4. DoD personnel in Grade GS-13 and above or members of the Military in the rank of Lt Colonel, Commander, or above whose basic duties and responsibilities require the incumbent to exercise judgment in making or recommending a government decision or in taking or recommending government action in regard to:

(a) Contracting or procurement.-For the purpose of this section "contracting or procurement" includes all functions that pertain to the authorization, award and administration of contracts or grants with non-Governmental entities. This includes agreements, supplemental agreements, subcontracts, leases, service orders, task orders, purchase orders, delivery orders, change orders, property disposal contracts, communication service authorizations, and other instruments or agreements which obligate the United States. It includes pre-award surveys; the evaluation, appraisal, selection or approval of contractors and subcontractors, contractor and subcontractor facilities, and the location, transfer or closing of work sites. It also includes purchasing, renting, leasing or otherwise obtaining supplies or services from, and disposing or selling supplies to, non-Governmental entities and all functions that relate to obtaining or disposing of supplies and services, description and determination of requirements, preparation of specifications including the determination of technical requirements, selection and solicitation of sources, preparation and award of contracts or grants, and all phases of contract and grant administration and monitoring, including all aspects of quality control and quality assurance, inspection and acceptance.

(b) Auditing.-Auditing private or other non-federal enterprise including the supervision of auditors engaged in audit activities or the participation in the development of policies and procedures for performing such audits, including the authorization and monitoring of grants to institutions or other non-Federal enterprise.

(c) Other.-Activities in which the decision or action has an economic impact on the interests of any non-Federal enterprise.

B. Review of Positions:

Each DoD component shall review its positions in Category 4 above, both military and civilian, and include in each military and civilian position description, or similar document describing the duties and responsibilities of the position, a statement as to whether the incumbent of the position must file a statement of employment and financial interest as required by this section. This determination will be reviewed at least annually. The review may be accomplished at the time performance, efficiency or effectiveness ratings are given; or incident to other currently prescribed annual reviews. Incumbents of positions identified as involving any of the functions described in Category 4 above shall be required to comply with the filing requirements of this section.

C. Positions in the above categories may be excluded when it is determined by the secretary of the military department concerned or head of the DoD agency concerned, or the designee of either, that the duties are at such a level of responsibility that the submission of a statement of employment and financial interests is not necessary because of the degree of supervision and review of the incumbent and the remote and inconsequential effect on the integrity of the Government.

D. The statements of employment and financial interests shall be submitted on DD forms furnished by the DoD agency concerned. DD Form 1555, "Confidential Statement of Employment and Financial Interests-DoD Personnel", (Incls 4), is for use by all DoD personnel except special Government employees. DD Form 1555-1, "Confidential Statement of Employment and Financial Interests", (Incls 5), is for use by special Government employees.

E. Manner of Submission-Statements of Employment

1. The Secretary of Defense, as the head of the agency, is required to submit his statement of employment and financial interest to the Chairman of the Civil Service Commission under the provisions of Section 401 (a) of Executive Order 11222.

71-994-674

DEPARTMENT OF THE ARMY,
OFFICE OF THE SECRETARY OF THE ARMY,

OFFICE OF CIVIL DEFENSE,
Washington, D.C., June 17, 1966.

MEMORANDUM FOR ALL OCD PERSONNEL IN GRADE GS-13, AND ABOVE, OR

EQUIVALENT

Subject: Statement of Employment and Financial Interests-DD Form 1555. Reference: Mr. Durkee's memorandum of May 20, 1966 with attached DOD Directive 5500.7.

Attached are two copies of DD Form 1555.

Except as noted below, this form should be filled out by you, signed and returned in a sealed envelope addressed to the General Counsel, Office of Civil Defense, Office of the Secretary of the Army, Room 3C-336, The Pentagon, Washington, D.C. 20310, on or before June 30, 1966.

(a) The Statement of Employment and Financial Interests executed by the Director will be submitted to the General Counsel, Department of Defense;

(b) The Statement of Employment and Financial Interests executed by employees in Grade GS-16 or above of the General Schedule established by the Classification Act of 1949, or in comparable or higher positions not subject to that Act, including those under P.L. 313, will be submitted to the General Counsel, Department of the Army.

The General Counsel, Office of Civil Defense, or designees within his office. shall provide additional clarification of the requirements of the directive and related regulations, and other advice and assistance relating thereto and shall be responsible for reviewing those Statements of Employment and Financial Interests submitted to him.

Changes in or additions to the information contained in DD Form 1555 shall be reported in a supplementary statement at the end of each quarter in which a change occurs. Quarters end March 31, June 30, September 30 and December 31. If there are no changes or additions in a quarter a negative report is not required. However, for the purpose of annual review a supplementary statement, negative or otherwise, is required as of June 30 each year.

