h1o4 4144' Illi.I144-o(4444'' i4 co444"41144 i44 4144' -44ping~f 14r444' an4d4 i def'[errinlg hlis 444r her 4I4'4i.i41 mat1king ,444i04ronl t4o 144olic.r boa,1rd membeIIJr,.

.1 .3

SO Iitec e-atl -ItleilIcra i s I -i ci or-1 ION d ii 1611 boardl. doIe., at v ii,iaIIN ot cii i lireci-c', i it sccr

1 4- % c it it citeio ier, 'Ille-" - oiciicr clilcrc-ii- .irv cx~joricl acid app~rcclriaie'. lccv'c'tr. wlieili".ii lce-

ellcr'kelIPIA44-1i IIIV -iCoie- 4#1 ic icc% Icecbardi c'inibcers i gyraiv'r h iid lbirfi' lpoi iit s. a split lid occurre-dadi I1che appraisal ti ist lot- rv~core'cl. a ItIvr rfelevani d Iiscus--ieii. bcI lit- ol etre bocard . )o(i4- all the scori ng acidr"'.ring liga' cc b-v ii cmplitc'l. flt- bouardl -rviar,. (insc'rI 11cifcic' ) %sill coinitilt* tiii averagoe icort-o

each ci-xi-iitv.i This avvragqc bouardi -cci %fill liv' ui,.etlo rank lit- vxcxi\ec t- ;Icl( (t-wroiil Ilii urder ofl

ivcrit. Once [lie' cirerocf ineril is asc-riaiic'c. lilt board will list, it to) dctc'rciici % huh %~iii~e ill gi-t a

liciiios. If there- c. noi ..citalt. oclv iccic cciicci pouini. flt- boarud ua awr il tio ( iisrt numbe,(r herr,)v\,,i'W ili'.i a bonulis. IfItwo) or ciirv iindividuals arc- lt-ed at ilii pocint deltcriciiid It% the- board t4 ic IIIth

ajppropcriate- cuciolf point, then thic te iciast hbe hrokecci. lit thIis ci rickiistaitce. the- packet io-mie-s. uci r tlht-

di rection o it he- board prc'si drot will d iseciss the- ap~pra isalIs of lilt- cm -cu t ies iii iiv i-d andcc raink the.11 cc t

il4-einrc the finral I crder of' mii nt )c this I l~c asks a nc' conk plctd. this PiM will have- coil ltecl the-

elvaltiation proctess.

Presidtni" D~uties:

%fllIoligh 01u1 uc1c' I im here) as fliv boarda ri irsid#-ic is. nti go' cccrally coo ci c rec I a on iog icc eioii r citthe- boiard, we- sitrc i gli stiggi'sI that (n'r "hi.e t, toy-'' ic S/ce') JW r-ccocalli .c .crc all liIc app~rais i-a t ecsiocr a

lamiiia riit, withi each idiviilcal lciing c'cccciilc'n'c. Ilciwvvcr. ccc ccriach i'rckctcc'.lie' boiardl Im-sicle-ct

Irc'ulccirf-l it) scisi-ttict fcir at hboard ccicilcer- acid actiiallN -core- thi appraisal fccr lIce rccril. llc jcreideiitmiioit -core if tile' aliliraikal oft a bocard iieccclcr is lciing ccccsi'lc'rc'c or if lite sopcir% icr icr aI .cilccdiicaic oh ahoard itnc her i beinig coiusitilerd. 'lii is tic (c-cure thaat PHRl icuc'iilers are ccol recquire-d top score thevircc~ i aj pra isakI nor I hose' of the-ir sikpvirv iscrs aoi decci o 'es . h oar H jres iio is also ri-slcen si Iile fccrcli rtcini g the d iscuss iono cthle bca rcd %' eiw rc'soh ving scl its cir bre-aking an lt cs thIcat iiia% c'\i st at tie ctitoff

Imii. If a -iticatioci arises topluc'rc'Il th'BIt is. ulable toc resolkc a dispute. ven~ aftc'r leccgtlcN cisccti~sioii andci icierci reeiri og at emcpts I he-n it is fhIe rc'sponisi lilit* l o h4 oa rd pre-s ii l i icc re-cq ore the 1wcispiuedA

appcjra is-al usincg (isert "hcis" or 'Ice,'') ptcrsccna I knocit-ld gc. ix pc' nlie, anid j cdcginicci. .%it% (lee is ionc

icacli bd lice bocard president. in this circoinustance. will Ice ficcal.

