SUPPLEMENTAL GUIDELINES FOR SIS ADVANCE WORK PLANS

• Document Type: CREST
• Collection: General CIA Records
• Document Number (FOIA) /ESDN (CREST): CIA-RDP89-01114R000300080037-6
• Release Decision: RIPPUB
• Original Classification: K
• Document Page Count: 8
• Document Creation Date: December 9, 2016
• Document Release Date: June 8, 2001
• Sequence Number: 37
• Publication Date: November 5, 1979
• Content Type: MF

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5 NOV 1979
MEMORANDUM FOR: All SIS Members
FR M: Deputy Director of Central Intelligence
SUBJECT: Supplemental Guidelines for SIS Advance
Work Plans
1. The Executive Committee on 17 October decided that Form 45W,
developed as part of the new Agency-wide Performance Appraisal System,
would be used in preparing Advance Work Plans (AW'WP) for SIS officers.
A copy of this form is provided as Attachment A. Additional guidance
is contained in the Performance Appraisal Handbook which previously was
distributed. The deadline for the initial preparation of AWP's on SIS
officers is extended to 1 December 1979.
2. The AWP form is simple in format and was designed for use with
all categories and levels of Agency personnel. Section A of Form 45W
provides for a brief general statement encompassing an individual's job
responsibilities. Specific work objectives, goals and priorities are
then listed in Section B.
3. The AWP is a particularly important document for SIS officers as
it sets forth the criteria and standards for performance on which the SIS
member will be rated and competitively evaluated for performance awards,
rank stipends, promotions, and retention in SIS. Attachment B of this
memorandum provides some general guidance for use in preparing AWP's on
SIS members. It is not possible to provide specific guidance on every
SIS position. The range of job skills, differences between staff and line
responsibilities, varied emphasis on either managerial or specialist
functions, all are factors which preclude setting up uniform standards or
criteria applicable to all SIS jobs. However, performance is measurable
in some form in all jobs. We have always sought to measure performance in
CIA, and performance evaluation along with potential have always been the
key factors on which promotions have been made. The AWP should be viewed
as a tool in this process.
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4. In drafting the AWP existing job descriptions, letters of
instruction, MBO statements, operational directives, and other existing
statements of responsibilities should be used for reference. An
individual AWP may or may not make reference to these other statements,
which may or may not be incorporated into the AMP. The important dis-
tinction is that the AWP should clearly set forth the goals and objectives
for the coming year, and the criteria or "yardsticks" by which performance
will be rated.
5. Our first year's experience will be most important in establishing
the credibility and integrity of the new SIS system, especially the perform-
ance appraisal and awards provisions. It is essential that all perceive
the system as rational and fair. This is a big challenge to each of us
in SIS, and I invite you to join in making the new system a success. If
you need further information or have questions, please contact the SIS
STATINTL Support Staff on extensio
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ADVANCE WORK PLAN CAUTION: BLANK FORM REQUIRES
SECURE STORAGE IN FIELD.
GENERAL INFORMATION
I. SOC SEC NUMBER 2. NAME (Lost, Rn4 midd.)
A. EMPLOYEE'S JOB-STATE BRIEFLY WHERE THE POSITION FITS IN THE STAFFING PATTERN AND, IF APPROPRIATE, THE NUMBER AND TYPE OF EMPLOYEES
SUPERVISED BY THIS EMPOYEE.
B. WORK OBJECTIVES, GOALS AND PRIORITIES-LIST THE SPECIFIC OBJECTIVES AND GOALS, IN PRORITY ORDER, FORMULATED BY THE SUPERVISOR AND THE
EMPLOYEE.
PERIOD COVERED (To be attached to the PAR for this period.)
SIGNATURE OF EMPLOYEE (Name typed)
SIGNATURE OF SUPERVISOR (Nome typed)
TITLE DATE
TITLE DATE
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NTAL GUIDELINES FOR THE PREPARATION AND APPLICATION OF
ADVANCE WORK PLANS FOR
MEMBERS OF THE SENIOR INTELLIGENCE SERVICE
I. GENERAL
The recently approved Senior Intelligence Service (SIS) for CIA
establishes among its several provisions, a new compensation system
for SIS members. The System institutes a direct relationship between
the Advance Work Plan (AWP), the annual Performance Appraisal Report
(PAR) and determinations of eligibility for consideration, on the one
hand, for substantial monetary awards in recognition of excellence of
performance or, on the other, for continued retention as a member of
the SIS.
To bridge the gap from assignment of major duties and responsibilities
to consideration for major awards or continued retention, it will be
necessary to establish performance standards by which SIS members will
be judged for the ensuing performance appraisal period. There is no
set formula for accomplishing this. Some jobs may lend themselves to
one kind of assessment and others to different kinds. In the final
analysis, only the supervisors know by what set of criteria they judge
their subordinates. These criteria, therefore, must be verbalized
and translated into performance standards for understanding between
supervisors and subordinates rated. The system allows full play by
supervisors to set the types and levels of standards to suit their
particular operations. The following statements are designed to
assist in these efforts.
II. ADVANCE WORK PLAN
1. The new Performance Appraisal Report procedures require
consultations between rated SIS officers and their supervisors to
established Advance Work Plans for the upcoming evaluation period.
