PERFORMANCE APPRAISAL SYSTEM

• Document Type: CREST
• Collection: General CIA Records
• Document Number (FOIA) /ESDN (CREST): CIA-RDP81-00142R000500050010-4
• Release Decision: RIPPUB
• Original Classification: K
• Document Page Count: 22
• Document Creation Date: December 9, 2016
• Document Release Date: April 16, 2001
• Sequence Number: 10
• Publication Date: September 18, 1978
• Content Type: MF

Approved For R
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JVfiA-R J OWJf-4 DD/A Registry
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/A Registry
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ME?-DRA&I) FOR: Deputy Director of Central Intelligence
M F. W. M. Janney
Director of Personnel
SUBJECT : Performance Appraisal System
1. Action Requested: None. The attached r rtorandum for your
signature and he rmance evaluation material are forwarded in
response to your request of 13 September 1978.
2. Attachment A is the memorandum to the Secretary, Executive
Advisory Group advising of your review of the Performance Evaluation
Task Force Report and your proposals for substantive inclusions in
the revised format. This memorandum requires a response from the
members of the Executive Advisory Group by 27 September.
3. Forwarded as Attachment B is a copy of the draft of a revised
Performance Appraisal Report which we have had in process using the
Task Force recommendations as guidance. We have added two sections
to the draft to provide for your proposals for the work planning
section and the evaluation of potential. Included with the draft is
a seven point rating scale with descriptive definitions. This is a
working paper, not a finalized product.
4. For ease of review in considering the comments of the Heads
of the Career Services on the Task Force recom-tendations, included
as Attachmment C is a matrix of the recar ndations and responses.
The majority of the recommendations were accepted by all components.
The only recd nendation on which there are strong differences is the
one which would prohibit informal input to panel deliberations.
While related, this is not a basic part of the Performance Appraisal
system substance or format. The requirement for documentation of
the informal interim review was also a point of difference but not as
strong as on panel input. 111inor areas of difference were the use of
the seven point scale, justification of the individual ratings and
the option of the Career Service to have an addendum to cover evaluation
Approved Fore i M H E IA- f 14
' AL
 Approved For Re JWCIA-F1N
elements which are of concern only to that component. The recomnida-
tion for the optional 1.0I, under agreed-to gro d rules, was endorsed
by all c?riponents except NFAC, which st)ports a mandatory program.
F. W. M. Janney
Atts.
As Stated
Distributio:
Orig - DDCI, w/atts.
1 - ER, w/atts.
2 - DDA, w/atts.
2 D/Pers, w/atts.
1 - OP/RS, w/atts.
STATINTL OP/P C/ S aic (18 Sep 78)
Approved For ReKbi 0 T /p I VE '- -RD-i I USE L000 00 o1L Q 4
 Approved For Releas `2001/05/01: CIA-RDP81-00142R000& 050010-4
Approved For Release 2001/05/01 : CIA-RDP81-00142R000500050010-4
 ~:
Approved For Re ase~> OU~4 0- S'b0~ 0
MEMJRANDUM FOR: Secretary, Executive Advisory Group
FROM . Frank C. Carlucci
Deputy Director of Central Intelligence
SUBJECT : Performance Appraisal System
1. I have now reviewed the Performance Evaluation Task Force
Report, the individual Career Service sections of the report and the
Heads of Career Service comments on the report. The following proposals
concerning the principles of the system and the format of the form
reflect most of the Task Force recommendations with which you were in
agreement. I have included-two additional elements for consideration.
Whereas the Task Force dealt with work planning in the context of the
existing LOI concept and recommended collaborative work planning where
LOI's are not used, I believe that work planning should be an integral
part of the new appraisal form. The second is the incorporation of
evaluation of employee potential into the report itself.
2. I believe the new Performance Appraisal Report should include
in its format the following substantive features:
a. A stated work plan should be the first page of the report,
establishing a basis for the subsequent performance appraisal. It should
be formulated by the supervisor and the rated employee and list the
specific objectives and goals in priority order.
b. This should be followed by an appraisal of the performance
of the listed specific duties against the seven point scale (the seven
point scale is only significant in that it is different from the present
point spread and should be changed again in 3-5 years).
c. Supervisors should be rated on their managerial ability,
their ability to effectively communicate requirements and expectations,
to candidly appraise the performance of subordinates, to help subordinates
improve performance and develop potential.
d. The supervisor's narrative comments should justify by
amplification or explanation the ratings given for specific duties.
