LEGALITY AND PROPRIETY

• Document Type: CREST
• Collection: General CIA Records
• Document Number (FOIA) /ESDN (CREST): CIA-RDP82-00357R000300030003-7
• Release Decision: RIPPUB
• Original Classification: S
• Document Page Count: 120
• Document Creation Date: December 16, 2016
• Document Release Date: June 29, 2005
• Sequence Number: 3
• Content Type: REQ

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LEGALITY AND PROPRIETY
1. The legality and charter compatibility aspect of
the survey addressed particularly those Office of Personnel
activities that involve the creation and maintenance of
files on American citizens, that involve American organi-
zations and Americans who are not CIA employees in CIA
activities, that involve personnel policies or actions that
differ significantly from normal Federal Government practice,
and that involve financial transactions. These activities
are discussed under suitable headings in the following
paragraphs.
Files on American Citizens
2. The Office of Personnel maintains files or records
on Americans who are or have been employed by the Agency and
on many applicants who are seeking or have sought such employ-
ment. These records fall within the four categories of such
files for which the Director of Personnel is responsible.
These file categories are numbered and described in the
Federal Register of August 28, 1975. The Office of Personnel
also maintains "soft" files on its own personnel, which are
part of the CIA-26, DDA "soft" personnel records system.
3. Manpower Files. File CIA-29, Manpower Control
System, includes various computer and hand-maintained
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compilations of data about CIA personnel. Retention of
these files is listed as permanent for currently operating
subsystems. The Federal Register indicates that a record
system, including disposal, will be implemented when the
system is fully operational. The Director of Personnel is
aware of this obligation. This system, designed to meet
internal management needs, presents no problems from a
legality or charter compatibility viewpoint.
4. Applicant Files. Retention of File CIA-30,
Applicant Files, is limited to two years in the case of
applicant files "placed in process for employment but
subsequently cancelled." The practices actually followed'
vary, depending on the stage at which the application
becomes inactive. If a security investigation has been
requested, the Office of Security will retain information
on the applicant indefinitely in its security investigation
file. In such cases Office of Personnel files are destroyed
within the two year limit.* After such destruction the
Office of Personnel will also, in most cases, destroy the
file cards used to identify an applicant and locate his file.
File cards are retained by the Office of Personnel only on
those applicants who were "panel cases" or were rejected for
security or medical reasons.
*At present, OP in response to Congressional requests, is
destroying no files.
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5. The retention policy for the CIA-30 file system
includes a statement that "Files on applicants who may be of
interest at a later date are retained indefinitely." In
fact, essentially all applicant files reaching Headquarters
which are not put in process are stored for three years
under Office of Personnel auspices and then are microfilmed
for indefinite retention, still under nominal Office of
Personnel control, in an ISG/DDO microfilm copy file. This
practice was initiated many years ago in response to a CI
Staff requirement and, according to the General Counsel, is
justified as needed to verify possible reports from outside
sources of attempts to penetrate CIA.
6. The ISG/DDO applicant system is separate from other
DDO-maintained files on personalities and individual files
can be located only if the applicant's name is known. The
number of files in this system is approaching
During most of the last half of 1975 about six queries a
month were addressed to this system by various DDO Divisions.
The records immediately available in ISG do not indicate
? either the reasons for the requests or the frequency with
which the system was able to provide positive information in
response to them. This rate doubled in December 1975. The
reason for the increase is unknown, but the time of occurrence
suggests it relates to Privacy Act searches. A memorandum
from the Chief, Counterintelligence Staff, states that
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.there has been a substantial increase in the use of
these files in the past two years, although we are not aware
whether this use has resulted in significant information
being derived from the files."
7. The permanent retention of a very large number of
applicant files is within the letter but not the implications
of CIA's stated file retention practice. Public exposure of
this practice (perhaps through FOIA or Privacy Act requests)
could generate adverse reactions and perhaps challenge of
the stated file retention policy. Although CIA must be pre_
pared to risk adverse publicity if necessary to filfill the
requirements of its mission, it is desirable that such risks
be justified by the value of the potentially unpopular
activity. The Inspector General will bring the risks of
adverse publicity inherent in the ISG/000 retention of
applicant files to the attention of the DDO and request a
more specific examination of the current usefulness of the
practice. The Inspector General's recommendation concerning
continuation or termination of the practice will be made
after consideration of the DDO response.
8. Certain applicants who are unsuited for available
staff employment vacancies have contacts or capabilities
that could make them attractive prospects for employment
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operational support role.
DDO in an agent or
Such applicants are often, but
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not always, foreigners. It has long been the practice of
Office of Personnel field recruiters to pass the names and
available information on such applicants to field repre-
sentatives of
DDO after informing the applicant that he
is unsuited for available positions in CIA. The applicant
is not advised that he may be of operational interest and
is usually unaware that interest in his application may
continue.
9. Most of the applicant resumes passed tor--TDDO
field personnel prove not to be of operational interest and
the records are destroyed in the field. In some cases, how-
ever, internal name traces are done in CIA and occasionally
the name may be checked with other agencies through the FBI
to look for criminal records or any other adverse infor-
mation that might exist elsewhere in the government.
may also solicit information from cleared contacts
who know or can get to know the individual, if such con-
tacts are available. If these inquiries support continued
interest in the applicant, he will be observed and assessed
and eventually may be given a recruiting pitch. If a U.S.
citizen, the applicant will be told that the recruitment
is by CIA, although the individual making the.pitch may not
use a true name.
10. Consultation with the Office of General Counsel
indicates that the practice of using normal applicant files
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for operational targetting is proper for the Agency and
does not violate the Privacy Act. The practice does have
some potential for adverse publicity if a hostile
applicant becomes aware of continuing Agency activity in
his case after he has not been accepted for regular employ-
ment. It is unlikely, however, that a hostile applicant
will become aware of the continuing Agency interest.
Responses to Privacy Act requests by an applicant would
probably reveal no more than the fact that the Agency still
has his resume on file. Moreover, the careful assessment
made before a recruitment pitch is attempted should fore-
stall attempts to recruit potentially hostile applicants.
It, therefore, appears that this use of applicant files
can be continued as long as it is of value.
11. Many records on applicants received by field
recruiters are never furnished to Headquarters. These
records range from notes made by the recruiter during a
single telephone contact to almost complete sets of
application forms. They pertain to applicants rejected
by the recruiter and to applicants with desirable
qualifications who cancel their application or fail for
other reasons to complete the paperwork or testing required
for consideration by Headquarters components. Most
recruiters also maintain file cards on applicants they have
been concerned with. Except for the file cards, the
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recruiter-held records are destroyed, usually six months to
a year after the application has become inactive. Practices
on file card preparation, content and retention have varied
widely among recruiters. A few retain the cards indefinitely
while some do not prepare such cards at all. Recently the
Office of Personnel has obtained copies of existing file
cards for use in researching Privacy Act and FOIA requests
in Headquarters. Policy is still being evolved in the
Office with regard to whether or not future development and
retention of such cards or other records is needed to
respond to such requests.
12. In summary, no problems involving legality or pro-
priety were found with the applicant files maintained by
recruiters at their Field Offices. There may be a need
to standardize somewhat the record-keeping practices of the
several recruiters and a retention policy for file cards
will also be needed. These problems are under active con-
sideration in the Office of Personnel now.
13. There are some minor exceptions to normal Office
of Personnel practices in dealing with applicant files.
Certain applicants are "crank" cases in that they reapply
very frequently, attempt repetitively to obtain employment
by the use of outside pressures, or take other actions
requiring fairly frequent reference to their file. Records
on such applicants are maintained separately until it is
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clear that the files have become inactive.
14. A special applicant file exists in the
Qualifications Branch of the Office of Personnel. This
file, which contains only about 1600 names, resulted from
a short-lived attempt to code the records of rejected
applicants according to their skills for use if unantici-
pated needs for these skills develop. The coding practice
has been abandoned and presumably the file will he dis-
carded when it has outlived its usefulness.
15. Files on Current and Former Employees. Official
Personnel Folders are maintained in general accordance
with the Federal Personnel Manual (FPM). In some cases
CIA practices differ from those specified in the Manual,
however. For example, photographs of employees are
included in their folders although this practice is for-
bidden by the FPM. Some types of documentation, such as
requests for personnel actions, are permanently maintained
in CIA employee folders after retirement when the usual
government practice is to discard such papers. In each
such case there has been a positive management decision to
depart from the FPM procedures. The CIA is not required
either by law or the Civil Service Commission to follow
those procedures in detail.
16. Various additional changes in the contents of
folders are being developed and authorized as a result of
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suggestions from employees who have reviewed their own
records. One such change, for example, is the removal
of a cross reference in the folder that indicated, without
explanation, the existence of additional records in the
Special Activity Staff, an organization normally concerned
with disciplinary actions. Effecting these changes is
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active folders is a very slow process which
is carried out only during summer months when temporary
employees are available for the job. At present there are
no efforts to modify the roughly
inactive folders 25X1
to reflect these changes in view as to what information
such records should contain.
17. The contents of these folders also suffer
occasionally from misfiling by inexperienced clerical
personnel in the Transactions and Records Branch and by
the occasional unauthorized addition of materials to the
folders by components during times the components are
using the files. The Inspectors were unable to assess the
magnitude of these problems, however. They lacked the knowledge
to judge whether all required information pertaining to an
individual employee was included and the time to examine a
sufficient number of files to determine the frequency with
which unauthorized or misfiled materials were present. They
similarly lacked a means of telling whether most misfilings
were relatively unimportant or involved career-damaging
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omissions or commissions. The sampling done by the
ASV Inspectors confirmed the existence, if not the prevalence
and significance, of filing problems, however.
18. It is not clear that inadequacies in Official
Personnel Folders constitute a legal problem for the Agency
and it is unlikely that feasible actions could correct all
such inadequacies. If, however, a significant proportion
of folders were found to contain unauthorized or inappropriate
damaging material, or to exclude important positive material
and if Agency activity to improve the situation were to
remain as limited as it now appears to be, accusations of
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unfair practices might receive favorable consideration by a
court. In any case, even without legal incentives the Agency
would want to correct such a condition.
19. Review by an employee of his own Official Personnel
Folder has been authorized since 1955 but was rarely done
until the recent publication of a Headquarters Notice
of 26 September 1975) calling attention to this
authority. The system developed for handling the resulting
influx of employees wishing to review their folders could be
used on a sampling basis to obtain measures of how fre-
quently filing inaccuracies exist and how frequently
inclusions and omissions are of a career-damaging nature.
As a side benefit, the sampling could also provide employee
suggestions regarding document inclusion policies
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Personnel could be randomly selected from the various major
components in numbers sufficient to provide a reasonable
statistical sample of their organization. "Soft" component
files on these people could be borrowed. Such files can con-
tain important information not duplicated in official folders.
The selected personnel could then be required to review their
own records in the presence of an Office of Personnel repre-
sentative (as is now done for employee-initiated reviews).
The employee could determine the presence of misfiled records,
if any, and the absence, if true, of documents he knows to exist
that should be included. The personnel specialist could deter-
mine whether unauthorized material is present and whether 'Additional
documents in "soft" files should be included in official folders.
He could also grade the importance of the misfiled or missing
material. Tabulation and statistical analysis of these results
could provide a reliable indication of the condition of active
Agency Official Personnel Folders and a compilation of employee
suggestions about changes in file policy. The Director of
Personnel would then be in a position to make well-informed
judgments about whether and when a major effort to improve the
folders should be undertaken.
20. The suggestion above is only one approach to the
problem. Whether this or an alternative effective method is
used is unimportant. The Inspectors believe, however, that a
reliable measure of the condition of CIA Official Personnel
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Folders is needed and they found no evidence that an
effective system now exists to provide this information.
Therefore:
Recommendation No. 1. That the Director of Personnel
implement a means by which the condition of active Official
Personnel Folders can be assessed in terms of the presence
of misfiled or unauthorized documents and the absence of
documents that should be included. If widespread serious
inadequacies are found to exist review and correction of
all active folders should be undertaken.
21. The recently published retention policy for CIA
Official Personnel Folders specified destruction by burning
75 years after the birth of the employee or 60 years after
the date of the earliest document. This FPB-based policy
has not been followed during the time that records
destruction has been restricted at the request of Con-
gressional investigators and, in fact, was not practiced
before that restriction. It is also understood that some con-
sideration is now being given to permanent retention of
Official Personnel Folders on former Directors and other
senior officials, perhaps including all supergrades.
Decisions on such proposals, changes as necessary in published
policy, and implementation of the published destruction
criteria will be required in the near future when the pro-
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hibition against records destruction is lifted. The Director
of Personnel is aware of this question.
22. The Chief of the Special Activity Staff maintains some
records on personnel with whom he has dealt in adverse or un-
favorable personnel actions. The content and retention periods
for these records varies widely, depending on the nature of
the action and whether or not the SAS records are the primary
source of information on the case. The rule of reason
apparently followed in maintaining this system appears appro-
priate and does not appear to conflict with the rules laid
down for the Official Personnel Folders of which these SAS. records
are sometimes a separated part.
23. Appropriate excerpts from the Official Personnel
Folders of ostensibly separated employees actually working
under cover as staff agents are maintained in Contract Per-
sonnel Division. The Division handles personnel actions con-
cerning these personnel under pseudonyms. This system, and
the means employed to reassemble the personnel folders after
the staff agent status or actual employment is terminated,
appeared to be completely in order to the Inspectors.
24. Contract Personnel Files. The CIA-31 Official Per-
sonnel Records system includes contract as welI as staff
employees. Files maintained by the Office of Personnel on con
tract employees include little more than contract and
financial information, however. The Operating Components have
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traditionally maintained the principal parts of the personnel
records--the career and performance evaluation data. The
portions of the records maintained in the Office of Personnel
present no problems from a legality or charter compatibility
viewpoint.
