3 FAH-1 H-2800
PERFORMANCE MANAGEMENT
3 FAH-1 H-2810
PERSONNEL EVALUATION - PROCEDURES
(CT:POH-218; 05-17-2019)
(Office of Origin: HR/PE)
3 FAH-1 H-2811 ADMINISTRATIVE RESPONSIBILITIES
(CT:POH-199; 11-06-2017)
(State Only)
(Applies to Foreign Service Only)
NOTE: The library of Precepts governing
the administration of the performance management and awards processes, as
negotiated regularly with the American Foreign Service Association (AFSA),
where applicable, supersede the provisions articulated in the Foreign Affairs
Manual (FAM) or the Foreign Affairs Handbook (FAH) in the case of a conflict
between the Precepts and the FAM/FAH. The governing Precepts can be found on
HR/PEs intranet site.
3 FAH-1 H-2811.1 Director of the
Office of Performance Evaluation (HR/PE)
(CT:POH-199; 11-06-2017)
(State Only)
(Applies to Foreign Service Only)
The Director, HR/PE:
(1) Is responsible for the development and
administration of the Departments performance evaluation program for members
of the Foreign Service; and
(2) Has the authority to review all performance material
that is incorporated into Foreign Service employees' Official Personnel Folders
(OPF).
3 FAH-1 H-2811.2 Executive
Directors in the Department and/or Principal Officers abroad
(CT:POH-199; 11-06-2017)
(State Only)
(Applies to Foreign Service Only)
Bureau Executive Directors and/or Principal Officers at
posts abroad assist HR/PE in administering the performance evaluation program.
Their responsibilities include:
(1) Designating a rating and/or reviewing officer when
a normal supervisory situation does not exist or when a supervisor cannot
prepare a rating;
(2) Instructing rating and reviewing officers on
personnel evaluation procedures and ensuring that pertinent regulations and
instructions are made available to them;
(3) Ensuring that core work responsibilities, work
requirements statements, and position descriptions are formulated and
documented in evaluation reports in a timely manner and evaluating performance
requirements among positions;
(4) Obtaining evaluation reports from rating and
reviewing officers and rated members, and ensuring timely compliance with
evaluation report schedules;
(5) Informing HR/PE of rating and reviewing officers
and rated members responsible for delinquent evaluation reports; and
(6) Establishing review panels to assure compliance
with instructions for the preparation of the Employee Evaluation Report (EER)
and uniform standards in performance evaluation.
3 FAH-1 H-2812 OFFICIAL PERSONNEL
FOLDER
3 FAH-1 H-2812.1 General
(CT:POH-199; 11-06-2017)
(State Only)
(Applies to Foreign Service Only)
a. The Official Personnel Folder (OPF) of members of
the Foreign Service is in two parts: the Foreign Service Official
(Administrative) Personnel Folder, which contains personnel actions and related
administrative documentation, and the Official Foreign Service Performance
Folder, which contains documents that provide information on and an evaluation
of the members performance (3 FAM 2350 and 3 FAH-1 H-2350).
b. The contents of the Foreign Service OPF are
protected by the Privacy Act (5 U.S.C. 552a), and by section 604 of the Foreign
Service Act of 1980. Under Section 604, records that form the basis of
selection board recommendations and rankings must be kept confidential and are
subject to inspection only by certain specified individuals. The general rules
governing access to the Departments personnel records are contained in 3 FAM 2350.
c. The Director General or the designated Deputy
Assistant Secretary for Human Resources is authorized to amend, explain,
supplement, or remove material in a members OPF, including evaluation reports
and inspectors reports, where either of these officials has determined that
such action is justified to correct an error or remove or prevent an
injustice. Any such action must be justified in writing, and the member must
be informed. The member will be supplied promptly with copies of all such
materials added to or removed from the file and will be given an opportunity to
submit a response or offer a rebuttal to documents added to the file.
3 FAH-1 H-2812.2 Submission of
Material by Member for Official Personnel Folder
3 FAH-1 H-2812.2-1 Responsibility
of Rating Officer
(CT:POH-199; 11-06-2017)
(State Only)
(Applies to Foreign Service Only)
Evaluation of a members performance is the responsibility
of the rating officer. Evaluative material in the form of letters, memoranda,
etc., received by HR/PE from a third party will be returned to the sender, or
forwarded to the rating officer or rated member, and will not be placed in the
members OPF. The rating officer should draw from such material, as
appropriate, in drafting the evaluation report. (Awards will be filed in the
OPF; see 3 FAM 4800 and 3
FAH-1 H-4800.)