Significant strengths and weaknesses demonstrated in the employee's
performance should be commented on and include any suggestions for
improving work performance.
Approved For
Ai1 ~~A~t : CI'~~~LN1 T4~0 7010-4
 l5HA TIVE - INTEL M1 U'"' ONLY
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STATINTL
e. The overall performance rating should represent an evalua-
tion of the total performance of the employee, not just an averaging of
the individual ratings.
f. Following the performance appraisal there should be a
space for employee comments and a certification that the employee has
had a discussion of the appraisal with the supervisor.
g. The reviewer's comments should address,.in addition to
the appraisal, the reviewing officialh perspective of the employee's
overall performance. _
h. Included in the format and supplemental to the performance
appraisal should be an evaluation of the employee's potential. The
-evaluation should be by the employee's supervisor and relate to those
positions that fall within the area of the supervisor's authority.
3. I will.appreciate the comments of the EAG members on these
proposals to reach me by 27 September. 1978. This will be an item for
discussion on the 30 September 1978.meeting at the STATINTL
STATINTL
1 - DDCI
1 - ER
I - SA/DDCI
1-DDA
1 - DD/NFAC
1 - DDO
1 - DDS$T
1 - General Counsel
1 -
1 - s sect file
2 - D/Pers
1 - OP/P$C
1 - D/EEO
1 - Comptroller
STATINTL OP/P&C/RS cmc (18 Sep 78)
Distribution:
Orig - Adse
ORIGINATOR:
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Aov!fi1 STRATiVE - INTE[ i-A1 USE ONLY
 Approved For Release 2001/05/01 : CIA-RDP81-00142R00M00050010-4
Approved For Release 2001/05/01 : CIA-RDP81-00142R000500050010-4
 Approved For Releftfi 2001/05/01 : CIA-RDP81-00142RO0d'tb050010-4
ADMINISTRATIVE
^ SECRET []CONFIDENTIAL Gl INTERNAL USE
ONLY
01
^ UNCLASSIFIED
ANNUAL .V Ot?K PLAN
GENERAL I NFOPMATION
.-
_.
EMPLOYEE NUMBER NAME (Last, first, middle)
GRADE SD
OFFICIAL POSITION TITLES
OFF/DIV/BR OF ASSIGNMENT
CURRENT STATION
A. EMPLOYL?E'S JOB - State briefly where the position fits in the staffing pattern and if appropriates
the number and type of employees supervised by this employee.
B. WORK OBJECTIVES, GOALS AND PRIORITIES - List the specific objectives and-goals, in priority order,
formulated by the supervisor and the employee.
PERIOD COVERED
SIGNATURE OF EMPLOYEE (Name typed)
SIGNATURE OF SUPERVISOR (Name typed)/
TITLE - GRADE DATEI
Aooroved For Release 2d=01,101 C1A-R
GRADE DATE!
&~QQ142RQQQ5QQQ5QQ10-41
ADMINISTRATIVE
CJSECRET ? CONFIDENTIAL ? INTERNAL USE ? UNCLASSIFIED
ONLY E2, IMPDET CL BY
 NISTRATIVE
Approved Egatea`s- 6?cW@5iQ9'IACrIA-RQP ADM8AtI ,WO ISSIFIED
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PERFOR DANCE APPRAISAL REPORT
SECTION A
GENERAL .INFORMATION
1, EMPLOYEE NUMBER
(2
i1
. NrtM[ (Lasf,Tirs4. midd~e ) -
3. GRAD6
4 5D
51 pc tTlaN TITLE
b. OFF/01V 3A OF R55I16 M5j
STA,T1 ON
F. COEE (Ck.3)
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OF APP6INTMENT
10, TYPE OF REPORT
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CAREEN
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11, AEPGRT I AI6 PERIOD (F(iOM-TO)
12. DATE RGP6R i DUC- I N a. P,
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Sp!CIAL
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SECTION B
QUALIFICATIONS UPDATE YES NO
Is Qualifications
Update Form being submitted with changes, and is it attached to this report?
SECT ON C
PERFORMANCE APPRAISAL RATING DEFINITIONS
q.
6
7
SECTION D
SPECIFIC DUTIES
List up to six
of the most important specific duties performed during the rating period. Insert
rating which be
st describes the manner in which employee performs EACH specific duty. Consider
ONLY effectiveness in performance of that duty. All employees with supervisory responsibilities!