25. Examination of the contract personnel records main-
tained by Operating Components was not attempted during this
survey. The Inspectors did obtain general information to the
effect that the quality of these records and even the file
content policies and practices vary significantly among the
responsible components. The Inspectors believe that this
inconsistency might generate future problems in somewhat the
same sense as discussed above for staff employee records.
26. The change to a single personnel ceiling for con-
tract and staff personnel, and the resulting conversions of
many contract personnel to staff employee status, expressed
the Agency's recognition of the fact that these employment
categories are increasingly similar to each other. Therefore
there seems to be little justification for continuing the
very different handling of Official Personnel Records.
Inclusion of such records in Office of Personnel holdings
would permit greater standardization of the records, probably
improve the quality of some of them, and give the Office of
Personnel better access to data needed to generate information
compilations for management use. At the request o. the ODA,
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the Inspectors, during their customer survey, sought the
reactions of component heads to such consolidation. Many
welcomed the suggestion and the very limited opposition dealt
with special security situations which, if necessary, could
be handled specially.
Recommendation No. 2. That the Director of Personnel
assume custody and responsibility for all Official Per-
sonnel Records on contract employees.
27. Consultant and Independent Contractor Records.
These records, included in File CIA-32, are also
divided between the Office of Personnel and responsible
Operating Components. Few of the reasons for con-
solidation mentioned above apply in this case. Improved
definitions of the distinct differences between personnel
in these categories and staff and contract employees are
now being developed jointly by the Office of Personnel and
the Office of the General Counsel. The objective is to
prevent misuse of these categories to evade single-ceiling
restrictions on staff and contract personnel manning. Con-
tinuing Office of Personnel participation in Consultant and
Independent Contractor activities is necessary for a variety
of reasons, including monitoring potentials for misuse, but
no changes in present systems appeared to be needed. The
Office of Personnel activities appear to be completely
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consistent with legal and charter requirements.
28. Privacy Act Conformance. The Inspectors were very
favorably impressed with the attention given by all Office
of Personnel components to privacy protection. Procedures
for handling requests from outside the Agency for infor-
mation on CIA personnel are well understood and followed, as are
the rules restricting inside access to private information.
29. Recruitment. All field recruiters were visited during
this survey and the investigations included practices followed
in dealing with applicants and with governmental and private
organizations. Although dealings with applicants are not
always completely frank--a rejected applicant may be given an
erroneous impression of the rejection cause if the real one
is uncomplimentary, for example--recruiters were found to be
?as specific and forthcoming with applicants as possible
under restrictions imposed by security and common sense.
Recruiter relations with private and other government
organizations in their areas are almost exclusively concerned
with recruitment activities and CIA affiliations are openly
acknowledged.
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32. Upon review of these various activities5, the
Inspectors found no reason to suspect illegality. The
activities appear to be well justified by the unusual
characteristics of CIA's mission.
33. Other External Relations. The Inspectors examined
the Office of Personnel's employment assistance for
departing employees, and its assistance in employee
emergencies, to determine if these activities involve
inappropriate relationships with organizations
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No
Aywi, such problems were found.
34. Financial Transactions. The Office of Personnel
participates in many activities where significant amounts of
money are involved. The Inspectors confined their investi-
gations of these activities to examination of the auditing
practices and financial controls employed. Similarly,
the Inspectors investigated the methods by which trans-
portation arrangements are made to insure that the systems
used preclude favoritism in vendor selection or opportunities
for illicit financial gain by Agency employees. No evidence
was found in any case to raise concerns. The Inspectors
believe that the Office of Personnel's financial trans-
actions are well managed and thoroughly audited.
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TAB B
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EMPLOYEE PERSONNEL RECORDS
AND MANAGEMENT INFORMATION
Introduction
1. A comprehensive investigation of this subject
would take in virtually every Office in the Agency. This
is not only a fair statement of the magnitude of the
subject--it also highlights a fundamental Agency-wide
problem which transcends the scope of this survey, that of
scattered data and duplicated filing resources.
2. Within the Office of Personnel the Deputy
Director for Plans and Control bears the major responsi-
bility for personnel records management--though both of
the other Office Deputy Directors also have important
records-intensive duties to perform in verifying personnel
actions, maintaining records on contractual relationships
both within and outside the Agency, managing the insurance
program and recording the extensive financial transactions
centering on the Credit Union. The Agency repository for
central personnel records resides in three units: the
Qualifications Analysis Branch, the Statistical Reporting
Branch and the Transactions and Records Branch. Somewhat
oversimplifying, the Qualifications Analysis Branch main-
tains the biographic profile listing and the skills
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inventory. The Statistical Reporting Branch is on call for
any type of statistical compilations on Agency personnel
matters, and is the managing authority for cthe monthly Staffing
Complement (who is working for us ahd where). It also provides
an important OP interface with the'co4-U-ier programs devoted
to personnel listings. The Transactions and Records Branch
manages the file room where are kept all current Official Per-
sonnel Folders, it maintains a current locate roster of Agency
personnel, and, central to all of this, has the responsibility
for ensuring that personnel actions are properly recorded in
the various information repositories, including the computer
banks.
3. Because our customer survey, as well as some of the
remarks which follow, have a negative cast, it is important
to say at the outset that the personnel records management
system is the child (perhaps, the victim) ?of the decentralized
type of operation which has characterized Agency management
for over two decades. That it is not a neat unitary system
is understandable, for it was pieced together over the years,
sometimes in response to genuine needs but more than once out
of the duplicative efforts of a bureaucracy highly compart-
mentalized for security reasons. Add to this the security
problems associated with complicated cover arrangements and
the many different types of employment categories and one
has no difficulty in understanding why the Agency is faced
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with a patchwork of systems, none of which entirely fails to
do its job, but none of which seems wholly adequate.
4. Given this background, we have nothing but praise
for the records managers in the Office of Personnel for their
work attitudes and their enthusiasm under much less than ideal
circumstances. We were impressed by the key people we met in
the Control Division, including its Chief. Much of their
work, however essential, is by its nature routine and potentially
enervating. They appear to approach it with a positive attitude,
have been able to maintain a good perspective on the importance
of what they do--neither downgrading it or attaching unrealistic
value to it--and they face a processing workload comparable to
that in many of the Agency's busiest production offices.
5. The faults and difficulties of the present patchwork
system are well recognized by all who work with it. They
equally recognize that computerization, now in the planning
stage, has the potential for making major--some say even
quantum--improvements. The issue is not so much how to make
the present system more workable, but rather to ensure that
we, as an Agency, successfully and soon make the move to an
integrated computerized personnel records management system.
Official Personnel Records
6. A number of customers are critical of the Official
Personnel Folders maintained by the Office of Personnel.
The customers refer to the presence of misfiled materials,
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to incomplete contents, slow inclusion of new material,
and to the presence of multiple copies and trivia. It is
important to note that in many cases these complaints appear
to reflect irritations more than very fundamental problems.
Supervisors have learned to locate the items usually of
interest to them in the overly thick folders and to skip the
excessive and redundant materials. Misfiling and incomplete
contents can be a serious problem, however, since these
folders serve as the source reference for an individual's
career record. As discussed in Tab A, the Inspectors con-
firmed the existence of these problems but were unable to
obtain a reliable measure of their prevalence. Recom-
mendation No. 1 that the prevalence be measured and cor-
rective action be taken if indicated is included in Tab A.
7. Official Personnel Folders are maintained by the
Transactions and Records Branch, a large unit with a staff
25X1 varying fromr?lto as many as The Branch Chief manages
her unit with dedication, enthusiasm and long hours of hard
work. Because every Office of Personnel staffer must spend
a few weeks orientation in the Branch, she has a heavy
training responsibility. She is also responsible for main-
taining the Agency locater file and performs .various
important ad hoc duties as well.
8. Chief, TRB acknowledges that in years gone by
Official Personnel Folders were often incorrectly maintained
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and out-of-date. She claims that the folders are now kept
current within a very few days of receipt of any new infor-
mation. She says that the chief culprits in the misfiled
information problem are the components who borrow the
folders, then frequently misfile or add material which
doesn't belong and, on more than one occasion, lose files.
We doubt that the blame rests entirely or even primarily
with the customers, but are satisfied that they are
important contributors to the problem.
9. TRB processes all Agency personnel actions. This
means simply that these actions, originating in components,
come to the Branch for verification (as to accuracy) and '
are then filed in several repositories, including current
and forthcoming computer systems. There are means for
cross-checking these procedures within TRB and we were told
that they are adequate to the purpose. However, Chief,
TRB faces a rather continual problem of monitoring errors.
She acknowledges that her own junior clerks make many mis-
takes, which she must be ever alert to correct. She also
feels that there are entirely too many mistakes being made
by Office of Personnel assignees to the components. According
to a recent memo she directed to the Chief, Control Division,
during a single week she received Illipersonnel actions with
over 100 errors in them. These errors have to be corrected
before the information can be accepted by and recorded in
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the computer. All personnel actions must be correct and
up-to-date in the computer bank before the pay program
will operate--there is more at stake here than most of us
realized!
10. The TRB staff consists almost entirely of low-
graded clerks, some of whom are the cast-offs from other
Offices. Such manning contrasts with the heavy amount of
responsibility represented by its many tasks, the Branch
Chief takes much of this on her own shoulders--perhaps more
than she would like to ideally--but she also has very junior
clerks engaged in tasks important to Agency management that
must be done right. We had the uncomfortable impression
that a great number of information activities were tacked
together within the Branch and that, except for the
unusual energies of its chief, things could easily go awry.
We feel that even now she probably needs more senior
assistance in her management tasks--she complained that her
Deputy was not carrying his weight. Considering her key
role, it is obviously important that a well-qualified
successor be available.
11. Whether or not individual personnel shifts are
needed is a problem best left for decision by Office of
Personnel management. A more significant reorganization of
TRB seems unnecessary and inappropriate at this time,
however. The advent of new computer systems, Persign I,
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now nearing completion, and Persign II, "officially"
scheduled for completion by mid-1977, will lead to many
changes in Office of Personnel procedures and organization,
including changes in TRB. It is probably best to defer all
essential changes until then. But until new information
storage technology is developed to a form acceptable to
government Archivists the basic hard-file personnel record
will remain a standard repository of such information in
the Agency.
Biographic Profiles
12. The Qualifications Analysis Branch maintains
employee biographic profiles for management use. Almost
all of the component managers interviewed were critical of
these profiles, considering them too incomplete and out
of date for their needs. A widely perceived need for such
summary information is apparently less than fully
satisfied.
13. Three analysts now work full time on these Agency
biographic profiles. According to Chief, Control Division,
it is impossible under the present system to keep all files
current. The staff will update files on request, and works
on a rotational system for routine updating of all others.
There continues to be a steady demand for biographic pro-
files--as many as 1,000 have been requested in one week
(though usual demand averages only about 150). It would
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seem, therefore, that despite customer complaints this
service is found useful.
14. An MBO for the Control Division calls for a
feasibility study on producing the biographic profiles by com-
puter. This evidently is possible, but not with the present
system. As with so much of what was observed in OP data
management, progress must await the advanced Persign II com-
puter system.
15. We think that the present effort is sufficiently
worthwhile to continue without much change. We doubt that
additional personnel would return benefits comparable to
their cost. We would, however, suggest that line managers
be made more fully aware of their part in maintaining current
profiles. If their need for current information is an
important one, they should specify to the Control Division
that they desire an updating. Also they should urge that
their personnel officers never return to the Office of Per-
sonnel a requested biographic profile without themselves
bringing it up-to-date on the basis of "soft" files and
other data available only in the components.
Qualifications Files ("Skills Bank"*)
16. The Qualifications Analysis Branch maintains a
data bank of the skills and training backgrounds of Agency
*Not to be confused with the recruitment listing, with
the same nickname, of applicants for CIA employment.
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employees. The file is maintained in accordance with
criteria established by the Civil Service Commission. In
most government agencies such a file is required to insure
that qualified aspirants are considered for appointment (and
subsequent mandatory promotion) to vacancies in higher ranked
positions. In CIA, where promotions are decided in the com-
petitive career services with more attention to overall head-
room than to vacancies in positions involving specifically
defined qualifications, this "skills bank" is intended pri-
marily for use in locating employees with qualifications
appropriate to specialized jobs. It also provides compilations
useful for planning personnel acquisition and training.
17. Seven employees are engaged in maintaining the
Agency's qualification files. The work is tedious--to
insure validity, entries must be supported by data in
Official Personnel Folders or by other documentary
evidence. Although these people and their supervisors
believe that the files are kept up-to-date, their assess-
ment is not shared by most of the component managers inter-
viewed, who cite incompleteness in the files, particularly
with regard to training accomplished, and slow inclusion of
recent data as reasons for discontent.
18. Resolution of this apparent contradiction becomes
relatively unimportant in the light of general customer
reactions that the maintenance of the "skills bank", at
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least in its current state, is a waste of time. Most com-
ponent supervisors do not feel a need for general qualifi-
cations data. Where specific needs exist, such as the need
for data on foreign language capabilities in the DDO, organi-
zations tend to maintain their own data banks. More senior
Agency managers do make use of compilations drawn from the
qualifications data banks, and wider use would be made of
the system if movement of people within and between
Directorates becomes more common. We believe, therefore,
that the capability should be maintained. We question,
however, whether an urgent need exists for its improvement.
We also suspect that, in modeling the system on Civil
Service Commission practices, complexities and verification
requirements superfluous to CIA needs have been included.
19. As in many Office of Personnel activities, the
Qualifications Analysis people are looking forward to
improved computerization. At the present time a program
called CENQUAL is being developed which would produce 5x8
cards containing an employee's name and job qualifications.