Each such Statement of Employment and Financial Interests and each Supplementary Statement will be held in confidence and will not be disclosed except as the Secretary of the Army or the Civil Service Commission may determine for good cause shown.

The reverse side of Form DD 1555 contains instructions concerning preparation of this Form. In addition to the information contained therein, the following information with respect to the Form is applicable:

(a) Checking accounts, savings accounts in banks and savings and loan associations or shares in a Credit Union need not be listed;

(b) United States Government securities need not be listed; however, State or local municipal securities shall be listed.

The Statement of Employment and Financial Interests is an aid in the identification of conflicts of interests or potential or apparent conflicts. The disqualification procedures are applicable to all employees regardless of whether or not a Statement is to be filed. Thus, an employee in Grade GS-12 or below is also subject to the disqualification procedures set forth in the directive. Further, an employee must disqualify himself in a matter involving a financial interest even though it is excepted from the disclosure requirement (such as a matter specifically involving his residence).

Additional information concerning disqualification will be issued promptly upon issuance of an implementing regulation of the Secretary of the Army currently being prepared.

The Statement of Employment and Financial Interests must be filled out completely and in detail, although amounts or value should not be disclosed on the Statement. As necessary, additional sheets should be attached.

ROBERT E. YOUNG, Executive Assistant.

키

PURPOSE. The Development Appraisal Report is a written evaluation of the officer's capacity for growth, his leadership qualities, ty to assume higher level responsibilities, and of any factors such as family, health, or suitability which might limit or en Thor ce mis odvoncament. i e not an evaluation of the officer's performance in any particular job during a particular rating period, citnough the apprcise must necessarily be based in port on on observation of the officer's performance and must bear a close ralatranship to the evalueret the porformance.

APPLICABILITY, SCHEDULE, AND PARTICIPATION. This report is to be prepared IN DUPLICATE whenever a Performance Rating Report (FS-315) preporad. It shall be written ond caviewed by the same rating and reviewing officers who prepared the Performance Rating Report, and will be citached to and submitted with it.

INSTRUCTIONS ON PREPARATION. The appvisal of a man's potential is one of your most difficult and important tasks as a su. pervisor. It demands impartiality, inteli ctual honesty, and precision of expression, it must take into account the projected needs Jof the organization, and must evoluate en individual in relation to these future needs.

Prepare the report on plain sheets of peper stopled to this form, follow the underlined subject headings listed below. Appraise the officer's potential for growth and development, describe and evaluate his copocities and limitations, and, where possible, use actual examples to iustrate points. Sewere of understatements or overstatements, corelessness, or undue brevity which may injure both the organization and the oii cer being appraised.

Reference to race, color, creed, or national origin must not be included in this report. Medical problems which could affect the officer's peniormance or potential should be mentioned under item C below, but should not be discussed in detail. When reporting undesirable traits, or shortcomings, you should identify where und how their adverse effect, if any, on past performance is reported in the Performance Rating (FS-315). Likewise, the effect of outstanding personal attributes should also be reflected in the Perform jance Roting.

DISCUSSION AND DISCLOSURE. This report will not be shown to the rated officer of the time it is prepared, nor will it be shown
to him subsequently unless and until a step is taken that is intended to lead to an adverse personnel action for which the officer is
not otherwise entitled by law or regulation to on opportunity to reply to specific charges.

The restriction on disclosure is not intended to discourage discussion between supervisor and subordinate of matters covered in this
report, particularly when such discussion and guidance could assist the subordinate in his self-improvement efforts. On the con.
trary, supervisors and personnel officers are obliged to counsel persons under their responsibility. Occasionally, however, some
factors, traits, or limitations, though they form a necessary port of appraisal of on officer's potential, may be be and his power to
aiter or control in such cases o discussion of them with him might serve na useful end ond
and may even be counter-productive.

in summary, you are obliged to report your appraisal of the officer's potential fully and candidly, you are also obliged to counsel him on all matters which lend themselves to such discussion.

PARTI RATING OFFICER'S COMPREHENSIVE COMMENTS

A. Personal Characteristics:

1. Appearance Neatness, propriety in dress, general impression.

2. Bearing Degree of maturity, composure under varying circumstances, facility in personal contact.

3. Personality Discuss fully personality traits of the officer, e.g., bright, sparkling, extrovert, dull, obresive, introvert, pleasant, spontaneous, sharp, witty, good sense of humor, heavy, obsequious, sarcastic, biting.

4. Renge of Interests Languages, arts, rooding, ovocations, hobbies, and where appropriate membership in political scienco, economic, technical, social and other professional institutions or societies.

5. Other Matters of special significance not covered above, a.g., acceptance or evasion of responsibilities (community or otherwise), Willingness to admit error, attitudes towards superiors and subordinates, personal integrity.

