3 FAM 2800
PERFORMANCE MANAGEMENT
3 FAM 2810
PERSONNEL EVALUATION
(CT:PER-688; 11-23-2012)
(Office of Origin: HR/PE)
3 FAM 2811 GENERAL
3 FAM 2811.1 Authority
(CT:PER-678; 06-22-2012)
(State Only)
(Applies to Foreign Service Personnel)
The authority for this subchapter is cited in sections
207, 603, and 604 of the Foreign Service Act of 1980.
3 FAM 2811.2 Objectives
(TL:PER-341; 10-31-1997)
(State Only)
(Applies to Foreign Service Personnel)
The objectives of the personnel evaluation program are to
enhance member efficiency and to provide a just and equitable basis for career
tenure, promotions, within-class salary increases, performance pay,
assignments, training, separations, and disciplinary action by:
(1) Providing for a periodic written evaluation of
each members performance and potential;
(2) Assuring that each member participates in the
formulation of and understands the work requirements, goals, and priorities
established at the beginning of the rating period; and
(3) Establishing a constructive dialogue between
supervisors and subordinates to continue throughout the rating period.
3 FAM 2812 ADMINISTRATIVE
RESPONSIBILITIES
(TL:PER-341; 10-31-1997)
(State Only)
(Applies to Foreign Service Personnel)
Responsibility for operation of the personnel evaluation
system is shared by many individuals at different levels. Each individual must
carry out his or her responsibilities in order for the system to function properly.
Since the responsibilities at each level are inextricably bound to the
procedures, they are covered in 3 FAH-1 H-2810
for the sake of clarity. The procedures and guidelines in that subchapter of
the handbook have the same force and effect as these regulations.
3 FAM 2813 PERFORMANCE EVALUATION
3 FAM 2813.1 General
(TL:PER-414; 08-20-2001)
(State Only)
(Applies to Foreign Service Personnel)
a. Form DS-1829, U.S. Foreign Service Employee
Evaluation Report (EER) is an official report upon which personnel actions
(assignments, within-class salary increases, tenuring, promotion,
recertification, and award of performance pay) may be based.
b. For the purpose of these regulations, a regular or
interim rating shall be considered a current rating until the next rating is
received by HR/PE.
3 FAM 2813.2 Use of Foreign
Service Evaluation Report
(CT:PER-688; 11-23-2012)
(State Only)
(Applies to Foreign Service Personnel)
All members of the Foreign Service will be evaluated on
DS-1829, except:
(1) Foreign Service national employees (see 3 FAM 7610);
(2) Members serving in noncareer appointments of 1 year or less; or
(3) Members in limited resident appointments at
Foreign Service posts.
3 FAM 2813.3 Regular Report
(CT:PER-688; 11-23-2012)
(State Only)
(Applies to Foreign Service Personnel)
A regular report is prepared annually unless the member
has served under the current supervisor for a period of 120 calendar days (60
days for junior FSO career candidates). (See 3 FAH-1
H-2814.1.)
3 FAM 2813.4 Interim Report
(CT:PER-688; 11-23-2012)
(State Only)
(Applies to Foreign Service Personnel)
An interim report (see 3 FAH-1
H-2814.2) will be prepared for submission to HR/PE using the DS-1829 within
30 days after the end of the period covered by the report to document a
members performance during any period of 120 days or more (60 days or more for
junior FSO career
candidates) when there is:
(1) A change of duties involving a major change in
performance requirements;
(2) A change in rating officers;
(3) A termination of assignment; or
(4) A request by the Bureau of Human Resources (see
sections 3 FAM
2240 and 3
FAM 2254.2).
3 FAM 2813.5 Inspector's
Evaluation Report
3 FAM 2813.5-1 General
(CT:PER-688; 11-23-2012)
(State Only)
(Applies to Foreign Service Personnel)
Inspectors will prepare Inspectors Evaluation Reports
(IERs) on senior officers (chiefs of mission, permanent chargs, deputy chiefs of mission, principal officers, Assistant
Secretaries and deputy assistant secretaries)
in connection with each post or bureau inspection. These IERs will be related
directly to the officers management or supervision of the domestic unit or
post abroad being inspected and will constitute a part of the independent
review of the operation being evaluated. They will focus on the skills and
abilities of rated officers to manage personnel, budgets, resources, and
programs. Both career and noncareer officers will be evaluated.
3 FAM 2813.5-2 Exceptional
Circumstances
(CT:PER-688; 11-23-2012)
(State Only)
(Applies to Foreign Service Personnel)
Inspectors may also prepare IERs in connection with
inspections and other special OIG evaluations being conducted whenever
exceptional circumstances, the interests of justice, or the efficient management
of the Department and the Service may warrant. Such circumstances may include:
(1) To record outstanding or substandard performance
by an employee which, in the Inspectors opinion, needs to be additionally
documented;
(2) To correct an injustice; or
(3) If the employees performance as observed during
the course of the inspection/audit or
other OIG evaluation differs markedly from that recorded in EERs prepared at
the overseas post or domestic unit of assignment.