This program is a subsidiary of Persign II and Chief,
Control Division is not optimistic about its completion
date. We suggest that completion of CENQUAL.could be
delayed without serious loss, particularly if such a delay
could free significant program resources for the more
important Persign II effort.
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Computer Program Development
20. The 13-year history of Agency attempts to develop
a comprehensive human resources computer program is not a
happy one. First conceived in 1963, the program was intended
to amalgamate all the key data elements in a central inter-
locking and mutually supporting system. It was to include
a capability for both the current and historical recall of
data for the proper management of job-related activities of
our employees. It was a very ambitious undertaking, though
by no means beyond the limits of then available computer
technology or significantly ahead of several other similar
efforts being undertaken by private industry.
21. In 1973, after nearly ten frustrating years of
effort on ?this so-called Support Information Processing
System (SIPS), a decision was made to take a new approach--
one that would still weave together the various aspects of
human resource data management (personnel, financial,
contract and security) but would be built in step-by-step
fashion, rather than altogether. The new effort, called
Management Assistance Program (MAPS), was placed under the
Office of Joint Computer Services (OJCS) in 1974 where it
continues to be developed. For the Office of Personnel,
the program will culminate in the Persign II system. This
will combine current and historical data from most of the
now-separate systems on a wide range of personnel matters
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and will provide managers a readily available means of infor-
mation consolidation and recall.
22. At the present time matters stand thus: An inter-
mediate stage program (Persign I) is nearing completion which,
using the IBM 360, will permit the accession of personnel
information now being fed--via paper tapes--into the obsolete
RCA 501, Persign I will also include, for the first time, a
consolidation of both staff and contract employee information.
It does not have a memory bank which would permit analysis of
historical trends in personnel matters. This latter feature
will be tackled under a program called GAP (General Archive
Program) which is only now on the drawing board. The
official". deadline for Persign II (Persign I and GAP and
other programs) completion is mid-1977.
23. Everyone we talked to, both in the Office of Per-
sonnel and ?JCS, were enthusiastic about the goals planned
for Persign II. One analyst, well acquainted with the pro-
gram, said: "It will be the millenium for personnel
management." More to the point, the same analyst, when
asked whether the new program would work, replied: "That's
the wrong question--it simply has to work, because the old
programs on RCA 501 will simply not carry the Agency along--
they cannot do the job that must be done." We would go
even a few steps further. Without a new computer approach,
Agency initiatives in human resource management will continue
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to be hampered by inadequate and often misleading data.
Basic personnel compilations provided by the present com-
puter systems are limited in scope, often out of date, and
some probably contain significant errors which can neither
be identified nor corrected with the present system. For
example, both the CIARDS retirement data and the insurance
data for the FEGLI program now filed in the current computer
system is acknowledged by Chief, Automated Data Resources
Staff, to be in error. This situation has arisen because
the computer has been unable to handle the workload
required for appropriate updating. Persign II will pick
up much information from the old system and to the exteni
it is in error, it will continue to be so. However, Chief,
Automated Data Resources Staff, feels confident that most
of the major problem areas are known and can be corrected
in due-course--given the increased capacity and speed of
the system.
24. Our inspection of the computer issue raised for us
some disconcerting danger signals. Most persons directly
involved with planning for and managing Persign II do not
believe the deadlines will be met (the sole exception of
those we talked to was the Director, OJCS). Estimates of
slippage range from a few months, to never. We are in no
position to verify these statements, but we feel that it is
important to report on the symptoms of possible difficulties
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25. Persign II has a very high priority in the Office
of Personnel's planning. Likewise, OJCS, the other major
component involved with Persign II, considers it to be a
very important project. OJCS, however, faces many demanding
customers and must tailor its work program accordingly.
Thus, the original target date set by OJCS for completion
of the Persign II project proposal was initially well ?behind
the date set by OP; this discrepancy was resolved through
joint committee action but even now Persign II, though in
the so-called "Category I" priority on the OJCS work roster,
is about 20th in priority in a listing of 25 or 26 other=
projects (from all Directorates).
26. There is apparently considerable confusion about
how many analysts are actually working on the program.
We heard estimates from responsible Office of Personnel
officials ranging from two to eight. We were told that
three persons (the Automated Data Resource Staff) pro-
vided the main Office of Personnel support and liaison
for the effort. We were told, incidentally, that a
prospective move of the Automated Data Resources Staff
later this year might cause serious delays. We visited
the Staff, housed in OJCS working quarters, and found the
quarters very inadequate and the work force poorly sup-
ported by OJCS. The Staff Chief put the best face on her
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situation, but she could not erase our feeling that she
enjoyed very little authority in her position, either with
her own office or with her host, the OJCS. Further, we
learned that only two of the three persons on her staff
worked on Persign II; the other analyst has been and is at
work on a computerized locater system which is quite
ancillary to the main system.
27. We learned that there are monthly meetings to chart
the progress of Persign II and other MAPS efforts. These
are inter-Directorate meetings attended by senior working-
level officers as well as the Directors of several Offices,
including OP and OJCS. One senior officer who attends some
of these meetings, when asked whether the meetings come to
grips with real issues, replied, "Mostly, they lie a lot to
each other." Again, we can only report symptoms: con-
flicting priorities, working-level concern that things are
not going as planned, organizational confusion, and just
possibly, a certain amount of self-deception.
28. The current concern with Persign II stems,
according to many, from the many partial personnel data
systems which are being created on request by OJCS to meet
special needs of particular Offices. Some of these are
probably quite necessary, but we think that each one should
be scrutinized very carefully for its possible impact in
the scheduling for Persign II.
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29. The importance of avoiding unnecessary further
delay in the development and implementation of Persign II
is difficult to overstate. Both the currently unsatisfiable
need for accurate and complete management information and
the fragilities, inadequacies and costs of the patchwork of
systems now performing vital personnel functions argue for
a very high priority. This, and our concern about the
symptoms we encountered, lead to the following recom-
mendations.
Recommendation No. 3. That the Director of Personnel,
working with the Director of OJCS, review the priorities
for Persign II in terms of manpower assigned and the
physical arrangements allotted to staffs.
Recommendation No. 4. That the Director of Personnel,
working with other Offices concerned with the MAPS program,
review the elements of Persign II and assign subsidiary
priorities to those which do not represent key elements of
personnel data urgently needed for managerial decisions or
for provisions of personnel services.
Recommendation No. 5. That the Director of Personnel
request that the Director, OJCS obtain his concurrence
before undertaking personnel-related jobs for other
organizations that are likely to impact unfavorably on
early completion of Persign II.
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30. Increased top-level awareness of the importance
of understanding and guiding the development of Agency human
resources, coupled with adoption of the Management-by-
Objective technique, have generated needs for compilations
and analyses of historical, current and projected personnel
data. The Annual Personnel Plan (APP) and Personnel Develop-
ment Program (PDP) are major vehicles designed to meet these
needs. Other consolidations, such as OTR projections,
Recruitment Division projections, and a few separate com-
ponent compilations and projections also exist. Compilations
of current information are also needed for day-to-day
management decisions. Chief among such is the Staffing
Complement, which combines information on authorized Table
of Organization positions and the names and some data about
incumbents. Comments on this last compilation are included
in Tab G.
31. Both the Annual Personnel Plan (APP) and the Per-
sonnel Development Program (PDP) were launched in early
1973. They provide a common structured system for Deputy
Directors and Senior Operation Officials to present their
personnel management plans in a format which permits top
management to review these plans, monitor patterns of
progress and finally to evaluate the effectiveness of
implementation. In terms of Agency culture, these efforts,
principally inspired by the then DCI's own views of what was
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needed, are an attempt to make the Agency's guided but
delegated system of management more effective. The APP
provides for the forward planning and reporting on a
number of personnel management goals (e.9., inter-
Directorate transfers, training, EEO). The PDP places
special emphasis on the responsibility of managers to
develop people--most _especially focusing on the
employees in grades GS-13 through GS-15 who have been
selected as having the potential for assignment to
executive level positions. In instituting these
innovations, the DCI predicted that five years would pass
before the concepts were fully developed, accepted, and
effectively employed. His prediction appears to be dis-
tressingly valid.
32. The kindest reactions to the APP found during
our customer survey describe it as a good idea, badly done.
Some customers understand the need for the report at the
highest Agency level, but essentially none make use them-
selves of the compilations they develop for the APP. Many
describe the effort required to assemble the APP as
excessive and complicated by late delivery of instructions
for its preparation and by still later changes in these
instructions. Moreover, they believe, with reason, that
the accuracy of the compilations is subject to serious
doubt. For example, an effort to use the document to
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provide gross historical and projected Agency manning
information to OMB was abandoned recently because only in
the DDI submission did the historical data prove to be
correct.
33. In contrast to the APP, the PDP is liked by some com-
ponents and seriously disliked by few. It is simpler to pre-
pare. Some customers make direct use of the product. They
consider the effect of being compelled to consider and follow-
up on specific plans for development of replacements for
senior people beneficial. Many other managers are neutral in
their views of the PDP. A few component chiefs believe that
both personnel and needs change too rapidly to permit long-
term planning to meet future needs, and that the PDP is
therefore unrealistic.
34. After listening to the chorus of complaints about
the APP during the customer survey, the Inspection Team was
prepared to be mystified by its complexities and to find it
well beyond the simple understanding of laymen. We actually
found the APP to be far less formidable, less complicated
and less statistically demanding than represented by its
critics. This is not to say that customer perceptions are
without merit--criticisms were far too prevalent to be
ignored. What we do believe, however, is that some
relatively low-cost adjustments, some further publicity
and training efforts and some very serious attention to the
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data base problem (and associated computer support), will
go far toward improving general Agency acceptance of this
new management tool, and its companion the PDP.
35. Our investigations of this subject were focused
primarily on the APP. There were relatively few adverse com-
ments about the PDP elicited during our customer survey.
Thus, we studied it only briefly--mainly to acquaint our-
selves with its format and suitability to the tasks it is
to accomplish. In our more intensive look at the APP, we
were concerned primarily with how the Office of Personnel
figures in its development, preparation, dissemination and
use.
36. As mentioned above, DCI Colby was the
principal instigator of the APP. His staff for this effort
? has been provided in considerable part by the Office of
Personnel, specifically, by the Review Staff. This
? Staff, consisting of a supervisor and three analysts, has
other functions, but clearly considers its support for APP
to be most important. Both the Chief, Review Staff and
her supervisor, the Deputy for Plans and Control, are
articulate and knowledgeable proponents. Both give
periodic lectures on APP to management seminars and the mid-
career course. They believe these talks are useful--they
emphasize that there has been considerable improvement in
managerial acceptance during the past year and look to
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further progress.
37. Nevertheless, there is still much misunderstanding
of what APP is all about and the publicity given it has been
inadequate to the need. Moreover, the Office of Personnel
has contributed to poor acceptance of the report through
inadequacies in its early presentations of the plan to
senior management, with excessively complicated preparation
guidelines, belated modifications of instructions and
failures to provide adequate briefing to the middle and
lower-level line managers who must fill in the forms. Some
of the phenomenon of poor acceptance is the understandable
? result of a new program being imposed on a fairly static
personnel system. Some of it, in our opinion, is the
result of communications gap between line management and
Office of Personnel staff.
38. We believe that the Office of Personnel should
continue to exploit available opportunities for briefing
Agency managers on the APP and PDP. One senior officer has
said that the wrong people are being briefed on the
report; the Deputy Directors know about it but they make
"terrible spokesmen" for it. Seldom do Office chiefs
become involved except through their own contributions--
and it is the impression of Chief, Review Staff that
feedback seldom filters back to them. We think there is
need for these briefings to include both Office chiefs
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and their principal administrative officers. Such
briefings should include concrete suggestions for the use
of APP compilations by component management in addition to
emphasizing the positive values to top Agency management
which have been realized from the program thus far.
39. We found the detailed analysis done on the current
APP for the Director unnecessarily prolix and complicated.
We suspect that instructions to line management for the com-
pletion of the forms from which this analysis was done could
be simplified and thus made more palatable. Moreover, we
perceive a view of line management, in our discussion with
Chief, Review Staff, that is not conducive to solving the
communication problem--namely, her view that line managers
are unnecessarily sloppy, lack logic, and exhibit general
indifference, all of which works against the program's
success. We think a more positive approach to the com-
munication problems would come,from a recognition that
line managers are often overworked and beset with a plethora
of current deadlines. They are best prepared for innovation
if it is made quite clear how it will help make their
activity became more effective (and easier to manage). They
are not prepared to be confronted with complicated instructions
for filling out elaborate forms, the purpose of which seems to
have nothing to do with solving today's problems today. With
these thoughts in mind, we feel that a more successful approach
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can be made by the Review Staff and others in the Office
of Personnel toward gaining acceptance for the program.
40. We did not find the number of categories of infor-
mation in the APP to be a dominant problem, although some
appear relatively unimportant. We understand that the DDA
and the Office of Personnel plan to review with the new
Director just what categories have proved of worth and which
ones have not been very useful. This could lead to some
worthwhile simplification.
41. Finally, we think that some of the program's
negative image comes from data base inadequacies and
statistical discrepancies, the results of which are obvioui
to line managers. Their organizations simply don't look
like they appear to look from data provided by the Office
of Personnel. We feel this to be a strong element in the
credibility problem which seems to surround the program.
Data base difficulties will continue to impede acceptance of
the APP and, to a lesser extent, the PDP, until the Persign
I and II human resources computer programs become available.
We expect these programs to ease significantly the line
manager's data accumulation and presentation problems, to
improve the quality and uniformity of the resu3t, and,
hence, to improve present negative attitudes toward the APP.
This is itself a worthy reason for providing impetus to the
timely completion of these computer programs.
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'though we have provided suggestions about Office
of Personnel attitudes and actions on this problem, most
reflect our endorsement of actions now underway. We, there-
fore, are not including specific numbered recommendations.