3 FAH-1 H-2812.2-2 Material
Submitted by Member
(CT:POH-199; 11-06-2017)
(State Only)
(Applies to Foreign Service Only)
a. A member may at any time submit unclassified
material related to his or her performance to HR/PE with a request that it be
included in the members OPF. Such material may include:
(1) Information to clarify or refute statements in the
OPF that a member considers unfair, incomplete, or misleading;
(2) Letters from members of Congress, executive
officials, or other persons commending a member of the Foreign Service for a
particular act of which the writer has personal knowledge. Letters of
commendation and similar material may be included in a members OPF only at the
request of the member and will be filed on the left side of the OPF;
(3) Evaluative memoranda, TDY memoranda, and other
evaluative material from the most recent rating period which are not in a form
acceptable for filing as a formal evaluation report will, in special
circumstances, be considered by HR/PE for filing in the OPF, if such material is
otherwise admissible and has not been adequately reflected in an evaluation
report received for the period. Such material may not be attached to the
evaluation report, but, if accepted, will be filed on the left side of the OPF.
b. Material submitted for inclusion which is
prejudicial to another individual will be made available to that person for
comment before a determination is made as to its suitability of inclusion in the
file. All such material must meet the criteria for admissible content.
3 FAH-1 H-2812.2-3 Material
Derived from Prior Federal Employment
(CT:POH-218; 05-17-2019)
(State Only)
(Applies to Foreign Service Only)
a. Transfer of prior employment performance files from
other Federal agencies is governed by the following procedures:
(1) U.S. Agency for
Global Media (USAGM), Foreign Agricultural Service (FAS) and Foreign
Commercial Service (FCS) - When a Foreign Service member of USAGM, FAS, or FCS officially transfers to State
Foreign Service, the members performance file is transferred automatically and
becomes part of the members State OPF (and vice versa). However, the
performance files of new appointees from those agencies are not automatically
transferred to the members State OPF. New FS appointees who were formerly
employed by USAGM, FAS, or FCS may request
to HR/EX/RIM that their performance file from those agencies become part of the
members State OPF;
(2) USAID - When a USAID Foreign Service member
transfers to State Foreign Service, the members performance file will be made
part of the State OPF only at the members request (and vice versa);
(3) Civil Service - When a State Civil Service
employee changes status to Foreign Service, the employees Civil Service
performance material from the four years prior to the change in status becomes
part of the members OPF;
(4) Other Federal Agencies - Evaluation material from
Federal agencies, other than those mentioned in 3 FAH-1
H-2812.2-3 paragraphs (1) through (3) does not routinely become part of the
Foreign Service OPF. Members with prior Federal experiences, which are
relevant to their positions in the Foreign Service, may request that their
official evaluation reports be included in the OPF. HR/PE will review, and will
only accept recent appraisals and letters of commendation that are relevant to
the employees position in the Foreign Service. HR/PE will consider relevancy,
length, timeliness, and completeness of documents in deciding on admissibility.
If accepted, such documents will be filed on the left side of the OPF; and
(5) General Rule - Material that is so out of date or
extraneous to Foreign Service responsibilities as to be of questionable utility
or that is so lengthy as to make review and filing impractical, will not be
accepted. Material must also be chronologically complete that is, excerpts
from reports where negative comments may have been deleted will not be allowed.
3 FAH-1 H-2812.2-4 Material
Derived from Non-Federal Employment
(CT:POH-199; 11-06-2017)
(State Only)
(Applies to Foreign Service Only)
Performance evaluation material from a prior private or
non-Federal government employment is not accepted for filing in the OPF.
3 FAH-1 H-2813 DESIGNATION OF RATING
AND REVIEWING OFFICERS
3 FAH-1 H-2813.1 Policy
(CT:POH-199; 11-06-2017)
(State Only)
(Applies to Foreign Service Only)
a. The designation of rating and reviewing officers
must be made at the beginning of the rating period and the rated member must be
advised of his/her rating and reviewing officers.
b. The rating officer frequently is the rated members
supervisor. The appropriate executive director or the principal officer at
posts abroad shall decide the appropriate supervisor and rating officer. If an
evaluation report is prepared by someone other than the supervisor (who has
been so designated by the appropriate executive director or principal officer),
the circumstances shall be explained on the evaluation form and the rated
member and/or rating officer relationship clearly described.
c. The reviewing officer will usually be the rating
officers supervisor. However, the decision as to who shall be the reviewing
officer rests with the appropriate executive director or the principal officer
at posts abroad. In cases where there is no officer senior to the rating
officer with sufficient knowledge of the members performance to carry out the
reviewing function, the circumstances must be explained on the rating form.