3 FAM 2813.5-3 Upon Request by
HR/PE
(CT:PER-688; 11-23-2012)
(State Only)
(Applies to Foreign Service Personnel)
HR/PE may also request the Inspector General to authorize,
at the Inspector Generals discretion, inspectors
to prepare IERs on personnel under the conditions described in section 3 FAM 2813.5-2.
3 FAM 2813.5-4 Disposition of
IERs
(TL:PER-341; 10-31-1997)
(State Only)
(Applies to Foreign Service Personnel)
a. The original and one copy of the final IER will be
forwarded by the Inspector General to the Director General for inclusion in the
rated officers Official Personnel Folder. The Director General retains the
authority and responsibility for determining admissibility of an IER to an
officers personnel folder.
b. A member evaluated by an Inspector will receive a
copy of the IER and be given the opportunity to comment on it orally and in
writing.
c. A copy of the final IER will be retained by OIG.
3 FAM 2813.6 Supplemental
Evaluation Report for Medical Personnel
(TL:PER-414; 08-20-2001)
(State Only)
(Applies to Foreign Service Personnel)
a. Form DS-1948, the Supplemental Evaluation Report for
Foreign Service Medical Personnel, will be completed annually for untenured
Foreign Service medical officers, medical technologists, nurse practitioners,
and psychiatrists; and will also be completed periodically, or as required, for
tenured medical personnel. This report provides selection and tenure boards
with a technical medical perspective on the rated employees performance.
b. Form DS-1948 is prepared by a tenured Foreign
Service medical officer, appointed by the Medical Director, who conducts an
on-site evaluation to assess the rated employees technical proficiency and
professionalism in the medical field. The report is reviewed by the
appropriate review panel before being submitted to the Office of Performance
Evaluation (HR/PE) for inclusion in the employees Official Personnel Folder.
3 FAM 2813.7 Training Evaluation
Reports
3 FAM 2813.7-1 Form DS-1106, the
Training Evaluation Report (TER)
(TL:PER-341; 10-31-1997)
(State Only)
(Applies to Foreign Service Personnel)
a. TER Required: A TER is prepared on employees
engaged in any period of full-time training provided by the Foreign Service
Institute of 120 days or more.
b. Voluntary Preparation of TER: A TER may be prepared
voluntarily to cover a period less than 120 days at the request of the employee
if the course supervisor concurs, or if deemed advisable by the course
supervisor.
3 FAM 2813.7-2 Form DS-651,
Report of Training in Language/Area Skills and Achievements
(TL:PER-341; 10-31-1997)
(State Only)
(Applies to Foreign Service Personnel)
Members enrolled in full-time language/area skills
training at the National Foreign Affairs Training Center of 120 days or more
will be evaluated on DS-651. Form DS-651 may also be used to evaluate shorter
periods of language/area training at the discretion of the course supervisor.
3 FAM 2813.7-3 Disposition of
Forms
(TL:PER-341; 10-31-1997)
(State Only)
(Applies to Foreign Service Personnel)
a. These evaluations become a part of the employees
performance folder and are subject to review for the same purposes as other
performance evaluations.
b. A member evaluated on DS-1106 or DS-651 will be
given a copy of the form and an opportunity to comment on it.
3 FAM 2814 EQUAL EMPLOYMENT
OPPORTUNITY
(TL:PER-414; 08-20-2001
(State Only)
(Applies to Foreign Service Personnel)
Rating and reviewing officers should comment, as
appropriate, on the rated members furtherance of equal employment opportunity.
In particular, they should note demonstrated commitment to the principles of
fair treatment and equality of opportunity in dealings with all persons and
awareness of equal employment opportunity as a fundamental aspect of good
management. Such commitment and awareness can be demonstrated, for example,
through concern or employee development and the manner in which the member
treats others, delegates assignments, and recognizes the achievements of
others.