We suggest, however, that the personnel management
training course recommended (No. 10) in Tab H be used as
one vehicle to establish better communications with Agency
managers about the APP and the PDP.
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TAB C
INTERNAL PLACEMENT AND MOVEMENT
1. There is a widely perceived need for greater freedom of
personnel movement within, and particularly between Directorates.
Some of these perceptions are simply wishful thinking. From
interviews conducted during the survey, it is apparent that many
employees would like a means of job-shopping around the Agency
to seek a more varied career or higher pay--but many would not
risk the uncertainties of an actual transfer. Managers would
like their poor-performers to find another career--but would
like to retain and add to their stock of outstanding people.
There are more legitimate needs for increased personnel movements,
but progress toward meeting them is hampered by these attitudes
of employees and managers. Moreover, the increasing specialization
required of Agency personnel is making the difficulties greater
with passing time.
2. During the customer survey, the Inspectors heard many
managers express the view that the Office of Personnel should
somehow provide a means for more transfers to take place. Often
the motivation appeared selfish--the manager had or expected to
have a disposal problem. A number of more general benefits
potentially realizeable through increased movement were cited,
however, including:
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a. Acquisition of broader experience and knowledge
by front-running personnel deemed to be candidates for senior
positions in the Agency.
b. Improvement in understanding, communication, and
cooperation among components and Directorates.
c. More consideration of total Agency personnel
resources when deciding how to fill vacancies.
d. Development of a broader spectrum of rpOsitions
available to employees which would allow for advancement
opportunities for those with abilities that exceed grade''
limits available in their present components and would
make for more varied and interesting careers.
3. Despite the views of many managers, we formed the
impression from our own observations and from the statistics
in the Annual Personnel Plan that internal movement of people
is increasing both within and between Directorates. The movement
of supervisors is much more common than it used to be. Energetic
and able younger employees are now often able to find and move
to a new position on their own initiative. This is true of some
older very capable employees, but to a lesser extent. They
often have acquired too much specialization and too high a
grade to make them attractive to a different component.
4. There is still little movement among the people who
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really make the Agency work--the competent, hardworking, average
employees. These people often lack marketable skills--or initiative
and desire--to find different positions--but it is not clear
that the benefits acquired by attempting to develop such skills
or initiatives and desires would exceed the costs of retraining
or, in many cases, of creating unsatisfiable expectations.
Among this group, however, there are some who are semi-elliptical
people in semi-rectangular holes. Their performance and job
outlook would be improved through a move that achieved a better
match between their capabilities and duties. Movement of a few
others who are stagnating or becoming outmoded in their present
position could also benefit both employee and Agency. And in
some cases employees are compelled by limited opportunity in
their component to work below their real potential.
5. Assuming that present healthy trends for movement of
supervisors and outstanding younger employees continue, the
problem is how, and by whom, movement can be fostered, when
desirable, of older outstanding employees and of specific
employees with average, competent performance records. There
seems little point in encouraging general movement without
specific individual objectives in mind. And there is no point
in moving incompetent individuals to new positions unless there
is good reason to hope that the limitation will be cured by
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the move.
6. The Office of Personnel role in this effort must
necessarily be one of establishing mechanisms, providing assis-
tance to individuals and encouraging action by the Career
Services and component managers. Individuals, component managers
or Career Services must provide the initiative for individual
actions, since only they are in a position to know when such
actions are desirable.
7. Given this background, the Inspection Team was gratified
by the efforts found underway in the Office of Personnel to
meet these needs. The Plans Staff has taken the lead in encouraging
the formation of a Careers Committee, and participates in the
Committee's efforts. This group is made up of representatives
of the various Career Services. It is now working on the develop-
ment of career patterns that, where appropriate, will involve
the assignment of personnel outside their components and, in
some cases, their Directorates. It is too early to assess the
Committee's performance, but the concept is one that can contribute
to solving this and other problems that are the children of the
decentralized Agency personnel management system..
8. The Professional Staffing Branch (PSB) of Staff
Personnel Division (SPD) participates in the placement of
incoming professional personnel, although component managers
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really exercise decision power in these cases. After initial
assignment, internal movements of professionals are handled
within the Office of Personnel by the Professional Placement
Branch (PPB) of SPD. PPB records ratifies and often assists
the many personnel movements arranged by the managers and
individuals concerned. In addition, PPB attempts to solve more
difficult placement problems. Such cases are generally initiated
by the individual or by managers arising from such developments
as alien marriages or surplus situations. Some involve people
in the lower grades who have obtained and wish to exploit a neW
academic degree--often in a subject little needed by the Agency.
Still others are people ill-suited to their present positions
and sometimes lacking in skills that are needed elsewhere.
9. During 1975 fewer than! employees sought out or
were referred to PPB for job counselling. PPB succeeded in
placing only about 10% of these problem cases, an unsurprising
outcome considering that PPB amounted to a court of last resort
after efforts by the component and Directorate failed to solve
the problem. We found, however, that when a person comes, or
is sent, to Office of Personnel for job counselling, a sincere
effort is made to help the individual. On occasion, testing
will be recommended in an attempt to better evaluate the type
of work that he or she would be suited for. The Vacancy Notices,
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which PPB is responsible for, serve as a source of leads for
placement as do the Recruitment Requisitions which come into
SPD. PPB also maintains and exploits contacts with the Personnel
Officers assigned throughout the Agency. In some cases PPB
enters the person's qualifications in the listing (sometimes
called the skills bank*) of applicants under consideration for
employment.
10. The Inspectors examined the Vacancy Notice system
administered by PPB and found that it works as well as can be
expected, which in some cases is very well indeed. Components
and Directorates in general fill their vacancies from within and
are apt to seek outside applicants through the Vacancy Notice
system only in those cases where they lack qualified people.
While this restricts access to opportunity, it also prevents
the proliferation of Vacancy Notices that are unreal because
the manager concerned has already made his decision. The Vacancy
Notice system works well for some senior secretarial positions
and for some types of professional positions such as editors
at least in the sense of broadening the number of qualified
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applicants. Senior secretary Vacancy Notices often impose a
much greater interview load on busy managers than is justified
by the slight differences among the many qualified applicants.
This inherent problem probably causes some managers to avoid
use of Vacancy Notices, but we are unable to suggest a solution.
11. PPB's modest achievement in placing employees for whom
. change is required is, as indicated above, a product of its
becoming involved only after a personnel problem has become
almost hopeless. The Inspection Team has sought, without success,
to conceive a useful mechanism within the Office of Personnel
that would permit earlier solution of developing problems, and
have concluded that the final responsibility rests with line
management. A more ambitious program by PPB would tend to
interfere with management's responsibility; be more costly to
operate and become overburdened by employees curious about
opportunities elsewhere but not to the extent that they would
be likely to transfer. We believe, therefore, that the prime
responsibility and action must remain with management, including
the Career Services, and that the Office of Personnel activity
is about as it should be. This does not mean that the problem
does not remain a serious one. It only indicates that there
is relatively little the Office of Personnel can do about it
beyond the efforts, especially by the Career Committee, now
being pursued.
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OUTPLACEMENT
1. Outplacement is a key element among services designed
to reduce the uncertainties, income interruptions, and other
financial and emotional disturbances associated with leaving
Agency employment. It is useful as a compassionate service
for retirees, but could have greater value as a means of encour-
aging and expediting the departure of those employees who are
no longer needed by the Agency because of manning reductions,
less than complete suitability for available positions, irrep-
arable stagnation in place, or often combinations of these
factors.
2. We found general agreement among component managers
that the Agency needs an effective outplacement service. The
importance attached to the need varies, with the strongest
advocates being leaders of components with significant recent
or projected force reduction problems and/or those least able
to establish an employee's suitability for a job during the
probationary period before binding job commitments are made to
the employee. The most surprising finding from the customer
survey--in the light of the real situation--is tiiat almost all
component managers believe the present services to be essentially
ineffective.
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CONMENTIAL
3. The Agency's outplacement service is carried out by
the Retirement Affairs Division (RAD), a small organization
which also provides a variety of other retirement-related
benefits and services. These include administering the CIA
retirement program, processing requests for retirement under
the Civil Service system, and providing guidance on retirement
programs for proprietary organizations. The Division is also
responsible for counselling employees contemplating retirement
or former employees who require assistance related to their
retirement situation.
4. There are two central features of the Agency's out-
placement service which bear noting at the outset. First, it
is a service, not a guarantee of a job. The very excellent
brochure provided all persons who retire from the Agency makes
this point: "The counselors have a modest capability for
identifying and contacting likely employers to whom retirees
might make application. While the counselors might be able to
give some job leads, and do extend every assistance within their
means, the retiree is made to realize that they cannot get a
job for him--getting the job is up to the retiree." Secondly,
by no means everyone who retires avails themselves of the
outplacement service. Of the several hundred employees who
retire from the Agency each year, less than half request anything
more from RAD than routine information on insurance and annuity
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benefits and, perhaps, assistance in preparing a job resume
suitably reflecting their years of employment with CIA. During
FY 1975, IIIIemployees sought assistance from the Division.
In addition, 1 IA? approached the Division for assistance
in FY 1974 are still considered active cases. Of the 1974/75
total,
requested counselling and resumes only and
evinced no further'interest after receiving an initial briefing
from one of the retirement counselors. Approximately
requested active assistance in job hunting.
5. We did not find support for the perception held by
many in the Agency that the outplacement service is at best
ineffective or, at worst, non-existent. Undoubtedly more jobs
could be found with a larger budget and a larger staff. But,
even now the success rate must be considered quite respectable.
Of those prospective retirees who actively work with the Division,
complete their resumes, follow up leads provided and make some
efforts on their own, one out of three obtain the job of their
choice. In FY-1975,1-7 such retirees left the Agency with a
new career already settled upon. The remaining job seekers,
some
in number, continue to be considered as active cases
by the Division and, presumably, many of that number will, in
the course of the next year or so, find the employment they
seek through a combination of their own efforts and support
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411
from the Division.
6. At the present time the Division has three professional
employees in the outplacement function, a modest allocation of
manpower when one considers the potential scope of the job. Even
so, the Agency is undoubtedly one of the leaders in this field.
Several years ago a study in the journal Administrative Management
indicated that 86% of the 200 major U.S. companies provided no
pre-retirement programs at all, much less an active outplacement
function. According to the Chief of RAD, little outplacement
service is provided elsewhere in government. NSA has a contract
with a private employment agency; the Department of State has a
small unit of about four persons handling all types of retirement
counselling; but most old-line agencies depend solely on the
Federal and State employment bureaus.
7. The question of why CIA provides outplacement service
at all, and whether we should do so in the future, can be approached
several ways. The present service apparently grew out of decisions
made in the 1950's regarding a proposal to establish the function
with a private employment agency. This proposal was overruled,
apparently on grounds of security, and the present system evolved.
In subsequent years demands for the service have varied considerably.
During the Schlesinger cutbacks, RAD was flooded with applicants
for assistance and put in long hours of overtime. More recently,
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the pace of work has become steadier and more routine, though
the decrease in average retirement age in the last several years
has meant that the number of retirees seriously looking for a
post-retirement job is proportionately greater.
8. The value of an effective outplacement service as a means
of encouraging and easing the departure of employees who are
of diminishing use to the Agency has already been mentioned.
A consistent stream of outgoing personnel must be maintained if
only to provide, during a long period of zero or negative growth,
for the infusion of new people needed to maintain Agency viability
and strength in a rapidly changing world. Outplacement assistance
could help by encouraging voluntary early retirement. But some
of this room may have to be created by surplus actions against
people in the bottom ranking percentiles, not all of whom will
be eligible for retirement. Provision of effective outplacement
assistance in such cases--and many CIA castoffs are likely to be
more than competitive with average job seekers from other
organizations--would do much to ease the potential problems for
both the individual and the Agency that are inherent in
involuntary separations.
9. Another reason for maintaining an Agency outplacement
activity is that we might soon be required to do so. Pending
legislation, introduced by Congressman Edwards and Senator Mondale,
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calls for all Federal employers to provide some form of pre-
retirement counselling and job-finding assistance, followed by
post-retirement interviews with former employees to determine
their degree of well being in their new situation. Chief, RAD
points out that the Agency is already engaged in all of these
activities and therefore can take some pride and comfort in
knowing that we are ahead of the pack.
10. We believe outplacement to be a valuable and necessary
part of the Agency's personnel program. We were disturbed by
remarks by Office of Personnel officials suggesting that out-
placement might be the first effort cut if Office resources are
further curtailed. We hope that this would not be the decision
in such an event.
11. We consider the basic thrust of current outplacement
services to be correct. It is neither feasible nor desirable
to provide more than counselling, job contact assistance, and
other support to a departing employee's efforts to obtain
employment. We consider the success record of the present
effort to be very reasonable and are not certain that more is
required, although still better achievements at Itttle additional
cost would be even more useful. Some suggestions that might
help are listed below:
a. The capabilities of the counselors to find job
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possibilities outside the Washington area is very limited
at present, according to Chief, RAD. We believe this might
be improved by making more use of our rather broad profes-
sional representation throughout the United States and
Europe,/
1 We recognize the inherent difficulties in enlisting
the assistance of busy Agency managers in the outplacement
effort and the necessity of avoiding conflict of interest
problems in soliciting job-finding assistance from non-
Agency sources. However, we think that RAD.might explore
for some low-key means of alerting Agency managers who
typically deal with employers in industry and elsewhere to
the job needs of prospective departees. Perhaps this could
take the form of a periodic listing, keyed by number not
name, of resumes of such job seekers. Such a listing could
be sent to Agency managers who indicate a willingness and
capability to help, as well as to DCD and Recruiting Field
Offices.
b. We were not aware in our discussions with RAD that
any very serious effort is being made to enlist the
assistance of former Agency employees now successfully
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employed elsewhere. A low-key approach to such employees
with offers to provide information similar to that circulated
within the Agency might prove helpful in generating new
job leads.