Reviewing officers should acquaint themselves with members whose ratings they
review and develop personal knowledge of their performance.
d. When a member is assigned to another agency or
organization in the United States or abroad, or is working with another agency
element of a U.S. mission, the responsible officer in the Department or at post
should seek to ensure, whenever feasible, that the employee is rated or
reviewed by a Foreign Service officer (see 3 FAH-1
H-2813.6).
3 FAH-1 H-2813.2 Subordinate Posts
Abroad
3 FAH-1 H-2813.2-1 Principal
Officers at Subordinate Posts
(CT:POH-199; 11-06-2017)
(State Only)
(Applies to Foreign Service Only)
a. A principal officer at a subordinate post is rated
by the chief of mission, deputy chief of mission, or other rating officer
designated by the chief of mission.
b. Other senior officials in the embassy having
knowledge of the performance of the principal officer should prepare material
to inform and guide the rating officer. The rating officer should draw from these
materials, as appropriate. Such material should not be attached to the
evaluation report or submitted separately in lieu of a regular evaluation
report.
c. The evaluation report should be reviewed by the
chief of mission or the DCM, as appropriate.
3 FAH-1 H-2813.2-2 Review of
Subordinate Post Reports
(CT:POH-45; 10-24-1997)
(State Only)
(Applies to Foreign Service Only)
The evaluation reports prepared on other members at
subordinate posts where there are no appropriate reviewing officers should be
reviewed at embassy level, if there is an embassy employee with sufficient
knowledge of the members performance to prepare an effective reviewing
statement. Every effort should be made to ensure that reviewing statements are
prepared for all members at subordinate posts.
3 FAH-1 H-2813.3 For Regional
Personnel
3 FAH-1 H-2813.3-1 Policy
(CT:POH-199; 11-06-2017)
(State Only)
(Applies to Foreign Service Only)
It is the policy of the Department that regional members
(members who serve more than one post, members whose work is not supervised
solely by one post, and/or members housed at post but directed and supervised
by the Department or a regional office) be evaluated by the individuals in the
field or the Department who supervise and/or are most knowledgeable of the
mission, assignments, and actual work performance of these members.
3 FAH-1 H-2813.3-2 Selecting
Rating and Reviewing Officials
(CT:POH-199; 11-06-2017)
(State Only)
(Applies to Foreign Service Only)
a. The executive director and/or officer of the bureau
or office in the Department responsible for the program that the member
supports (e.g., Bureau of Medical Services (MED) for doctors and nurses,
Information Services for information management personnel, Bureau of Diplomatic
Security for engineering officers, Overseas Buildings Operations for
construction engineers/architects or project supervisors) will determine the
rating and reviewing officials for each regional member.
b. The rating officer may be an appropriate officer at
post of assignment, a regional supervisor, or the responsible supervisory
officer in the Department.
c. The reviewing officer may be the next ranking
supervisory officer or an appropriate officer of the post, region, or
Department sufficiently knowledgeable of the rated members performance and the
relationship between the member and rating officer to carry out review
responsibilities effectively.
d. For senior regional security officers (RSO), the
deputy chief of mission will be the rating officer, and the chief of mission
will be the reviewing officer. RSOs assigned to subordinate posts will be
rated by the principal officer and reviewed by the senior RSO in country.
3 FAH-1 H-2813.3-3 Establishing
Procedures
(CT:POH-199; 11-06-2017)
(State Only)
(Applies to Foreign Service Only)
The responsible executive director and/or responsible
bureau officer will establish procedures applicable to all regional members in
similar categories for promptly identifying rating and reviewing officers and
notifying them and the rated member of their designation.
3 FAH-1 H-2813.3-4 Informing
Member of Rating and Reviewing Officers
(CT:POH-199; 11-06-2017)
(State Only)
(Applies to Foreign Service Only)
a. The names of the rating and reviewing officers will
be communicated to the member and to the management officer of the post of
assignment by the appropriate executive director and/or responsible bureau officer
at the time the assignment is made or within 15 days of the members arrival at
duty station.
b. Should differences arise among the appropriate
executive director and/or responsible bureau officer, rated member, and/or post
of assignment as to the proper rating or reviewing officer that cannot be
resolved among themselves, the issue will be submitted to the Office of
Performance Evaluation (HR/PE) for decision. Decisions will be based on the
criteria in 3 FAH-1
H-2813.3-1 and 3 FAH-1
H-2813.3-2. The views of rated members will be requested and considered in
each case.