DEPARTMENT OF THE A
OFFICE OF THE SECRETARY OF

OFFICE OF

Washingto

MEMORANDUM FOR ALL OCD PERSONNEL IN GRA

EQUIVALENT

Subject: Statement of Employment and Finar
Reference: Mr. Durkee's memorandum of May

rective 5500.7.

Attached are two copies of DD Form 1555. Except as noted below, this form sho returned in a sealed envelope addressed Defense, Office of the Secretary of th Washington, D.C. 20310, on or before

(a) The Statement of Employmer Director will be submitted to the

(b) The Statement of Employr ployees in Grade GS-16 or abo Classification Act of 1949, or i that Act, including those unde sel, Department of the Army. The General Counsel, Of shall provide additional related regulations, and be responsible for rev Interests submitted t Changes in or add be reported in a s a change occurs. ber 31. If ther is not required statement, ne Each such

plementary

except as determi

ABOVE

ESERVE OFF CERS

REPORT

AND THE RIGENTE OF FLAS

inan one rank"

• Then one rank"

oment to highest rank"

ecifically on the rapidity with which officer is capable of advancing.

PART II INSTRUCTIONS TO REVIEWING OFFICER

ees. To make your divergent view clear, describe and evaluate fully any or all of the factors covered by the report. we operative statement, indicate precisely the extent to which you concur with the rating officer's appraisal, explaining x bow closely you observed the rated officer. Indicate also whether good working relationships existed between the rated

the rating officer.

LIMITED OFFICIAL USE (When Completed)

FOREIGN AFFAIRS MANUAL CIRCULAR, No. 323, JUNE 24, 1965

JOINT STATE, USIA CIRCULAR

Subject: Review of Performance Rating and Development Appraisal Reports

1. Purpose

This circular amends 3 FAM 570 and certain portions of Foreign Affairs Manual Circular No. 309 of May 13, 1965, relative to the distribution of Development Appraisal Reports (FS-315A) and their use by review panels or committees in overseas posts and in bureaus and offices in the Department and USIA.

PRIVACY AND THE RIGHTS OF FEDERAL EMPLOYEES 47

nature of development appraisal reports

CY AND THE RIGHTS OF FEDERAL

has the rated officer is not to be shown his Development Ap-
▾ the rating or reviewing officer, it has been determined that
be seen only by those persons who of necessity must review
h reports in carrying out their responsibilities. These in-
ers, career management officers, members of Selection
r persons as the Secretary and the Director of USIA
access to Development Appraisal Reports.
review panels or committees at overseas posts and in
Department and USIA are not to review or comment
Reports. The Development Appraisal Reports are
au until the review committee has completed the
"mance Rating Reports and the two forms sub-
nt or to USIA. No copies of the Development
ed by the post or bureau. All posts, bureaus,
velopment Appraisal Reports are given the
ntents require.

2

USIA REGULATIONS

ELOPMENT APPRAISALS

growth and development and his

e officer's performance, but also his

appraised on a separate form (FS-315-A)

Ratings (FS-315). FS-315-A is not a "rating

or FPM 430.6.

ed on the Development Appraisal form (FS-315-A) shall

o an officer at the time of the appraisal, and will not be divulged Subsequently unless and until a step is taken that is intended to lead to adverse action in which the officer is not otherwise entitled by law or regulation to an opportunity to reply to specific charges. Such adverse actions include ranking in the low 10% of a class, or separation as a result of a Selection Board recommendation.

The restriction on disclosure is not intended to discourage discussion between supervisor and subordinate of matters covered in this report, particularly when such discussion and guidance could assist the subordinate in his self-improvement efforts. On the contrary, supervisors and personnel officers are obliged to counsel persons under their responsibility. Occasionally, however, some factors, traits, or limitations, though they form a necessary part of appraisal of an officer's potential, may be beyond his power to alter or control; in such cases a discussion of them might serve no useful end, and may even be counter-productive. Therefore, the supervisor is obliged to report his appraisal of the officer's potential fully and candidly; he and the personnel officer or career management officer are also obliged to counsel the employee on all matters which lend themselves to such a discussion.

The Performance Evaluation Division and the Selection Boards will review these reports to ensure that the Development Appraisal is consistent with the Performance Rating.

(b) Support staff appraisals

Development Appraisals of support staff personnel are included in the same form with performance evaluation (FS-315-B) and shall be discussed with, and a copy given to, the employee.

578 REBUTTALS AND APPEALS

578.1 Discussion with rating and reviewing officers

An employee who wishes to rebut or appeal his performance rating should, in most instances, first discuss it with the rating and reviewing officers. If these officers agree that a revision should be made in the rating, the appropriate changes shall be made in all records.