12. Probably the most important conclusion of this study
is that the successful outplacement effort is apparently having
few of the desired effects of reducing Agency manning, because
managers, and undoubtedly their subordinates, are unaware of its
success. Indeed, the efforts of RAD and the Office of Personnel
to avert the development of false expectations about their
capabilities--such as the quotation in paragraph 4, above--may
contribute to this misconception. Therefore:
Recommendation No. 6. That the Director of Personnel find means
as soon as possible of conveying to component managers a more
accurate view of the capabilities and achievements of RAD's
outplacement assistance program.
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TAB E
RECRUITMENT AND APPLICANT PROCESSING
1. During the course of this survey, recruiters were interviewed
The
ages of the recruiters vary, but generally they are on the upper
side of middle age. During the course of our pre-inspection dis-
cussions, there was concern that because of the generation gap
between the recruiters and student applicants (one recruiter is 60),
they would not be able to relate to each other. On the other hands
when an applicant, many of whom are students, wants to talk about a
career in government, he or she would probably prefer to talk to a
"father figure" than to a recruiter who is just two or three years
out of school. This is even more so with female applicants. On
balance, we did not see it as a problem that many of the recruiters
are middle-aged and beyond.
2. Some of the recruiters have absolutely no Headquarters
experience and others have had limited exposure. While this does
not make their task impossible, it most assuredly cannot make it
easier. The recruiters seemed knowledgeable enough about the Agency
in generalities, but there is no question that recruiters without
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reasonably extensive experience elsewhere in the Agency are
limited in their ability to convey the flavor of Agency employment
to some applicants. We found evidence of this during our field
visits. We would suggest that all new recruiters assigned to the
field possess somewhat more Agency experience. It is also suggested
that during their slack season, usually the summers, present
recruiters be brought to Headquarters and assigned to and work with
the components for which they recruit. It is felt that this would
give them a better appreciation for the needs of the components
than, for instance, attending or monitoring courses at Headquarters.
3. With one or two very minor exceptions, we found that the
recruiters are maintaining very low profiles and it is, indeed,
rare when any of them will make a speech or officially represent
the Agency except in a recruiting environment. In those rare
instances where they have generated publicity in the recent past,
it was more often a situation not instigated by the recruiter. Thus
they do perform a representational function in their field areas,
but not to the public at large.
4. One of the most noticeable aspects of recruitment was the
heavy, almost exclusive, emphasis placed on recruitment in the
academic environment. This has been traditional with the Agency in
the past and, according to the Chief of the Recruitment Division,
efforts will be made to develop more non-academic sources in the
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future. The Inspection Team believes that this would be a most
worthwhile development because of the Agency's need to incorporate
views based on different perspectives and experience which can
be achieved through lateral introductions of middle and high
graded personnel.
5. Most of the recruiters made mention of the fact that
pressures are being placed on them to improve their records in
minority recruitment, especially with Blacks and Hispanics. All
evidenced a sincere desire to comply, pointed to their extra-
academic efforts to attract qualified Blacks, including contact
with the Urban League. One recruiter pointed out that on one
occasion he mailed letters to 145 Blacks at a local university,
soliciting their interest, got back 11 resumes, interviewed five
and gave four of them applications, two or three of which were
returned. This example is consistent with general activity which
shows a sincere, concerted and very difficult effort to recruit
Blacks and Hispanics is being made by all recruiters.
6. All of the recruiters acknowledge that one of their main
objectives is to get their recommended cases to Headquarters as
soon as possible and their fondest hope is that expeditious action
will be taken on their cases. All bemoaned the fact that it
doesn't work that way. The inspection examined the various steps
taken in the field and at OP Headquarters in the processing of an
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applicant for employment. It is unquestionably a time consuming
process at both ends. The prospective applicants complete a short
form resume before they are interviewed by a recruiter. At the
completion of the interview and if the recruiter thinks there is
a reasonable chance of placement, the applicant is provided a
rather comprehensive set of application forms and scheduled,
in most cases, to take the
in a most expeditious manner, even being hand-carried in many
instances in order to save time. While this was not always the
case in the past, the inspection concluded that the Staff Personnel
Division is doing everything possible at Headquarters to get
applicant cases into the hands of the customers as quickly as
possible. Much of the criticism about the amount of time that it
takes to process an application was centered around the administration
it takes a minimum average of five weeks for the
customer to get the results of the test taken in the field) and the
time that it takes a customer to decide whether or not to put a
case in process.
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7. We question whether the value of early administration of
the PATB is sufficient in most cases, to justify the loss of good
applicants probably generated by the delay entailed. We note that
some Offices now request that
lot be administered.
Another Office, which insists on its use, last validated its use-
fulness in 1958 on the basis of examining
cases. Other
Offices might find that administration and prompt evaluation of
the test during an applicant's Headquarters visit would satisfy
their need. Decisions on this matter must be reserved to the
Operating Components who best understand their personnel needs
and the reasons for particular selection criteria. We believe they
should be fully aware of the costs of present
STAT
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terms of lost applicants, extra recruiting efforts, and simply the
dollar expended for administering the test in many localities,
however. We suggest that this subject be included in the course
for component managers recommended (No. 10) in Tab H.
8. Another major cause of delay is the time taken by components
to reach decisions about putting applicants in process. We believe
the Office of Personnel is doing well in its efforts to minimize
these delays by hand-carrying and reminding components of long-
retained applicant folders. We suggest, however; that statistics
and horrible examples be assembled and presented to managers at
the course mentioned above in the hope of increasing their awareness
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of the problem.
9. One aspect of Agency recruitment procedures, which was
most noticeable and disconcerting, is the emphasis placed on
recruiting for the Career Trainee Program (CTP). Most of the
recruiters go after students working on their Masters or Doctorates
as CTP candidates. They have been told for years that one doesn't
need an MA or PhD to make a good case officer, and while they
believe this, they keep an eye on what is selling and that is
what they recruit. It was explained that because it is a buyer's
market, there are numerous outstanding candidates available and
all other things being equal, the candidate with the MA or PhD
is more likely to be selected than one with a BA or BS. Most CTP
candidates are "pre-committed", that is, the recruiter specifically
designates them as such which means that their files are not
available for review by other components. When received at Head-
quarters, such files are sent directly to the Office of Training
(OTR). Others are earmarked for the CTP at Headquarters and they
too go to OTR without being made available for review elsewhere in
the Agency. Others that are in the Skills Bank may be requested
by CTP and in all cases where CTP has an interest, the files are
not available for review by other components. Because CTP candi-
dates are later interviewed in the field and because OTR frequently
waits until they have a sufficient number to interview in a
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a geographical area, the CTP files often are "blocked" for a long
period of time. The whole CTP recruitment concept has been discussed
as a "massive overskill". Inquiries in this regard were made and
confirmation received to the effect that in CY-1974 they (OTR)
reviewed files on CTP candidates and hired only [mew employees STAT
STAT
and in CY-1975 they reviewed 692 files and hired only Onew
employees. Our investigations from the Office of Personnel per-
spective supported the view that the CTP recruitment program
indeed looks like a "massive overskill". The Office of Personnel
activities are governed in many cases by personnel requirements
specified by other components, however, and the program as a
whole is managed by OTR. Therefore, this matter will be further
reviewed during an OIG survey of OTR scheduled to start within
two or three months. Recommendations for corrective action, if
still indicated, will be included in the report of that survey.
10. Shortages of clerical personnel were often cited by
customers as reason for dissatisfaction with Office of Personnel
recruiting efforts. Our examination of these efforts failed to
suggest any dramatic new means of increasing the flow of new
clerical employees. Recruitment Division is aware of the complaints
and, we believe, is taking all steps available to satisfy them.
There is some question as to whether the Agency-wide shortage is
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as significant as it appears to some managers. Statistics on
clericals employed versus clerical positions suggest that mis-
assignment may be part of the problem. Poor management in a few
components experiencing unusually high turnover rates may be
another. In any case, we believe the Office of Personnel is
taking all steps reasonably available to it to meet Agency
clerical recruitment objectives.
11. Specialized recruitment was discussed with all the
recruiters, as well as with those involved at Headquarters, and
it was generally agreed that this is an area where support and
assistance rightfully can and should be provided by the components.
While some recruiters do very well in specialized requirements,
all felt that the components levying the request should give
the recruiter a clue as to where such talent could be found.
12. The age-old question of whether or not recruitment
could be handled from Headquarters was discussed at all levels
and the age-old replies of knowing and maintaining contacts, in
addition to being spokesman for the Agency, were heard. There
is a certain amount of logic to having recruiters located
throughout the country, although the "Agency spokesman" aspect
does not seem valid in 1976. Unless there is a drastic reduction
in Agency hiring and there is no hard evidence that one is on
the horizon, it is not believed that any recommendations, other
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than maintaining status quo, are prudent in this regard at
this time.
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TAB F
CLERICAL CAREER MANAGEMENT
1. The clerical management problem is primarily one of
limited promotion opportunities. Strongly adverse views of many
component managers about Office of Personnel (particularly PMCD)
activities in this area indicated the desirability of treating
the subject separately in this report. In many respects, however,
this discussion is an extension of that found in Tab G, Position
Management and Compensation.
2. Opportunities for clerical advancement are limited by
the low (as compared to professional) General Schedule (GS)
grade structures established for clerical positions and by limited
opportunities for clericals to move into semi-professional or
professional positions which require skills which many clerical
employees do not generally possess. Moreover, some qualified
clericals, particularly secretaries, like their jobs and desire
to remain in their chosen field.
3. Non-secretarial clerical positions such as registry
or mail room clerks are generally limited to the GS-05/07 grade
level with a supervisor one step higher. In the Secretarial
field the Agency follows a pattern system based on the organi-
zational level and grade of the supervisors position. Few
senior secretaries can hope to obtain positions at grades higher
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than GS-07, or, perhaps GS-09. Since clerical grade level
structures are limited to begin with, a competent individual
who enters on duty as a GS-04/05 may be promoted to GS-07 or
even GS-09 relatively early in his/her career. Thereafter the
prospects for further promotion are dim; morale sometimes
suffers.
4. Agency managers empathize with clericals on promotion
headroom problems. They are particularly concerned over the
established secretarial pattern as it affects senior secretarial
positions. Many view their secretaries as highly competent,
indispensable members of their management team. An analyst
or case officer may be easily replaced or others can take over
the workload, but the manager's secretary, who, in some cases,
is fulfilling the role of an office manager, is irreplaceable.
Therefore, it is understandable that managers want to reward
their secretaries with promotions. They desire to accord them
grade levels which, in their opinion, equate to their value in
comparison to the professional members of the team.
5. During 1974/75, the senior secretary problem was the
subject of several Management Committee discussions. In sum,
the Management Committee concluded that the Agency secretarial
pattern system should be continued as a guide in determining
pay levels for secretaries, that the Directorates should submit
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recommendations for secretarial upgrading to OP, PMCD for
review in those cases where components judged upgradings to be
justified and that perhaps the term senior secretary is a mis-
nomer in describing some secretarial positions, particularly
overseas, and that a new job or position category be considered
that more accurately describes the many duties such secretaries
or office managers are called upon to perform.
6. As a result of the above Management Committee directive,
PMCD conducted a review of Osecretarial positions recommended
for upgrading by the career services. In conducting its review,
PMCD utilized comparison data obtained from the Civil Service
Commission, other government agencies and private industry.
PMCD concluded that following "equal pay for equal work" principles,
upgradings were justified in only a few instances and that CIA
secretaries, in general, are paid comparably or better than their
counterparts in industry or other government agencies. PMCD
also found that, aside from promotion limitations, factors such
as under-utilization, promotion policies and professional treat-
ment of clericals were contributing factors to dissatisfaction.
As a result of the present inspection, we endorse these PMCD
findings. As stated in Tab G, we conclude that PMCD's enforcement
of job/pay equity for secretarial and clerical positions is very
effective despite frequent and strong management opposition.
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The clerical field is one in which "equal pay for equal work"
standards can be readily established due to the similarity of
clerical duties at different levels. Moreover, in most, if not
all cases, valid comparisons can be made with similar positions
elsewhere in government and industry.
7. We have no specific recommendations for Office of
Personnel actions to improve Agency clerical career management.
We applaud the successful efforts of the Office of Personnel to
generate separate and special consideration of clerical personnel
within the career services. We have considered, as have many,
others, the establishment of an Agency-wide clerical career
service. The intent of such a career service would he to
broaden opportunities for competitive cross-Directorate movement
of clericals to better positions. However, we believe that the
advantages of broader access to the very few positions at grades
above the GS-07's and GS-09's available in the individual career
services are limited, and real achievement of such broad access
by this mechanism is dubious. Some mechanisms, particularly
vacancy notices, now provide broad access in some cases. Thus,
we conclude that the likely advantages of a single career service
for clerical personnel, or just for senior secretaries, would
not offset the complexities and difficulties generated by its
creation.
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8. We believe that more attention should be focused on
alleviating problems encountered by PMCD during its senior
secretary survey which are perhaps more serious than advancement
opportunities, e.2., secretarial utilization, management atti-
tudes, recognition, etc. Further, we believe that managers
need to obtain a better understanding of the limits on what
a government employer can do to improve the pay status of its
secretarial personnel. We suggest that these topics be included
in the management course recommended in Tab H.