3 FAH-1 H-2813.3-5 Background
Material
(CT:POH-199; 11-06-2017)
(State Only)
(Applies to Foreign Service Only)
a. Posts serviced by regional personnel will submit, as
appropriate, evaluation memoranda to the rating officer for use in preparing
the evaluation report.
b. Where technical aspects of performance cannot be
appropriately covered by the designated rating officer, a supplementary
evaluation report may be submitted.
3 FAH-1 H-2813.3-6 Ensuring
Timely Evaluation
(CT:POH-199; 11-06-2017)
(State Only)
(Applies to Foreign Service Only)
The appropriate executive director and/or officer, with
the assistance of the post of assignment, will ensure that all aspects of the
performance evaluation process, including establishing agreed work requirements
and responsibilities, periodic performance review sessions, and effective
evaluation, are carried out in a timely manner.
3 FAH-1 H-2813.3-7 Review by
HR/PE
(CT:POH-199; 11-06-2017)
(State Only)
(Applies to Foreign Service Only)
The Office of Performance Evaluation (HR/PE) may periodically
review individual office and/or bureau implementation of the policy (3 FAH-1
H-2813.3-1) to assure there is:
1. Adequate communication between rating and
reviewing officers and rated members;
2. Timely completion of reports; and
3. Appropriate performance review sessions and
supervision of rated members.
3 FAH-1 H-2813.4 For Chiefs of Mission
(CT:POH-199; 11-06-2017)
(State Only)
(Applies to Foreign Service Only)
The assistant secretary of the appropriate geographic
bureau is responsible for preparing evaluation reports on the chiefs of mission
within the geographic area. The Employee Evaluation Report, Form DS-5055, must
be used.
3 FAH-1 H-2813.5 For Charg
dAffaires ad Interim
(CT:POH-199; 11-06-2017)
(State Only)
(Applies to Foreign Service Only)
a. It is the responsibility of the appropriate
geographic bureaus A/S or DAS to prepare evaluation reports on members serving
as charg daffaires ad interim (charg), unless there is an ambassador
accredited to, but not resident at, the post.
b. In cases where a member is serving as charg at a
post where there is an ambassador accredited, but not resident, it is the
responsibility of the ambassador to prepare the evaluation report and the
appropriate geographic bureau to review it.
c. Such evaluation reports should be prepared when the
member has served as charg for 90 nonconsecutive days or more, or 60
consecutive days or more during an annual or interim rating period, even if the
rating period is less than 120 days. The Employee Evaluation Report, Form DS-5055,
must be used.
3 FAH-1 H-2813.6 Members of the
Foreign Service Assigned to Out-of-Agency Details
3 FAH-1 H-2813.6-1 Policy and
Responsibility
(CT:POH-199; 11-06-2017)
(State Only)
(Applies to Foreign Service Only)
a. Members of the Foreign Service assigned to
out-of-agency details (detailees) will be evaluated in accordance with the same
regulations that apply to members in regular Foreign Service assignments.
b. Administration of performance evaluation of
detailees is the responsibility of the Office of Career Development and
Assignments (HR/CDA).
c. Unless specifically authorized by HR/CDA, no detail
assignment will be made without the agreement of the host organization that the
performance of the Foreign Service detailee will be evaluated in accordance
with Department regulations.
3 FAH-1 H-2813.6-2 Designation
of Rating and Reviewing Officers
(CT:POH-199; 11-06-2017)
(State Only)
(Applies to Foreign Service Only)
a. To the fullest extent practicable, detailees will be
rated and/or reviewed by a member of the Foreign Service. Where this is not
possible, particular care will be taken by HR/CDA to ensure that the
responsible rating and reviewing officials are fully informed concerning the
requirements and standards of EER completion. The rated member is also
encouraged to report fully on the work experience and its relevance to the
Foreign Service and his/her career interest.
b. If in the judgment of HR/CDA, a Foreign Service
member who is not in the chain of supervision will have the knowledge and
understanding to act as reviewing officer for a detailee, that member may be so
designated with the concurrence of the rated member.
c. Rating and reviewing officers will be designated at
the outset of the rating period and the detailee so informed.