3 FAM 2815 INADMISSIBLE COMMENTS
3 FAM 2815.1 Policy
(TL:PER-479; 08-13-2003)
(State Only)
(Applies to Foreign Service Personnel)
a. Inadmissible comments may not be included in any
section of the evaluation report (including the rated members comments), or in
other forms of evaluative material (such as inspectors reports, training
reports, letters of commendation, etc.). Rating and reviewing officers and
review panels should exercise care to avoid the submission of reports
containing inadmissible comments.
b. The following subjects are inadmissible in any part:
(1) Reference to race, color, religion, sex (does not
extend to the use of Mr., Mrs., Ms., or first names or personal pronouns),
national origin, age and sexual orientation;
(2) Ranking by former Selection Boards or impending
selection-out;
(3) Physical characteristics and personal qualities
that do not affect performance or potential;
(4) Marital status or plans; references to spouse or
family, including those relating to social activities or the ability of a
member of the family to represent the United States;
(5) Retirement, resignation, or other separation
plans;
(6) Grievance, equal employment opportunity, or Merit
Systems Protection Board proceedings;
(7) Method of entry into the Service;
(8) Reference to private U.S. citizens by name;
(9) Participation or nonparticipation in any
organization composed of Foreign Service members which exists for the purpose,
in whole or in part, of dealing with foreign affairs agencies concerning
grievances, personnel policies, and practices;
(10) Ratings for earlier periods prepared by other
supervisors;
(11) Reluctance to work voluntary overtime;
(12) Leave record, except in the case of unauthorized
absences;
(13) Letters of reprimand;
(14) Negative reference to use of the dissent channel
or direct or indirect reference to, or consideration of, judgments in dissent
channel messages as a basis for an adverse evaluation of performance or
potential;
When the rated members expression of dissenting views on
policy, outside of the dissent channel, raises substantial question of judgment
or obstructionism relevant to the members performance, it may be the subject
of comment. However, general comment may not be used to get around the
proscription of this section. Specific instances must be cited;
(15) Negative or pejorative discussion of the
performance of another identifiable member. (Rater cannot state, The member
quickly brought order out of chaos left by the members predecessor. On the
other hand, the description, The member is the best management officer I have
supervised in the past 10 years, is acceptable);
(16) Specific identification by rating or reviewing
officers of physical handicap or medical problem (including alcoholism, drug
abuse, or rehabilitation efforts); or
(17) Reference to academic degrees, titles, or specific
institutions of higher learning (except that physicians may be referred to as
Dr.). General comments regarding job-related training are acceptable.
3 FAM 2815.2 Medical Problems
3 FAM 2815.2-1 Policy
(TL:PER-341; 10-31-1997)
(State Only)
(Applies to Foreign Service Personnel)
Although the details or specific identification of a
medical problem are inadmissible in the evaluation report, general reference
may be made to confirmed knowledge of a medical problem to the extent it
affects job performance.
3 FAM 2815.2-2 Reference by
Rated Member
(TL:PER-341; 10-31-1997)
(State Only)
(Applies to Foreign Service Personnel)
Rated members may discuss their own health problems in
specific terms if rating or reviewing officers have made references to such problems,
or to explain or clarify adverse comments in a report.
3 FAM 2815.3 Documenting
Performance When Cause Is Inadmissible
(TL:PER-341; 10-31-1997)
(State Only)
(Applies to Foreign Service Personnel)
Significant instances of superior or exceptional
performance in difficult circumstances or of undependability, inefficiency,
discredit brought on the Foreign Service, and general poor performance should
be documented in the evaluation report even if reference to the cause itself is
inadmissible.
3 FAM 2815.4 HR/PE Authorized to
Remove Inadmissible Comments
(TL:PER-414; 08-20-2001)
(State Only)
(Applies to Foreign Service Personnel)
If HR/PE discovers inadmissible comments in evaluation
reports, it will make deletions or substitutions and inform the members
concerned. Concurrence of the rating and rated members will be sought where
any substantial changes must be made.
3 FAM 2816 EVALUATION OF PERSONNEL OF
OTHER PERSONNEL SYSTEMS
(TL:PER-341; 10-31-1997)
(State Only)
(Applies to Foreign Service Personnel)
a. The chief of mission submits directly to the head of
the appropriate department or agency a performance evaluation for the most
senior officers of each major U.S. mission component which is not a direct
dependency of the Department. These reports are submitted annually. Interim
reports for periods of 120 days or longer are completed immediately prior to
the departure from the post of the rating or rated employee.
b. Other agencies assigning employees to posts abroad
might ask for evaluations on their own rating forms. Such requests should be
honored. However, responsibility for ensuring compliance with an agencys
evaluation procedure must rest with that agency. In the absence of
instructions from the employees agency, the principal officer may furnish
appropriate reports to the agency at that officers discretion. (See 2 FAM 125.9
concerning evaluations of joint administrative offices (JAO).)
3 FAM 2817 GUIDELINES, PROCEDURES AND
RELATED REGULATIONS
(TL:PER-341; 10-31-1997)
(State Only)
(Applies to Foreign Service Personnel)
a. Guidelines and procedures to implement the
regulations in this subchapter are published in 3 FAH-1 H-2810.
b. Regulations governing the establishment, maintenance
and contents of personnel files are published in 3 FAM 2350 and
in 3 FAH-1
H-2350. Those regulations include provisions for employees to review and
amend files as guaranteed by the Privacy Act of 1974.
3 FAM 2818 and 2819 UNASSIGNED