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POSITION MANAGEMENT AND
COMPENSATION
INTRODUCTION
1. The Position Management and Compensation Division
(PMCD) is the Director of Personnel's principal agent in meeting
his responsibility for authenticating staffing complements--
often called Tables of Organization (T/O's)--and revisions
thereto. These staffing complements establish the official
numbers, grades, titles and interrelationships of job positions
in Agency components. To perform this function, PMCD conducts
desk audits of Agency positions, either in response to a
component request that a particular position be reviewed (usually
in the hope of upgrading it) or as part of a survey of the
organization itself. Such surveys may occur upon request, when
managers need authentication of a significant reorganization of
an existing component or need a staffing complement for a new
organization. PMCD is also chartered to conduct periodic
position surveys of all Agency components.
2. PMCD's objective during its position evaluations is to
insure, within reasonable limits, that the compensation for
positions of similar levels of difficulty and responsibility are
consistent within the Agency and with the rest of government.
Achievement of this job/pay equity ideal is circumscribed by
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requirements that, within a Directorate, reclassification of
positions must not (without DCI approval) increase the total
number of senior slots (e.g_. positions at grades of GS-14 and
above) or the average grade of all positions. If PMCD's
evaluations of job/pay equity lead to upgrading of some
positions, others, at least within the Directorate, must be
downgraded--perhaps despite job/pay equity--to maintain the
status quo. Similarly, the Director of Personnel is charged
with evaluation of Directorate proposals to change the number,
grade or allocation of supergrade positions. PMCD becomes in-
volved in such evaluation and is influenced during its position
evaluations by the fact that the totals of present staffing
complements include more supergrade positions than OMB has
authorized to the Agency.
3. The objectives of PMCD's periodic position surveys are
to update position information--in order to improve evaluation
standards--and to make necessary adjustments in the grade of
individaal positions and the position structure as a whole.
This last requirement on PMCD puts it in the position, in effect,
of advising a manager on how he should organize his component in
order to accomplish his mission.
4. We formed judgments on the effectiveness of PMCD's
contributions toward achieving job/pay equity on the basis of
discussions within PMCD and our analyses of component managers'
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comments and of :recent PMCD surveys And survey reports. We
conclude that PMCD's contributions vary by grade and type of
position.
a. PMCD's enforcement of job/pay equity for
secretarial and clerical positions is very effective
despite frequent and strong management opposition.
b. PMCD is generally effective, and usually provides
a useful and welcome service to managers, in establishing
and enforcing job equity for multiple-copy technicians.
c. PMCD is usually effective, despite management
pressure for more headroom, in maintaining job/pay equi,ty
for junior and middle grade analysts, case officers and
support officers--but complaints abound in individual
cases.
d. PMCD's contributions toward establishing and
monitoring job/pay equity are relatively ineffective at
grades of GS-14 and above. PMCD's competence to evaluate
such positions is frequently questioned, and it is rarely
able to prevail in resolving disputes. When it does
prevail, its downgrading recommendations sometimes restrict
future headroom but have little immediate effect in the
sense of causing transfers or demotions of incumbents.
As one senior manager put it, the outcome depends on how
well the Office "snows" PMCD.
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5. PMCD's responsibilities in the enforcement of average
grade, senior slot and supergrade limits are unclear. It is
therefore difficult to assess the Division's contributions to
this effort. Responsibility for allocation of Directorate staff
manpower ceilings (i.e. total positions) among components is
assigned to Deputy Directors. Each year they, or their component
heads, develop proposed staffing complements which, in their
totals, must stay within the numbers of positions at each grade
allocated to their career services. Proposed staffing complements
which contain revision, or are later revised by a PMCD periodic
survey, must be authenticated by the Director of Personnel.
If that authentication supports a number of positions, an average
grade or a number of senior slots that exceeds the Directorate's
allocation, the Deputy Director must take action through the
Director of Personnel and Comptroller to obtain approval for the
increase. The Director of Personnel may advise on where
compensating changes may be made to avoid exceeding average
grade limits. But responsibility, and most decision authority,
belongs to the Deputy Director concerned. PMCD's responsibility
appears to be in support of the Director of Personnel's
monitoring, advisory and staffing complement authentication
roles. Wherever the blame or credit lies, it.is important to
note that upward grade creep in CIA is not significantly
different from that experienced in most other Federal agencies.
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6. Agency managers express more dissatisfaction with the
way the PMCD function is performed than with any other activity
of the Office of Personnel. They allege that PMCD personnel do
not understand Agency functions and positions, much less their
importance and uniqueness, and insist on using Civil Service
standards of position classification which many think are not
applicable to the Agency. Managers are further disturbed by
PMCD delays in reviewing component requested changes and by the
time-consuming PMCD periodic surveys which rarely have a
significant impact. In judging the validity of such criticism,
which reflects the view of a large majority but is not universal,
one must take into account the PMCD functions described above.
These are control functions which impact on how managers manage.
Since PMCD, in its wisdom, frequently disagrees with the wisdom
of managers concerning position classification, an adversary
relationship develops. Therefore, PMCD does not engender much
affection from managers.
7. CIA follows the Civil Service wage and grade structure,
but the dynamic nature of the Agency's unique role has resulted
in management innovations which are not typical of the Civil
Service tradition. Position management in the Civil Service
usually involves looking at the function of an organization
and constructing a hierarchic structure of components and
positions to perform that function. Position management in
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that tradition envisions a fairly stable situation--minor
changes in positions and structures can be accommodated based
on experience. Such organization structures are effectively
utilized by many Agency components including the Office of
Personnel. However, many other Agency components are characterized
by constant change in mission and priorities. Their organiza-
tional structures and assignment of personnel are in constant
flux. Such components find the slow and agonizing PMCD way of
doing business untenable.
8. In the position classification field, CIA also
frequently departs from Civil Service concepts. In the Ciyil
Service tradition a position has certain qualities of responsi-
bility, supervision, educational requirements, etc. Based on
the number and level of such requirements a GS grade is assigned
to the position. People then compete for the position on the
basis of merit and the assigned individual must be promoted
within 120 days or removed from the position. Superficially,
CIA appears to function in a similar manner. Actually, the
Agency career service system operates more on the "rank in
the man" than on the Civil Service "rank in the position"
concept. Agency managers think in terms of the career pro-
gression of people. Individuals are frequently placed in a
position not because their talents match all of the requirements
of the position description but in order to provide them
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with the opportunity for advancement based on potential and
past performance. Then the functions of the position are
unofficially modified to best exploit the talents of the
incumbent. Thus, there is an inherent incompatibility between
PMCD's preoccupation with fixed, unchanging positions and
managers' preoccupations with adjusting positions to fit
changing people.
9. In reviewing a number of PMCD surveys, we find some
validity to the frequently voiced assertion that PMCD bases its
judgment too closely on Civil Service precepts. It is concerned
with matching grade structures to hierarchic organization,
structures, sometimes with little understanding of why some
organizations are otherwise arranged. It goes to some lengths
to correlate CIA positions (which are frequently unique to CIA)
with positions elsewhere in the government, e.g.., an NSA
journeyman computer programmer is a GS-12; therefore, a CIA
programmer, who may in actuality work with a much more complex
system and set of problems, should be comparably graded. We
find many examples where PMCD used comparisons which we judge
to be invalid, e.g.., we do not think a
should be compared with a DDO Case Officer to establish grade
equity. We also find examples where PMCD has recommended that
a position be abolished in order to improve the professional
to clerical ratio with no argumentation provided as to whether
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or not the workload justifies the position. We find many
examples where PMCD has recommended that a position be down-
graded because the incumbent wasn't performing at the position
grade level. It seems to us that the requirement for the
position should be PMCD's primary concern rather than the current
incumbent's performance.
10. We feel there is some confusion in PMCD as to its
appropriate role, i.e., whether to ensure job/pay equity or to
control the rise in average grade and the like. As mentioned
above, these are somewhat conflicting goals. Regulations re-
quire that average grade and senior slots be held constant
within Directorates as a whole. PMCD apparently attempts to
enforce such restraints within each component, sometimes to
the
t of job/pay equity. Recommendations contained
in its survey reports frequently result in an overall reduction
in average grade, senior slots and supergrade positions. We
believe that, at least at the component level, PMCD should
only be concerned with job/pay equity, i.e., in reviewing
positions, it should call it as it sees it; controlling average
grade is a higher management concern.
11. The intent of the above discussion is not to lay
the groundwork for a recommendation that we abolish our system
of position management and compensation or that we do things in
a radically different manner. Since we are a government agency,
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our options are limited. The intent is to indicate the
culture in which such a system must operate and some of the
problems it faces.
12. CIA was exempted from the Classification Act of 1949,
but in that year Director Hillenkoetter informed the Civil
Service Commission that in our internal personnel policies we
would follow the basic philosophy and principles of the Act.
In October 1962 the Acting Director reaffirmed the Hillenkoetter
policy in a memorandum. This policy is set forth in various
Agency regulations and PMCD is our primary internal control for
ensuring that we adhere to the classification principles of
the Classification Act. Under its legal exemption, CIA could
seek Executive approval to establish its own system of grade
structure and wage scales but any system we developed would
probably not be approved if it departed dramatically from
government-wide pay and classification legislation and policy.
There is no prospect at present that a change in system will
be sought, and in any case any system utilized by CIA would
require management and control to ensure job/pay equity, to
respond to concerns over the size of the Federal payroll, and
to implement executive policies stemming from those concerns.
Therefore, the PMCD function must continue.
13. In the balance of this Tab, the discussion is sub-
divided into the major issues we believe impact on PMCD and
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its functions. Conclusions and Recommendations designed to
improve the performance of PMCD, make it more responsive to
component requests for position changes and, hopefully, to
create a better working relationship between PMCD and Agency
components are provided on pages G-26 through G-31.
14. It is important to note, before embarking on the
individual topics, that, prior to the initiation of this OIG
25X1 survey,
a retired employee, was given a
contract to conduct a study of PMCD and to make recommendations
designed to improve position management and classification in
CIA. The Inspection Team found study of 25X1
considerable value in its own deliberations.
PMCD Staffing
15. The position classification profession requires
talented individuals. They must have representational qualities,
the ability to brief well and deal with people at all levels,
good analytical skills and several years training to learn the
basics of the profession. We have been told that PMCD was
formerly staffed with individuals not having these skills.
PMCD management believes the Division is currently staffed with
high-quality individuals. Customer comments suggest this may
not be universally true, but we were impressed with the enthusiasm
and competence of the PMCD personnel we contacted.
16. Despite the general criticism of PMCD, several
Agency managers praised the competence of a few PMCD analysts.
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We suspected that these analysts might simply have been
unusually lenient, but that was not the case. The well-
regarded analysts are experienced in position classification
and have dealt frequently over a number of years with the organi-
zations that praised them. As a result they understand those
organizations and are responsive to their needs. We have
concluded that effective rapport between PMCD and Agency
components can be established when a competent PMCD analyst is
assigned to an account over an extended period (up to five
years). The PMCD analyst learns the structure and problems
of the component and the component gains confidence in and
respect for the PMCD analyst.
17. At one time, PMCD was viewed as a cradle-to-grave
assignment. Its current policy is to maintain a two-thirds
permanent cadre staff of experienced professionals and to fill
the remainder of its
ositions with three-year rotational
assignments. The PMCD staff is small in relation to its
responsibilities. There are only
and about
full-time classifiers STAT
professionals engaged in developing better job
standards. Since it takes several years to train a new
analyst, we believe the proportion who are permanent staff
should be kept at a high level to maintain the professionalism
of PMCD. We suggest that the permanent staff be given
periodic personnel officer rotational assignments to other
Agency components (perhaps two or three during a career) to
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obtain a different perspective and to gain more experience
with the problems of other components. This could be coupled
with the rotation of other personnel into PMCD either from
the Office of Personnel or elsewhere. We understand that the
Office of Personnel has made a proposal to obtain personnel
from other components and Directorates for rotational assign-
ment to PMCD. The rotation of PMCD personnel to the Directorates
and Directorate personnel to PMCD would further mutual under-
standing and facilitate PMCD working relationships with
components, if the assignees' tours are long enough to develop
and employ adequate position classification skills.
Centralization Versus Decentralization
18. Some managers argue for decentralized position
management and classification. They suggest that professional
job classifiers be assigned to Directorates, or even to large
components, and that job classification be done wholly within
such units. They feel that existing constraints on numbers of
positions, senior slots and average grade are adequate to
prevent empire building and that, within these constraints,
they are best able to decide how to organize their components
and assign grade values to positions.
19. Such a decentralized system is in effect at the
Energy Research and Development Administration (ERDA) and it
reportedly works effectively. However, ERDA uses a standardized
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system for evaluating its relatively homogeneous positions and
managers have been trained in and are involved in the appli-
cation of this system, thus ensuring a certain amount of
job/pay equity within ERDA. From this and other examples,
it appears that a decentralized system can work satisfactorily
in some organizations if systematic position standards have
been developed and managers understand those standards and
are willing to devote time to their application. Those
conditions do not exist in CIA. Position classification is
not well understood by CIA managers and over the years we
have used a number of different criteria, understood only by
PMCD, for evaluating positions.
20. The Civil Service Commission is developing a
position classification methodology called the Factor Ranking/
Benchmark System and has decreed that all agencies under its
cognizance will adopt it by 1980. The system is based on
data compiled from the experiences and systems of industry,
labor, foreign countries, etc. Those who are familiar with
the system are enthusiastic over its potential and cite as
its advantages that it is easy to understand, it is a more
accurate way to grade positions than systems used heretofore
and it requires Operating Component participation, thus
leading to agreement and understanding on how positions are
classified. PMCD has established a separate branch to develop
this system for Agency use.
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21. The Inspection Team was impressed with the potential
of this system and urges the early development and use of an
Agency version to improve both position classification and
communication on that subject between PMCD and components.
When the system has been fully implemented and understood,
at least one barrier to decentralized position classification
in CIA might be removed. Even under those circumstances,
however, we doubt that decentralization, in the sense of
assigning position classifiers to Directorates, would be
desirable in this Agency.