3 FAH-1 H-2814 RATING PERIOD
3 FAH-1 H-2814.1 Regular Reports
(CT:POH-199; 11-06-2017)
(State Only)
(Applies to Foreign Service Only)
a. The annual rating period for members shall extend
from April 16 to April 15 of the following year, except for Entry Level Officer
Career Candidates who are evaluated one year after assumption of duties.
b. Evaluation reports are due in HR/PE on or before May
15; for Entry Level Officer FSO Career Candidates, reports are due 30 days
after the end of the rating period.
c. Where no regular or voluntary evaluation report is
prepared because the period to be covered is less than 120 days as of April 15,
the un-rated period should be added to the next rating period beginning April
16 and be included in calculating the 120-day period for any required interim
evaluation report (see 3 FAM 2813.4).
The first interim or regular evaluation report prepared where there has been
continuous supervised work experience bridging the two rating periods should
reflect the full period of performance.
d. Regular evaluation reports are required for members
planning to resign or who retire after the end of the rating period, except for
those members who are involuntarily retiring based on age, unless requested in
writing by the member.
e. No regular evaluation report is required for a
member whose time-in-class (TIC) has expired but who has not yet separated from
the Service, unless requested in writing by the member prior to the end of the
rating period; however, members who fall under the excepted annuity provisions
of 3 FAM
6213.4 do require a regular evaluation report.
3 FAH-1 H-2814.2 Interim Reports
(CT:POH-199; 11-06-2017)
(State Only)
(Applies to Foreign Service Only)
a. No interim evaluation report is required when a
member retires or resigns during the rating period, unless requested, in
writing, by the member prior to the retirement or resignation.
b. No interim evaluation report is required for a member
whose time-in-class (TIC) has expired but who has not yet separated from the
Service, unless requested in writing by the member, except that members who
fall under the annuity exception provisions of 3 FAM 6213.4 do
require an interim evaluation report.
c. Interim evaluation reports are due within 30 days
after the end of the period covered by the report.
d. Form DS-5055 or
DS-7768 must be used.
3 FAH-1 H-2814.2-1 Voluntary
Report
(CT:POH-199; 11-06-2017)
(State Only)
(Applies to Foreign Service Only)
a. Even when an interim report is not required (periods
of less than 120 days), a voluntary report may be submitted. Voluntary reports
are not to be used to document performance during a detail or temporary duty
assignment when the employee will return to his or her regular position and be
evaluated for the full period.
b. Voluntary reports are encouraged only when
significant elements of performance are involved or the rated member may face a
substantial period of undocumented performance.
c. Form DS-7768 or
DS-5055 must be used
d. Voluntary reports are due 30 days after the end of the
period covered by the report.
3 FAH-1 H-2814.2-2 Post/Bureau
Requests Reassignment
(CT:POH-199; 11-06-2017)
(State Only)
(Applies to Foreign Service Only)
When a post or bureau requests that an employee be
reassigned and that action is subsequently taken, the post or bureau must
submit within 30 days of such reassignment an interim evaluation report
documenting the members performance prior to the reassignment, regardless of
the time involved. Form DS-5055 or DS-7768 (if period covered is less than 120
days) must be used, and the evaluation report must state the reasons for the
request and subsequent reassignment.
3 FAH-1 H-2814.3 Unsatisfactory
Rating
(CT:POH-199; 11-06-2017)
(State Only)
(Applies to Foreign Service Only)
a. In the case of tenured employees, a rater may not
assign an overall unsatisfactory rating unless the rated employee has
previously been advised in writing of the areas of performance which are
inadequate and has been given a reasonable opportunity (normally 30 to 60 days)
and adequate guidance to remedy these deficiencies.
b. For untenured employees, if the performance was
unsatisfactory, the rater must comply with 3 FAM 2246, 3 FAM 2256, and
all other provisions to which these sections refer. A rater may not assign an
overall unsatisfactory rating unless the employee has previously been advised
in writing of the areas of performance which are inadequate and has been given
a reasonable opportunity (normally 30 to 60 days) and adequate guidance to
remedy these deficiencies. For untenured employees, if the rater assigns an
unsatisfactory rating, the EER must be forwarded directly to HR/PE. For
untenured employees, the rater also must indicate whether the employee is
recommended for tenure.
c. For procedures that apply to unsatisfactory ratings
of career candidates and members subject to administrative promotions, see 3 FAH-1 H-2320
(Promotion of Members of the Foreign Service), 3 FAH-1 H-2240
(FSO Career Candidates) and 3 FAH-1 H-2250
(FS Specialist Career Candidates Program). HR/PE must be notified in advance
when an unsatisfactory rating will be given to a career candidate and the EER
must be forwarded directly to HR/PE.