If tIce- special case ariscs where octic bccard cniccclcc'r mid thie- boarcd pr#-ilc'cc arc' inc'ligihcle tco core a ca 1cjra i a . Ow ln the average score- cif ice' ri' ia incing lticric boa rcd civincers will hcv i -cd to detenic ilf dw't cexeccultic' merit scocci. Also. it Is ilc pnrucgaikc cif Icis Iccarlo icucsce an, acliicnal iicfcrcicaicc clc'ciiccdcccivi sar to 'i'tc'l 'acai a sccim 'ciaic-appraisal. Yo uca ci toIaeiliria

Ifisclls.icil "siti (inst'll cicinci Ivccr). Ice apcjcciciing acititirice tio vniscrc ccciiiiic icce'tv'- cc Icecircler of cccerit is liicalizc'c. the, Iciparil q-vcrvar\ will c'cscihcitc the' apcpropriat'lc oiici'-' cascc ccli it forimiula

apciprofii'cl fli t-c Fx'ciitivc i'e-cccrce-s Bocardl. \I'cr \ceci cc Ic ad iluc ce t4icv ii'c %' Ilii hicccci aciiccicii.licccr task %'ill lic' tic reccccmilicld a final ratinig ofl O ut-tacdicug. EmicIecc. icr Fcolk Scc--lcil. \ic v'.cuiktiviseciificg a final raficig cl Ouclstancciccg will lIe atithcrizvI~c a biciici cof t~i lip 20(1% cc his ccr lien accital hcasc

pay icc'nc'as all i-mccitiv %%Ico re'cciivs a fincal ratinig ofl hExccll'cc maN ro-eice- at hccci'. illc tic 15 "co Ici- orher hca~c pa~y. acid thci fcn~'itii ratc'c FIJI% Sukcessllll mkay re'civi- ill) 1ii 10- of cchi" icr lic'r Icase' pay.

Hicci'ibtr. c'vvcii hcigh thcis bcoardi is atitliccrizi'c to award ipl to ( ,,serf niumccbt /cc,,) lecclci-'. Iluc'rv is lic

rc'llllircvlcicnn that all i'ligibchcs bi- awardlc'c a bonuccs. It is icich iiicrc' impocrtanct that \ccit ui' \oukr icidgi't%imsi anccd re'wani t hcisc' t~c' cti ~c's %i) a ri' lrcil de-sc-ry ing if a rceward. Thve Svcri4'car\ ofi tdwc Air Focrcc'

has laki-cc a pc'rscical icctcrf-si icc Ilcc PHRl prcocess acid] hcas riic' lt- foclowinig hc'ttcr. fromi s% ich I qccotc:(Ilcai l4.11f'.

21,

Trial 1111i1:

I o tir 1. i t oo li st% i Itaal .hit tttt lsq.;1 tlat tN o l altrll t ier lilt- bifi g htiti etrt iw il adjtr itreIalit suorin

laliqta it O ltte [ito-r tt,- Illtt,.e tii j Itti eatll\ t til o l 'totrik Tesal ia-ha , e ncavi l

starcitlri. 14 lf.11 l a ic I it ill 'tttulg I-i lttl rt li ti I ur Iltl ritt ii h b .Iu a rl'm f i t en.tlr vill sk

ooItercors-taiitlithuhI iarii .tnl4,l .ttdililutet it %oll ld it Ithe n~rmal bot~ iard pres.les i

ioritiesii fv appsil. % o og~i-s that \ohiil ak tg v reittleite~ formt provi idt ~o. Mle ibra boardlmetta ir srt, osted.t \l tileat lne a% %l a. oo 14tr sharcedo htaliuse f o~r seornt. th itato

apisalsn. Te td t ui s. ea~ o ot t k s a-ecs i t i, e eahP i of* 11 %oi esa ice hr part i li.hving scong

Ittitit th seil lm t 11e~ of tia board tI scrn totrd hajor the o citoitttis le I rt ist tait e ir orte. lietI