MUST be rated on their ability to supervise (indicate number of employees supervised).
SPECrr''icDvrVMO.;
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SPECI FIC CVTY NO.?
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SECTION,'E
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PERVISOR'S COMMENTS
'Amplify or explain the
individual ratings given for specific duties
in Section D. Indicate
significant strengths
or weaknesses demonstrated and any suggestions
made for improvement
of work performance. G
ive recommendations for training. See,a'ttached
instructions for
H
';required comments on:
cost consciousness, EEO, safety, security, and
evaluation of super-
!visors. If extra space
is needed, use Section H.
SECTION F
OVERALL PERFORMANCE RATING
The overall performance rating should take into account everything about the employee whic
'A.,~aaR
influences effectiveness.
See attached instructions for details.
1
SECTION G
CERTIFICATIONAND COMMENTS
1. BY SUPERVISOR
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ONLY
Approved For Release 2001/05/01 : CIA-RDP81-00142R000500050010-4
 Approve 6r;44fEat]2NtM&*IALICIA- ~T40,>"r?oob Q00N 0 4 Fl ED
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2. BY EMPLOYEE (OPTIONAL) '
EMPLOYEE'S SELF APPRAISAL OF PERFORMANCE, CONvENLS REGARDING SUPERVISOR'S EVALUATION,!
REVIEWER'S CONBv1ENTS OR BG11-I. IF EXTRA SPACE IS NEEDED, USE SECTION 11.
I CERTIFY THAT I HAVE HAD A DISCUSSION OF THIS
REPORT WITH MY SUPERVISOR/"
DATE
SIGNATURE OF EMPLOYEE
BY. REV/EW'NGOFFICIAL
...
COMMENTS OF REVIEWING OFFICIAL. IF EXTRA SPACE IS NEEDED, USE SECTION H.I
4 BY EMPLOYEE
.I CERTIFY THAT I HAVE READ THE REVIEWER'S DATE
COMMENTS. 1 1,
TYPdo OR PRiNTOP NAME AND 51GP ATUgE
SIGNATURE OF EMPLOYEE
ADMINISTRATIVE
Appro cFfWReIQsWl : CIA;R9v9Mn142RO005naM$()$4FIED
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 Approved For Release M61/05/01 : CIA-RDP81-00142R000500 0010-4
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EVALUATION OF POTENTIAL
A. Q-ICK ONE 1
Employee lacks the potential to assume greater responsibility.
It is too soon to judge when the employee may be ready to assume
a higher level of responsibility.
Employee has the potential to assume greater responsibility with
additional training or experience.
Employee is entirely capable of assuming greater responsibility
as soon as the opportunity occurs.
Employee should be considered for rapid advancement to positions
of much greater responsibility, with the expectation that the
employee will rise to the highest levels of the organization.
B.DISCUSSION OF POTENTIAL (Justify your choice above. State the qualities of the
work performance that best demonstrate a capacity for growth and
advancement, or the lack thereof, support with examples.)
SIGNATURE OF SUPERVISOR (Name typed
ADMINISTRATIVE
0 SECRET L CONFIDENTIAL D I N T E Approved For Release 2001/05/01: R81-001'6bb(66010-4
 Approved For Rel a 2001/05/01: CIA-RDP81:-O 0142ROO 00050U10 4:
;Approved For Release 2001/05/01 CIA-RDP81-00142R000500050010-4
 Approved For Relee 2001/05/01 : CIA-RDP81-00142R00b0050010-4
SEVEN POINT SCALE PERFOBMP1NCE DEFINITIONS
1. Constant supervision and direction are required to keep efforts
focused on assigned tasks; efforts are not sufficient to complete
work on time; performance quality consistently falls short of
formulated expectations.
2. Continual supervision and direction are required to keep efforts
focused on assigned tasks; work is frequently late and frequently
falls short of formulated expectations.
4. Applies required efforts to assigned tasks under routine supervision
and direction; uses standard approaches to tasks so that tasks are
completed on time; work produced meets formulated expectations.
6. Usually applies efforts to priority elements of assigned tasks and
requires moderate supervision and direction; uses effective approaches
to tasks so that tasks are frequently completed ahead of deadlines;
work produced sometimes exceeds formulated expectations.