22. Although most authority in CIA is delegated tojhe
Deputy Directors who supervise the four semi-autonomous
Directorates, the Agency must operate as a single organization
in its relations with the rest of government, including
its conformance with manning and staffing rules and restric-
tions. These require that job/pay equity be maintained and
monitored throughout the Agency, not just within Directorates.
That monitoring is performed by the Director of Personnel.
We believe his central control of Agency position classification
experts is essential to the provision of uniform classifica-
tion standards and to monitoring the application of those
standards within the several Directorates. We question,
however, whether the Director of Personnel needs to retain
authentication control of official staffing complements.
That subject is discussed in the next section.
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Authority and Appeals
23. In practice, managers are not now unduly restricted
by PMCD's recommendations or by its influence on their staffing
complements. Undesired recommendations arising from PMCD
periodic position surveys are frequently negotiated away or
ignored. No effective system of enforcement or appeal has
been formalized to deal with outstanding differences, and
various mechanisms, necessary for other reasons, provide means
of evading many of the restrictions in an unsatisfactory
Table of Organization. For example, the Office of Finance
uses Personal Rank Assignments as a means of providing G-12
Certifying Officers to overseas posts because PMCD will only
authenticate a lower grade. PMCD recommendations have some-
what more force when a component initiates a reorganization
or tries to upgrade positions. Even in these cases, however,
PMCD has on occasion been overruled by the Director of Personnel
or the DDA. In practice, if a controversy attracts the
attention and support of a Deputy Director, his decision
usually governs the actual outcome, although not necessarily
the official staffing complement. For example, PMCD
recommended that the Personnel Management Group/DDO staffing
complement be limited to eleven supergrade positions.
Eighteen are now and will be assigned there--the number
authorized by the DUO. The extra positions are simply flagged
on the staffing completment as awaiting approval.
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24. It has been argued that PMCD, as a component of
the Office of Personnel, is buried in the Agency management
hierarchy and does not have enough clout to operate effec-
tively and to enforce its decisions (assuming it has come to
rational decisions which should be enforced). It has been
suggested that the functions be attached to the Office of the
Comptroller. We do not think the placement of the function is
a significant factor in improving its accomplishment. If the
function were performed competently and with a greater degree
of management understanding, if PMCD's authority were under-
stood and spelled out in Agency regulations, and if its
decisions could be appealed and reviewed by higher authority,
then we believe it could function effectively where it is.
The more basic question is, what role and authority should
PMCD have?
25. We have reviewed and discussed several recent PMCD
surveys with the surveyed components. These components
generally felt that PMCD was on target regarding its recommen-
dations on clerical positions. They expressed strong
disagreement with PMCD judgments on a number of other positions,
particularly upper level positions. The PMCD analysts who
conducted the surveys were judged to be dedicated, competent
individuals but it was felt that they did not obtain the
understanding necessary to make valid judgements regarding
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the significance and the uniqueness of the professional
positions being analyzed, nor did they use realistic com-
parison data. We do not think this is simply management
dissatisfaction because it did not get its way. As discussed
earlier, we also question the infallibility of PMCD's judgment.
This is not intended as criticism of PMCD or its personnel.
They are not and cannot be specialists in all the organiza-
tions or position fields they are analyzing; therefore, they
will make errors in judgment and their decisions should be
subject to review and, if necessary, reversal.
26. Many believe that no effective and impartial appeal
route exists. The Director of Personnel is uniquely empowered
to authenticate and issue staffing complements and is therefore
the official appeal route. PMCD reports and recommendations
are furnished to components over his signature, however, and
the route back lacks at least the appearance of impartiality.
Questions could and would be raised about his qualifications
to resolve a dispute in detail about a specialized position
deep within another Directorate, and such disputes are frequent
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component managers interviewed on this subject
had complaints. Moreover, his real means of enforcing other
than very important PMCD recommendations is open to question.
His authority to authenticate staffing complements is clear.
Deputy Directors, however, must determine the allocation of
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staff manpower ceilings among their components and may, within
some limits, make shifts in manpower within their Directorate
without seeking outside approval. In arguments with other
Deputy Directors, the DDA can, and sometimes does, lend in-
valuable support to the Director of Personnel. Unresolved
questions can be and sometimes are taken to the Management
Committee and the DCI for resolution. The number of disputes
far exceeds the capacity of this channel, however, and most,
therefore, are either settled through negotiations--usually in
management's favor--or left unresolved.
27. The main problem with the Director of Personnel/DDA:
appeal route lies in the number and complexities of the disputes.
Effective and equitable resolution of them all would require
amounts of job knowledge, position classification knowledge and
study time that are simply not available to those with the high
level of authority and respect needed to impose an undesired
solution on a Deputy Director. Creation of an appeal authority
outside the four Directorates---e.g., the Comptroller or, God
forbid, the Inspector General--would face the same set of problems.
28. Efforts are being made, as they have been for years,
to reduce the number of differences by improving the quality
of PMCD's judgments, improving managers confidence in those
judgments and, through negotiations at various levels, to reduce
unresolved differences to those few critical cases perhaps
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worthy of Management Committee action. The last, and most
effective process, doesn't enhance management confidence in
PMCD advice or in the value of the whole exercise, however. One
very senior manager said that the subjectivity of the PMCD process
is driven home when you reach the negotiating point; "I'll give
you two GS-07's for one GS-12." Many other managers have illus-
trated their doubts about the worth and effectiveness of the
whole process by indicating that after months of effort they are
able to obtain through negotiation almost everything they wanted.
We applaud the efforts to improve the quality, and thereby the
acceptability of PMCD judgments. We find little new in these
efforts, however, and little in the outcome of similar efforts in
the past to justify an expectation that achievable improvements,
however desirable, will solve the problems by itself.
29. We conclude that there are only two solutions available.
The present system, lacking real enforcement authority, can be
continued and probably be improved by better, semi-rotational
PMCD staffing and development and implementation of better, more
understandable classification standards--i.e., the Factor/Benchmark
system. We believe these steps would help, but that most of the
fundamental problems would remain. The other choice is--in
addition to these steps--to make the Deputy Directors the appeal
and decision authority, while preserving the Director of Personnel's
capability and responsibility for monitoring their actions.
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30. Whether transfer of staffing complement authenticating
authority to the Deputy Directors would degrade, improve or
leave unchanged the Agency's performance in job/pay equity and
adherence to average grade and other manning restrictions is
bound to be a controversial question. Some would regard it as
setting the fox to guard the chickens. Others would contend that
this, in many cases, describes the present system, and, if
coupled with active and adequate monitoring by the Director of
Personnel, degradation in performance is by no means an inevitable
result. The more optimistic would even contend that providing
control of staffing complements to those now responsible for,.
holding average grade, senior slots and supergrades within their
allocations would remove any ambiguities that may now exist as
to where that responsibility lies; would provide them unambiguous
decision authority over a tool important in carrying out these
responsibilities, and would improve the relationship between
staffing complements and reality by insuring that disputes are
decided. PMCD influence on component managers during negotiated
settlements might even be increased by the knowledge that un-
resolved disagreements will be decided at a higher level. Moreover,
the fact that the decision will be made by his own superior might
make the manager a little less defensive and a little less
inclined to employ "snow" tactics.
31. No proof can be offered that the outcome of the shift
in authority described above will be good, bad or indifferent.
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We are pursuaded, however, that the risks of serious degradation
are not great--and return to the present system would be possible
if we are proven wrong. The shift could be an improvement,
perhaps an important one, over the present system. We believe
other possible changes in the system, such as total decentraliza-
tion or creation of a supra Directorate appeal authority to be
undesirable, impracticable, or both. We therefore conclude that
the transfer of authority should be made. The details of our
proposals are provided in the Conclusions, starting on page G-26
of this Tab.
Periodic Position Surveys
25X1 32. Headquarters Regulation provides for periodic
position surveys to update position information, and to make
necessary adjustments in the grade of individual positions and
the position structure as a whole. Headquarters Notice
7 January 1972, established the Position Survey Program with the
aim of scheduling and conducting position and manpower utilization
surveys in all components with the objective of achieving complete
coverage of the Agency each three years. PMCD is charged with
conducting the Position Survey Program. In conducting surveys,
PMCD is concerned with position management (organizational
structure, alignment of functions, number of positions at
different skill levels, occupational levels required to carry out
missions, ratio of professionals to clericals, number of supervisors
to work force, etc.) as well as position classification.
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33. PMCD attaches high importance--and priority--to its
periodic survey program. The program provides needed opportunities
to study Agency positions in order to improve position classifica-
tion standards. It generates reviews of positions that may have
changed in character, if not in title or grade, since they were
last classified. And it provides opportunities to review and make
recommendations about the organizational structure of Agency
components, some of which PMCD believes badly need such review.
34. Most component managers are extremely critical of the
PMCD periodic survey program, however. Many comments deal with
subjects discussed earlier--managers reservation about the com-
parisons used by PMCD to classify positions and about PMCD's
ability to understand the unique character of some component
positions--the time spent in negotiating differences in how a few
positions should be classified--and the fact that unresolved
differences are apt to stay unresolved. These comments apply
broadly to most PMCD surveys, whether conducted at the components
request to authenticate a reorganization or one of the PMCD-
initiated periodic surveys. A number of comments apply more
specifically to the latter, however.
35. One often-mentioned problem is that PMCD's manning and
priority system does not permit an early response to a request
for a reorganization-generated survey, or rapid accomplishment of
the survey after it starts. PMCD's efforts to meet a three-year
cycle of periodic surveys lead to tight scheduling of its limited
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manpower. There is little slack in this schedule and long delays
--many months and sometimes a year or two--occur between a
component's expression of need for a survey and its commencement.
Sometimes this forces components to operate for protracted periods
with an outmoded official Table of Organization. In one case we
found that a component had deferred a needed reorganization for a
year while awaiting a scheduled PMCD periodic survey. Another
has long deferred many conversions of contract employees to staff
employee status because PMCD is too tightly scheduled to help.
Yet the periodic surveys go on. One organization that recently
finished such an unsolicited survey pointed out that it occurred in
the middle of changing missions and methods of operation, the
impacts of which could not be assessed at that time.
36. The PMCD advice received during periodic surveys on
organizational structure is of often-questioned value. We attempted,
unsuccessfully, to check this by evaluating changes recommended in
recent PMCD survey reports. We found that PMCD survey reports
include, ususally without clear distinction, both their own
recommendations and others originated earlier by the component.
Thus, the acceptance by managers of recommendations for organiza-
tion changes made in survey reports is not a good measure of the
contribution made by PMCD. Most managers interviewed felt that
few of the PMCD-originated organization recommendations were
useful. Since they are not obliged to follow these recommendations,
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they found them more annoying and time-consuming than harmful,
however.
37. Many managers questioned the qualifications of PMCD
job classifiers to provide detailed recommendations on how a
component should organize to carry out its mission. Such PMCD
personnel are relatively junior in grade (typically GS-12 or 13),
lack Operating Component and senior management experience, and
have relatively little exposure to the component's particular
problems. Moreover, managers point out that their organization
is subject to command review in their Directorate, to program
audits by the Audit Staff, and to OIG surveys.
38. We concur with many of the managers views expressed
above. We have noted the following consequences of the present
periodic survey program.
a. Unresolved differences with PMCD periodic survey
findings are sometimes never formally settled after the
procedural steps of receiving and commenting upon the survey
report. Most of the controversial findings do not result in
binding T/O changes or in immediate organizational changes,
although PMCD personnel believe many of their rejected
recommendations appear later in management-suggested reorganiza-
tions. The manager, if supported by the Deputy Director
concerned, really determines his organization structure.
Therefore we believe the expenditure of 3-6 months of component
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and PMCD efforts at three year intervals for periodic position
surveys to be excessive when compared with the specific end
results achieved.
b. Competing periodic survey schedules delay the
accomplishment of surveys needed to authenticate reorganiza-
tions. These delays--and sometimes unresolved differences
arising from the periodic surveys themselves--lead components
to operate for protracted periods on unofficial T/O's that
differ from their official staffing complement. This leads to
unnecessary use of misslotting, Personal Rank Assignments and
other devices potentially subject to CSC and OMB criticism,
misunderstanding, and, perhaps, imposed cuts. Moreover,
centrally generated position control information in these
cases is inconsistent with the real world . This can mislead
senior management and obscure the development of manning
problems. It also requires component maintenance of multiple
bookkeeping systems for middle management use. In addition,
inconsistencies between de facto and official T/O's make
middle-level managers uncertain about their slot grades and
headroom and generate problems in assignment planning, personnel
advancements and morale.
39. We recognize PMCD's need to review a variety of positions
in order to maintain and improve its classification standards. We
believe such data can be acquired without a full organizational
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review, however. We recognize that over a period of time the
duties of a position can change and that it is useful to management
to have PMCD periodically review positions to validate their
classification. We believe that static organizations should be
subject to such reviews--but at intervals considerably longer
than three years. These reviews should not, however, be accorded
priority over the more immediate classification needs of rapidly
changing organizations. Lastly, we believe PMCD should restrict
its organizational recommendations to those cases where the
organization structure has a dominating impact upon the classifi-
cation of the positions involved.
Conclusions
Conclusion G-1. Authority should be delegated to Deputy
Directors to modify and authenticate staffing complements (T/O's)
within the limits of Directorate allocations of staff manpower
ceilings, senior slots (GS-14 and higher) and average grade.