During these counseling perio , supervisors must confirm that rated
officers understand the general provisions of the SIS system and are
aware of the SIS performance appraisal and compensation provisions
within the SIS system. Active participation by SIS members is vital
in the process of identifying and agreeing on major work objectives
and standards of performance. Subsequently, effective two-way
communication between supervisors and SIS members regarding progress
in meeting performance standards is essential throughout the rating
cycle. Work objectives and performance standards must be recorded in
writing to provide documentation that objectives and standards have
been developed, what they are, and that they are understood by the
STS members. Significant modification to the performance standards
during the performance appraisal cycle must also be in writing.
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2. The Advance Work Plan is a multipurpose worksheet which
is to be used for all SIS members to record:
(a) Major Work Objectives and Responsibilities
An accurate description of current work objectives and respon-
sibilities is essential for a properly prepared AWWWP. These should
include organization objectives relative to the missions of the component
or specific topical o jectives established by higher managerial authority
which have cascaded downward from the DCI/DDCI to major components and
to subordinate components, and individual objectives which are specific
taskings to the rated officer which generally relate to those continuing
responsiblities that are inherent aspects of the position assignment.
For the initial start-up performance appraisal period, it is suggested
that mission statements, letters of instruction, MBO's, position descrip-
tions and other materials be used by supervisors and subordinates to
develop major duties and responsibilities for the AWP.
(b) Performance Standards (criteria for measuring required results)
Once the major duties and responsibilities have been established
and, hopefully, agreed between supervisors and subordinates, performance
standards need to be established which identify and measure effectiveness.
In other words, activities of subordinates must be seen as means employed
to accomplish end results, and standards established by which to measure
end results achieved. The evaluation of results will tell if the chosen
activities accomplished the job. Performance standards, then, are
criteria for differentiating satisfactory from unsatisfactory results
and degrees of accomplishment such as superior or marginal.
While it is highly desirable to describe the specific performance
requirements for each level, as a minimum, the written standards must
contain enough specificity to convey clearly what is expected in meeting
the work objectives fully and to serve as a gauge for overall performance
which falls short of or exceeds that which fully meets the work objectives.
Some rules of thumb on performance standards are:
? Performance standards can be prepared for all positions.
To say t at written standards cannot be prepare is the
same as sing that you cannot evaluate performance in
that position.
? Do not confuse standards with procedures.
? Be specific.
? Be sure the standard is observable and, therefore, documentable.
It is often advisable to state the method of observation.
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? Be sure to establish a time frame.
? Standards should measure accomplishment in as many of the
following dimensions as appropriate: quality, quantity,
timeliness, cost effectiveness, effect obtained, manner
of performance, and method of doing. This may be measured
within the organization or by external customer acceptance
of the work product.
? Where possible, state standards in terms of degrees of
accomplishment, for example: Performance is superior when...,
excellent when, unsatisfactory when...
(c) Interim Progress Reviews
Interim progress reviews will be held with SIS members by
supervisors at least once each six months. Attachments should be used
for any comments or changes as the results of this interim discussion,
or, AWP's may need major revisions.
III. PERFORMANCE APPRAISAL REPORTS (PAR)
Performance appraisal based upon the Advanced Work Plan established
at the beginning and, as may have been amended in the course of the
evaluation period, is an essential feature of the SIS. Although the
actual formalized PAR is not prepared until the end of the appraisal
period, it is vital to stress again its functions and importance. The
PAR links the quality of the SIS member's actual performance with assigned
work objectives and prescribed standards. Determinations of eligibility
of the rated individual for a performance award and/or nomination for
a Distinguished or Meritorious Officer Rank Stipend are made from an.
assessment of the linkage. In addition, the relative quality level of
ratings on overall and individual performance in the PAR will have a.
direct bearing on the level of performance and/or rank stipend that may
be recommended and ultimately considered for approval. Performance appraisals
will also be key elements in consideration for promotion, assignment.,
retention of membership in the SIS or even continued employment with the
Agency. The below listed procedures and guidelines illustrate the extremely
key part the PAR plays in the overall personnel performance appraisal process:
(a) The performance of all members of the SIS will be evaluated
on an annual basis (with special reports as otherwise required) in
accordance with published schedules. The standard Performance Appraisal
Report (Form 45) will be utilized along with these additional guidelines
in the evaluation of SIS members.
(b) An overall performance evaluation rating of level 5, 6, or 7
and individual duties evaluated at no less than level 5, will qualify
an SIS member for consideration of a performance award.
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(c) An overall performance evaluation rating of level 4, although
indicating a satisfactory performance, will not qualify the individual
for consideration for any performance awards.
(d) An overall performance evaluation of level 3 will only assure
the rated SIS member of retention of basic annual salary level for
the initial subsequent year following a level 3 rating. SIS members
in this category must be counselled by the Head of the Career Service
and must participate in a remedial program developed by the Career Service
to assist the individual in overcoming any deficiencies in his or her
performance.
(e) Two successive annual overall performance ratings of level 3
or a single annual overall performance rating of level 2 or 1 require
that the Heads of Career Service refer the case to the Director of
Personnel with a recommendation for administrative action. This can
include retention in the SIS under closely observed probation for
a definitive period of time; removal from the SIS and reduction to
GS-15 level status and compensation; or termination from employment.
The Director of Personnel will recommend to the DDCI the administrative
action to be taken.
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