7. Consistently applies efforts to priority elements of assigned tasks
while requiring little if any supervision and direction; uses most
effective, often new, approaches to tasks so that tasks are completed
well ahead of deadlines; work produced consistently exceeds formulated
expectations.
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 Approved For Release 2001/05/01 : CIA-RDP81-00142R00D000050010-4
Approved For Release 2001/05/01 : CIA-RDP81-00142R000500050010-4
 II
Change title
A.
(1)
DDA
Y
DDO
Y
DDS&T
Y
E
Y
NFAC
Y
Totals
100%
7 pt. numeric scale
(2)
Y
Y
Y
N
Y
80%
20%
Rating supervisor's skills
(3)
Y
Y
Y
Y
Y+
100%
Reword employee certification
(4)
Y
Y
Y
Y
Y+
100%
Justify ratings
(5)
Y
Y
N
Y
Y+
80%
20%
Space for employee comment
(6)
Y
Y
Y
Y
Y
100%
,Relocate overall rating
(7)
Y
Y
Y
Y
Y
100%
Reviewer's own overall assessment
(8)
Y
Y
Y
Y
Y
100%
Panel info; prohibit informal
(9)
Y+
N-
N
Y+
Y+
60%
40%
Large print
(10)
Y
Y
Y
Y
Y
100%
Optional Career Service
1 page addendum B.
N
Y
Y
Y
Y
80%
20%
Informal interim review C.
Y
Y
N
N
Y
60%
40%
III A.
Performance appraisal workshop
(how to)
(1)
Y
Y
Y
Y
Y
100%
Team building implementation
training & familiarization
(2)
Y
Y
Y
Y
Y
100%
Monitor program B.
Y
Y
Y
Y
Y
100%
LOI optional by Career Service
Y
Y
Y
Y
N
80%
20%
Y = yes; N = no; Y+ & N- = emphatic response
Approved For Release 2001/05/01 : CIA-RDP81-00142R000500050010-4
Responses to Performance Evaluation Task Force Recommendations
Approved For Release 2001/05/01 : CIA-RDP81-00142R000500050010-4
 Approved For Releftfi 2001/05/01 : CIA-RDP81-00142R000 '0050010-4
ADMINISTRATIVE ?r
Q INTERNAL USE O UNCLASSIFIED.
ONLY
I N.\'UAL 61O,'r' PL. AN
GRADI: SD ,
GENERAL 1 N= OR 'AATIC`
L IILd)YEE NU UMBER 1NAhIG (Last, first, middle)
OFF/DIV/BR OF ASSI iVIfl T
A. E}'NIPLOYEE'S JOB - State briefly where the position fits in the staffing pattern and if appropriate
the number and type of employees supervised by this employee.
WORK OBJECTIVES, GOALS AND PRIORITIES - List the specific objectives and--goals, in priority order,
formulated by the supervisor and the employee.
1 PERIOD COVEKLU - '> tti L ed)
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SECTION A
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12. DATE RGP6RT We IN 0.P.
COU'1'~2AGT
5?ECIAL
Or R
_
SECT/ON B
YES
QUALIFICATIONS UPDATE
NO
Is Qualifications Update
Form being submitted with changes, and is it attached to this report?
SECT /ON C PERFORMANCE APPRAISAL RATING DEFINITIONS___
a.
6
7
SECTION D
SPE_CIF lC DUTIES
List up to six of the
most important specific duties performed during the rating period. Insert
rating which best describes the manner in which employee performs EACH specific duty. Consider
ONLY effectiveness in
performance of that duty. All employees with supervisory responsibilities'
MUST berated on their ability to supervise (indicate number of employees supervised).
nJ nBErl
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^ SECRET 0 CONFIDENTIAL ^ INTERNAL USE ^ UNCLASSIFIED
ONLY E2, IMPDET CL BY
Approved For Relerse 2001/05/01 : CIA-RDRt ing0ftbG 0050010-4
CJ SECRET ^ CONFIDENTIAL ^ INTERNAL USE t]UNCLASSIFIED
ONLY
 ADMINISTRATIVE
Ap R r FBI 2OOrI 5/01: ?lAl-RQI*v0051E42ROG bOO5OG1O.4ED
ONLY
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Amllify or explain the individual ratings given for specific duties in Section D. Indicate
significant strengths or weaknesses demonstrated and any suggestions made for improvement
of work performance. Give recommendations for training. See'?attached instructions for
required comments on: cost consciousness, EEO, safety, security, and evaluation of super-
visors. If extra space is needed, use Section 11.