This authority should be qualified by a requirement that recommen-
dations by PMCD representatives regarding changes in the grades
of existing positions or the assignment of grades to new or
significantly altered positions be considered by component managers
and, if unresolved, by the Deputy Director before such changes
are effected.
a. To accomplish the second part of this it is essential
that PMCD be involved before a significant reorganization is
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effected. Provisions should also be included for PMCD,
when deemed necessary by the Director of Personnel, to review
and reassess the grades of new or significantly altered
positions after six months or so of experience with the new
organization. In some cases the Director of Personnel may
decide that a survey of all positions in the new organization
is needed. PMCD recommendations arising from such position
reviews or reorganization surveys (or from periodic and special
surveys discussed in Conclusion G-5 below) should be considered
by the component manager and, if unresolved, by the Deputy
Director within a specified, short time interval after the
recommendations are made.
b. Since supergrade positions are directly controlled by
the DCI, and since a new system for handling supergrade
problems is being considered by the Management Committee,
they have not been specifically included in this conclusion.
Consideration should be given, if this proposal is adopted, to
similar modification of the way supergrade positions are
handled, however.
Conclusion G-2. The Director of Personnel, acting for the
DCI, should be required to monitor Directorate and DCI Area
adherence to equal pay for equal work (job/pay equity) principles
and to allocated manning, average grade and senior slot limits,
and to recommend appropriate DCI action in cases where he cannot
resolve differences with the Deputy Director concerned.
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Conclusion G-3. In the area of position grade evaluations,
PMCD should:
a. Develop and maintain standards for position evalua-
tion use.
b. Participate in and advise on all position evaluations.
c. Insure that unresolved differences with component
managers over position evaluations are brought to the responsi-
ble Deputy Director for decision.
d. Inform the Director of Personnel in cases when, in
the opinion of PMCD, decisions made by Deputy Directors con-
flict significantly with equal pay for equal work principles or
established pay policies--e.g. pay scales for senior secretaries.
Conclusion G-4. With regard to staffing complements, PMCD,
in collaboration with other Office of Personnel components,
should:
a. Establish staffing complement formats.
b. Compile, produce and disseminate staffing complements
authenticated by the Deputy Directors and produce and dissem-
inate related management information reports.
c. Report to the Deputy Director concerned and to the
Director of Personnel any non-trivial continuing instances
when the totals of a Directorate's staffing complements
exceed that Directorates's allocations of manning, senior
slots or average grade.
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Conclusion G-5. PMCD's responsibility for conducting periodic
position surveys should be modified. In this area:
a. PMCD should conduct periodic position surveys in
components that have received little attention in conjunc-
tion with reorganizations for a period of about five years.
b. The Director of Personnel should initiate special
PMCD position surveys in other cases where he has reason to
believe that position classifications need revision.
c. Neither periodic nor special position surveys
should be allowed to interfere with prompt and rapid service
of reorganization or other more immediate needs for PMCD:
assistance.
d. During all surveys, PMCD should restrict its
recommendations regarding the organization and management of
component personnel to cases where organization or manage-
ment is the dominant consideration in evaluating position
grades.
e. PMCD should be permitted on its own initiative to
audit positions in any component in order to obtain data
needed to establish, maintain or improve position evaluation
standards.
Conclusion G-6. PMCD should accelerate the development and
trial implementation of improved position evaluation standards
and methods similar to the Factor/Benchmark system now being
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developed by CSC for government-wide implementation by 1980. Full
CSC development of its system should not be a prerequisite to
development and trial implementation of an Agency version.
Conclusion G-7. The Director of Personnel should review and
alter the organization of and manpower authorized for PMCD as
necessary to meet its revised mission.
a. It is important to note that PMCD manning must
permit prompt and rapid service of component needs.
b. A program of rotating Office of Personnel people
with experience as component support officers through 3-5
year PMCD tours, and of rotating PMCD professionals throqgh
component support officer tours, would provide a valuable
experience base.
c. Rotating personnel from other Agency components
through PMCD tours would contribute more specific component
knowledge and would be useful if the tours can be long enough
for the rotating personnel to develop and use job classifi-
cation expertise.
Recommendations
Recommendation No. 7. That the DCI delegate to the Deputy
Directors authority to authenticate staffing complements,
requiring them to consider PMCD recommendations on position grades
before effecting changes and to exercise this authority within
their allocations of staff manpower ceilings, senior slots and
average grade.
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Recommendation No. 8. That the Director of Personnel monitor
Directorate and DCI Area adherence to their allocations and to
job/pay equity and recommend appropriate DCI action in cases
where he cannot resolve differences with the Deputy Director
concerned.
Recommendation No. 9. That the Director of Personnel revise
PMCD procedures, position surveys, scheduling, and manpower as
indicated in Conclusions G-3 through G-7 above.
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CUSTOMER PERCEPTIONS OF
AGENCY PERSONNEL POLICY DEVELOPMENT
tg
I I
81)30003-7
1. There is a widespread perception among Agency managers
that the Office of Personnel, although a very responsive and
generally effective service organization, lacks initiative and
innovation in developing solutions to long-standing Agency
personnel problems. Some managers even feel that the Office
plays an actively negative role and usually opposes solutions
proposed by others. The more important of these long-standing
problems were selected as issues for examination in this survey
and are discussed in other Tabs of this report. It soon became
evident, however, that the existence of this perception is a
serious problem in itself.
2. The perception is neither without some validity nor is
it wholly accurate. Initiatives in personnel management are often
taken in CIA by people other than the Director of Personnel.
An outstanding example are those inspired by the then DCI that
led, through recommendations of a Personnel Advisory Study Group
(PASG) report, to an effort still underway called "New Approaches
to Personnel Management." Office of Personnel contributions to
these efforts were and continue to be positive and major, how-
ever. That the Office was not the initial, apparent sparkplug
of the effort is in many cases a product of the decentralized
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Agency personnel management system and of the Office's role in
that system. That role, for more than twenty years, has been
primarily one of service and support--activities for which the
Office generally received high marks from component managers.
3. The Office also has various "approval" functions which
usually amount to review of decisions made elsewhere to insure
their consistency with general Agency policy guidelines and with
current or threatened restrictions imposed by outside authorities--
law, Congress, OMB, CSC and the like. This function undoubtedly
accounts for much of the perception that the Office is negative
about personnel initiatives developed elsewhere. It certainly
accounts for the attitude about the most-cited recent example--
the negative response to efforts supported by many to raise the
grades of many senior secretaries. Our investigation of that
issue, reported in Tab F, led us to support what others view as
the Office's "negative" position.
4. The Director of Personnel is also assigned responsibility
for conducting research, for making statistical and analytical
studies pertinent to Agency personnel management and for developing
and recommending policies, standards and procedures for personnel
management in the Agency. In the light of managers "no innovation"
complaints, we investigated each aspect of this assignment.
5. Our findings on "statistical and analytical studies"
(i.e. management information) are discussed in Tab A. Current
_ _
achievements cannot be regarded as impressive, but lack of inno-
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vation is not a primary cause for the limited progress. The
real culprit has been the excessively long delay in implementing
computer approaches conceived many years ago--thirteen to be
exact.
6. Turning to research, we found a small but significant
research effort underway in the Plans Staff of the Office of
Personnel. This Staff consists of a !
analysts. It has already played a useful role in helping the
Career Services meet the challenoes posed by the introduction of
the DCI's innovations in personnel management. This assistance
has included written guidance, surveys of personnel practices in
the Directorates as requested, reviews of personnel handbooks,
and preparation of status reports and analyses for the Management
Committee and the DCI. These efforts cannot be judged as out-
standingly successful--given the continued lack of Agency-wide
appreciation for what the "New Approaches to Personnel Management"
is intended to do. But, still, the Staff must be given credit for
playing a useful role during a difficult transitional period in
its publicizing of new programs and, more particularly, in
backstopping them with useful research.
7. The Staff is presently engaged in research which should
have excellent payoff for the Agency personnel system in the
future. Together with the Staff Personnel Division, the Staff
is playing a prominent role in the newly-created Careers Committee,
established in response to several of the policy recommendations
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made by PASG. There is excitement in the air concerning the
hoped-for accomplishments of the Careers Committee, and we found
this to be a very good sign indeed. The Committee, made up of
personnel representatives from each of the Career Services and
with executive management from the Office of Personnel, will meet
periodically to share ideas and to assign study projects. The
first such are directed at realizing the PASG objective of more
inter-Directorate transfers as well as providing better job
counselling and career guidance. Developmental profiles are to
be drafted by each major component of the Agency to give career
counselors a better idea of the type of employees (characteristics
and qualifications) needed in each respective unit. This is to
be followed by a publicity program to identify for the rest of the
Agency those persons in each component who can provide counselling
assistance.
8. Another major project, tentatively planned for initiation
in the next month or two, is the Agency attitudinal survey. This
survey will be administered centrally, closely monitored by the
Plans Staff and OMS and will provide an Agency-wide base from
which to develop future perceptions of how well such management
vehicles as promotion policies and career counselling and person-
nel handbooks are meeting the needs of employees. Chief, Plans
Staff correctly points out that the first edition of the survey
will not be very significant for research purposes, but will pro-
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vide initial benchmarks from which future progress or problems
can be charted and identified.
9. Other projects are underway in the Plans Staff to
meet specific long-range needs. These include economic-type
modelling exercises to find out the impact of major shifts in
current practices--for example, what would happen if the Agency
simply declared a moratorium on employment of new professional
personnel? An even more complex research effort, which should
yield some useful conclusions, studies the 1973-75 shifts of
employees from one component of the Agency to another. Here,
the purpose is to identify those occupations which seem to pro-
vide seed source for others; those occupations which provide a
bridge between one type of work and another; and those occupations
which seem to offer little in training or experience that can
lead to successful movement to jobs of greater responsibilities.
The fitness report problem--one that seems to nag virtually
everyone of our senior managers--is being analyzed by the Staff,
in conjunction with statistical work being carried out by the
Staff Personnel Division, Chief, Plans Staff has undertaken a
systematic review of government-wide literature on the subject
and has begun a study of how private industry evaluates its
employees. He is not at all certain whether senior management
of the Agency desires change, but he correctly considers it the
function of his Staff to be prepared to offer advice when
needed.
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10. It seems clear that the Office of Personnel's research
and development program is ambitious, important and innovative.
That leaves unanswered only the question of the Director of
Personnel's responsibility for recommending policies, standards
and procedures for personnel management in the Agency. We
searched Management Committee action papers for the last year or
so for examples of his recommendations--as different from his
responses to recommendations initiated by others. Those we found
appeared, for the most part, to fall into the response or
directed study categories. The reason soon became evident. The
DCI himself, some two years ago, took personal command of person-
nel policy development. The able and extensive support and the
many contributions by the Office of Personnel were effectively
masked. This seemed too obvious and recent to explain the depth
and breadth of the "no innovation" perception, so we turned next
to a review of earlier events, specifically the histories of
personnel management development in the Agency.
11. These histories proved to be invaluable source docu-
ments, some eminently readable. One in particular, entitled,
"How We Got Where We Are;...," which digests a period ending in
1968 but from a current prospective--it was published in
January 1975--should be required reading for all component
managers. This is not a frivolous suggestion inserted for
rhetorical purposes. We believe that an understanding of how and
why the Agency personnel management system developed as it did,
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and a resulting comprehension of how it operates today, would
have stilled many, perhaps most of the "no innovation" comments.
And, there are much more important things to be learned from this
history than simply a better appreciation of the problems
faced by our friendly Office of Personnel.
12. Development and implementation of innovations in
Personnel management within CIA has been and must be a joint
effort of management at many levels and the experts from the
Office of Personnel. This approach is required by the complexities,
variabilities, and unique aspects of the many-sided intelligence
profession. It is also a product of the Agency's organization
into semi-autonomous Directorates with the Office of Personnel,
like other support functions, operating from within one of
these Directorates under an injunction to be the handmaid of
operations. The history includes early examples of attempts by
the Office to step outside of this role--and the adverse
consequences of these efforts. It is therefore laudable, not
blameworthy, that the Office works through and with others in
its innovative efforts to improve CIA personnel administration.
13. Another important point emerging from the history is
the length of time typically required for Agency-wide adoption
of an adaption to important personnel policy developments. Six
years appears to be a typical, perhaps even minimum time. As
noted in Tab A, Mr. Colby, as a strong and powerful proponent
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of the new approaches effort, estimated a lead time of five
years before the program would be fully accepted and implemented.
14. We believe that lead times such as these can and must
be shortened. We share the view of component managers that our
personnel management could and probably should become more
innovative--but we place responsibility more on them than on the
Office of Personnel for such shortcomings as exist. We find
their misconceptions about the role and activities of the Office
of Personnel to be strong evidence that they do not understand,
and are therefore neglecting, their own responsibilities in the
joint efforts required.
15. The problem is primarily one of communication, com-
pounded by the difficulty of attracting the attention of managers,
busy with problems needing answers today, to equally important
but more abstract issues. This communication problem involves
many more subjects than that discussed in this Tab. Most of
the preceding Tabs highlight communication deficiencies as
significant, sometimes predominant causes. We do not believe
that adequate answers can be found through the production of
more brochures by the Office of Personnel, or occasional references
in the morning meetings. A means is needed that focuses, at
least for a time, the attention of the Agency's competent middle
managers on these important subjects.
16. We propose that this be accomplished through .a compulsory,
short, one-week training course for Washington-area Office-
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level managers and their deputies. The course could be
presented fairly frequently, over perhaps a year, to speed the
communication flow and permit attendance by all without unduly
disrupting other activities. Thereafter the course could be
given less frequently to include appropriate overseas returnees
and new managers. The course content should be developed by
the Office of Personnel, working with the Office of Training,
which would actually present it. The course should include the
history and character of personnel administration in CIA, and
specific discussion of at least the issues discussed elsewhere in
this survey report where a part of the problem is a significant
communications gap.
Recommendation No. 10. That the Director of Personnel, in
collaboration with the Director of Training, develop a one-week
training course for Office-level managers and their deputies on
CIA Personnel Administration and Management and that the Director
of Personnel join with the Inspector General in recommending to
the Management Committee.that all Washington-area Office-level
managers and their deputies be required to attend a running of
this course within a year of its initiation.
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