I P tteromn th - Bear roel Bior are p~iltted tkelctil , mostti t deing tinrei itt iul regrdloes of'a

141 title artio aerntn til Airi ittal at tttl largeWhileilere se leted trit becus %Ili aertr nof. mtre.i

borhte spiti fin~essI(Il of rd ecuirjl v on ere att gue 'fiie o f ife I ott.ae irFre.% e

Io l erl gthi board rohih liii oard- extl-l t lak atinis stihatin tl 1,i' teeo*till AtirtFtorct asa

ittal not bt. dt-isle. Lists of natmes of individoals se leted or not selected andt~lt,,i, of' tihe board'rt-tolt- 1)t an ;tartittar grtiip will not bt minttaitied [Itiol iti ytt our1 knowhIledge of titett will not bte

orgaize~id. Ilite g.eeral p rocedt lre- it fookwtd . or thi t a IIIIIIn' andi grade of i ll il membrship. I I 11t er. it is

omttr rentstililith to ttlirt ithat oitjectivt. diionms art tttadt anid tiii atital wttrkittgs of thte board

remainconfiemial

251

M-MPER NO

PERFORMANCE REVIEW BOARD WORKSHEETSENIOR EXECUTIVE PERFORMANCE FACTORS

rECoLTIVE IDENTIFICATION --

[EIAME I TITLE & ORGANIZAIION

PRB member's notes pertainin g to the D/FF!CJL t-Y aril RSK associat&,7 wt,'!j the tapttr-i,rce l.f i,/. ,. d

achievements of the Seor Executive

LEVEL OF EFFORTREQUIRED TO MACCOMPLISH THES. NOTES

RESULTS __

HIGH EFFORT

E] MEDIUM

SLOW EFFORT

AMOUNT OF ATTENTIONREQUIRED TO MANAGEAND MONITOR THESE NOTES

RESULTS

-] CONSTANTATTFENTION

Q-MODERATE

SIITrLE ATTENTION

POTENTIAL FORGAIN/LOSS OFORGANIZATIONAL OR NOTES

PERSONAL PRESTIGE

I1 HIGH RISK

F] MEDIUM

j LOW RISK

ASSESSMENT OF EXECUTIVE'S PLAN ASSESSMENT OF EXECUTIVES ACHIr.VEMENT

LOW MEDIUM HIGH LOW MEDIUM HIGH

SUMMARY SCORE /,',,r'l on)

LLL!JI3-IDTUI5 6 7-2 KJ26D

SCORING SCALE

SUPERIOR 10 - HIGHEST SCORE POSSIBLE

9 TRULY OUTSTANDING PERFORMANCE

8 FEW EXECUTIVES COULD BE BETTERABOVE AVERAGE

7 - WELL ABOVE AVERAGE

6 SLIGHTLY BETTER THAN AVERAGE

AVERAGE 5 TYPICAL SENIOR EXECUTIVE

4 - SLIGHTLY BELOW AVERAGE

3 - BELOW AVERAGEBELOW AVERAGE

2- WELL BELOW AVERAGE

1 LOWEST IN PERFORMANCE

Attachment 2

*IPFXI' V: SENIOR FAM\I 1% Vt \1TR ~PAIS AI. F'ORM~

28I

z

Ix-

w 1I 5 4

a 0.2ul .4

0 IL

oL 0 '0 x

-J I0

0aa

I- a

xz Iuz

to 0

2 UZI

-J 0

US z

(A 0z U.0

U1

2 am I- -

z

44

z a 04

-ID

zz-0

0 Ida a

------ 0.

U h211

mF- I

UU

U.

* w

0. 0 0U~ L j

Aw

to zi Ii

0 au z

Z z Ii :2 0 4 0

I-4z

-C0

e ccJUL

0

CC W

Q6 I-

U zw

0

c

2 E

o o ~cc

0 E

7; t; ; S 0L~-

w~ C2

-L ma .0 .0,~ u0~ ~ ~-a ~ .Coa0

CLC

E, 0CE tiNa

E 2 a

zoe.- 2.2~ a- -

4t F ..