I SECTION F 0/F~faLL ,~E~FG~.~' hC_ ,4:57 'r -
The overall performance rating should take into account everything about the employee which
3N'^45 HA5 ~ c J 1N
THIS PosITronj
rhl VNt 1 My SUP&A.V'i10A1
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BY SLr;-SOR
pprrovecL r Release 2001/05/ al A~ IA440142 000P0005001q-4
ECRET- CONFIDENTIAL Li INTERNAL USE UN LASSI
 Approved For ReIAM 2001/05/01 : CIA-RDP81-00142ROOd'S60050010-4
ADMINISTRATIVE
SECRET ^ CONFIDENTIAL INTERNAL USE j UNCLASSIFIED
ONLY
P. BY EMPLOY EL (C P Tl0 NA L)
EMPLOYEE'S SELF APPRAISAL OF PERFORMANCE, CO11~INIFNT'S REGARDING SUPERVISOR'S EVALUATION,
REVIEWER'S COiEMENfS OR BOTH. IF EXTRA SPACE IS NEEDED, USE SECTION H.
JI CERTIFY 'I1I1T I HIVE HAD A DISCUSSION OF THIS DATE SIGNATURE OF EMPLOYEE
REPORT WITH MY SUPERVISOR
3. E" REVIFW.'NG OFFICIAL
COMMENTS OF REVIEWING OFFICIAL. IF EXTRA SPACE IS NEEDED, USE SECTION II.'
- -- - - 4 BY E &1P1.0'rEE
I CERTIFY THAT I HAVE READ THE REVIEWER'S DATE
COMMENTS.
Approved For Release 2001/05/01 : CI -RDP81-00142R000500050010-4
ADMINISTRATIVE
d SECRET D CONFIDENTIAL INTERNAL USE ? UNCLASSIFIED
 Approved For Relese 2001/05/01 : CIA-RDP81-00142R000IMb050010-4
ADMINISTRATIVE
CSECRET ^ CONFIDENTIAL :J INTERNAL USE
ONLY
I A. CHECK ONNE
Employee lacks the potential to assume greater responsibility.
It is too soon to judge when the employee may be ready to assume
a higher level of responsibility.
Employee has the potential to assume greater responsibility with
additional training or experience.
Employee is entirely capable of assuming greater responsibility
as soon as the opportunity occurs.
Employee should be considered for rapid advancement to positions
of much greater responsibility, with the expectation that the
employee will rise to the highest levels of the organization.
B. DISCUSSION OF POTENTIAL (Justify your choice above. State the qualities of the
work performance that best demonstrate a capacity for growth and
advancement, or the lack thereof, support with examples.)
SIGNATURE OF SUPERVISOR (Name typed)
Approved For Release 2001/05101; CIA-RDP810142R000500050010-4
EVALUATION OF POTENTIAL
ADMINISTRATIVE
C SECRET C7 CONFIDENTIAL C INTERNAL USE 0 UNCLASSIFIED
nwr.v
 Approved For Rele 2001/05/01 : CIA-RDP81-00142R00&A0050010-4
SEV.IlV POINT SCALE PER O -[ANCE-DF Ii7ITIONIS
1. Constant supervision and direction are required to keep efforts
focused on assigned tasks; efforts are not sufficient to complete.
work on time; performance quality consistent-1-j- falls short of
formulated expectations.
2. Continual supervision and direction are requred to keen efforts
focused on assigned tasks; work is frequently late and frequently
falls short of formulated expectations.
4. Applies required efforts to assigned tasks under routine supervision
and direction; uses standard approaches to tasks so that tasks are
completed on time; work produced meets formulated expectations.
6.
Usually applies efforts to priority elements, of assigned tasks and
requires moderate supervision and direction; uses effective approaches
to tasks so that tasks are frequently completed a ead of deadlines;
work produced sometimes exceeds formulated expectations.
Consistently applies efforts to priority elements of assigned tasks
while requiring little if any supervision and direction; uses most
effective, often new, approaches to tasks so t'-at tas's are completed
well ahead of deadlines; work produced consistently exceeds formulated
expectations.
Approved For Release 2001/05/01 : CIA-RDP81-00142R000500050010-4