APPEAI)IN F: SENIOR EXE(:t,,i%'E APPRAISAL SYSTEM FLOW CHART

33

SENIOR EXECUTIVE APPRAISAL SYSTEM

FLOW CHART

De velopPerformanceL PI an

Update PlanAs

Required

Supervis 7Compl etesLAppraisal

RevijewedBy -

Executive

ReviewedBy

Revi ewer

Considered Yes Ratin ~ No Reviewed

ecommnd- NRevieweded ForByBonusE RB

No Rtg___________MeetsApproved Norier aFy,

By Sec.emovalZ

eYe

BonusFromAwarded SES

RetainInSES

34

fII'l't lil\ t,: (OI'M (t. IIIINEi ON SES ONIUSE.S

Ii a inemorandumi. daed 21 July I980. to the Heads of ieparilmenits and Ag. cie,. IDr. Ala K.Campbell. the Director of te Office of Personiel Management. stated:

The Office of Personnel Manageiment. with

the advice of other agencies. has prepared thefollowing guidance in respect to awardingSenior Executive Service performance awards

(bonuses). In part. this guidance reflects theappropriation act limitation restricting theproportion of SES members who may receivebonuses to no more than 25 percent of thenumber of SES positions in the agency. In

addition, we are responding to strongCongressional concern that the 25 percent beviewed as a ceiling. We are threforeenunciating guidance on the nui,,ler anddistribition of awards which we stronglirecommend agencies to follo%. GAO in

coop'ratioi with OPM has been directed by theCongress to do a thorough stnd r of bon1,payments. Any agency which chooses to awardbontises in excess of the number ordistribtution recommended below must consultin advance with the )irector of OPM.

I. Number of Awards

Agencies are limited in payment of bonuses to a maximum of 25percent of SES positions. The Congress has made it clear that the 25percent figure is to be a limit, not the norni. Agencies should generallylimit bonuses to 20 percent of the eligible career employees. If the

agency head feels a higher proportion is essential. lit or she mustconsult with the Director of OPM.

2. Distribution of Awards

In deciding the amotunt of bonus to he paid. agencies with II or morecareer Senior Execulives should not exceed he limitations shownbelow. These limits cannot he rigidly applied in small agencies, btshould hw considered a- general guidelines.

(a) Bonuses of 21 % shold Ie limited to no more than 5 o ofthose receiving boiase'..

(b) Bonuses of 17-20% should, in total, he limited to no ,iorethan 10% of those receiving bonuses.

(c) lonules oif 12-21, -hotild. in total. he liiiited to nomorethan 25", of those receiving bonuses.

35

3. General Procedural Recommendations

(a) ()tie area aboo! whic.h a iimnier ol legisla itrs wer.4t4l1'erlle'4l , .4l the i rE' '4tliran that n lllher- of

l'v-rfniane lH,, tIe. Board, %oild i,. takinig 'ar,. oflh.jnm-lk , and tlheir friend,'. in th,' d arig oI' bo,,q- .\e do o..4 lilhi.v that lii,- ,om414ro ha. siihhln,4i . but IoIimrher adid to ile oh ivc,'i~i. il' tf he rv ivw provv., ... n1

agvov4* maiI % %i-li t4 includeI on1 its 14111 panel onie orI molre

members from nothlher I"edral agelil'. OV)II will maihuaif,a li-I ,.l xperiened career Senlior I \,civke Who coulsvr e on PHI1. aros ageo.. lines, if i li agvc . .oreq..st.-. lhi- .same proceldire mighlt wll lIt IlsefiI ii Ihe

future in assing on proposed 14o0inalions for Meril4rmos

and I)islingnished Presideintial Rank within, an agvoc .

(b) Each agenc*s shoild publish a nlotice i l l Fe4 dheralRegister of the agency's s,'heide ft'4r awardinig bonuses atlea st II ,hevS prior to the date on whih the awards will hepaid.

(c) C areer Senior Emtieives are .ligitleh f4or both bon.,s andrank awar&l. It ge'leroIl. (iget4cies s ld arohl givingmultiple (I4'dIs to aI sigle SELS member it 1a Year.

The SES system provides ag.ncy management with an ripreedented level of discrelion. It is vital

that this discretion be used responsibly to establish a sound foundation for the future.

I3,