3 FAH-1 H-2814.4 Length of
Evaluation Report
(CT:POH-199; 11-06-2017)
(State Only)
(Applies to Foreign Service Only)
a. Written comments in any evaluation report may not
extend beyond the space allowed unless expressly authorized in the EER
instructions.
(1) Ordinarily, only rated members and review panels
may use extension sheets;
(2) HR/PE will return evaluation reports which violate
this restriction for revision, time permitting, or will delete unauthorized
extensions and advise the originating post or bureau accordingly.
3 FAH-1 H-2814.5 Report Categories
and Scheduling
(CT:POH-199; 11-06-2017)
(State Only)
(Applies to Foreign Service Only)
|
Report Category
|
Form No
|
Regular Rating Period Ends
|
Due in HR/PE
|
|
a. U.S. Foreign Service Employee Evaluation Reports (All
members of the Service except as noted in 3 FAM 2813.2);
Interim Reports- see 3 FAM 2813.4.
|
DS-5055
|
April 15 (for Entry Level Career Officer Candidates, 1
year from EOD at post)
|
May 15 (for Entry Level Career Officer Candidates, 30 days
after period ends)
|
|
b. Interim Report (Optional Short Form)
|
DS-7768
|
Variable. This form is for any period that is less than
120 days.
|
30 days after the end of the rating period
|
|
c. Supplemental Evaluation Report for Medical Personnel (3 FAM 2813.6)
|
DS-1948
|
April 15
|
May 15
|
|
d. Foreign Service Institute Training Evaluation Report (3 FAM
2813.7-1)
|
DS-7772
|
At end of training
|
20 days after period ends
|
|
e. Report of Training in Language/Area Skills and
Achievements (3 FAM
2813.7-2)
|
DS-0651
|
At end of training
|
20 days after training period ends
|
3 FAH-1 H-2815 RESPONSIBILITIES OF
RATING AND REVIEWING OFFICERS
3 FAH-1 H-2815.1 General
Responsibilities of Rating and Reviewing Officers
(CT:POH-199; 11-06-2017)
(State Only)
(Applies to Foreign Service Only)
a. There must be an understanding between the rating
officer and rated member about the requirements of the position:
(1) The rated members detailed work requirements and
DS-5055 work responsibilities should be formalized in writing within 45 days of
the beginning of the rating period and amended, as necessary, with each change
of assignment, assumption of additional duties, or other circumstances which
warrant a review of performance against the standard of work expected of the
member;
(2) Where agreement between the rating officer and rated
employee concerning the work requirements and/or DS 5055 work responsibilities cannot
be reached, the rating officer should establish the work requirements and/or DS
5055 work responsibilities after discussion with the member and provide a copy
of them to the member; and
(3) Rating officers are expected to review performance
with rated members at least twice in the course of the review period. If the
period supervised is to be less than 120 days, only one review is required. At
least one performance review must be documented in writing on the DS 1974.
b. Decisions on tenure, promotion, within-class salary
increases, performance pay, and separations are affected by evaluation
reports. Careless, incomplete, biased, or evasive evaluation reports can be
detrimental to a members career and misleading to management.
c. Selection boards are instructed to evaluate, among
other things, an officers performance as a leader and manager. Their written
criticisms of reports prepared by rating and reviewing officers will be sent to
the officer concerned by HR/PE.
d. Rating and reviewing officers may discuss the
members performance and the Employee Evaluation Report, but their individual
comments in the evaluation report must reflect their own separate and
independent views.
e. Before preparing an EER, the rating and reviewing
officers should review the most recent selection board precepts.
f. For the special responsibilities of rating and
reviewing officers of career candidates, rating and reviewing officers should
refer to 3 FAM
2240 (FSO Career Candidates) and 3 FAM 2250
(Specialist Career Candidates) and related subchapters in the FAH.
3 FAH-1 H-2815.2 Rating Officers
(CT:POH-199; 11-06-2017
(State Only)
(Applies to Foreign Service Only)
In addition to the responsibilities outlined in 3 FAH-1
H-2815.1, rating officers are responsible for:
(1) Ensuring that rated members have a clear
understanding of their work requirements and of the requirements for
satisfactory performance;
(2) Discussing on a periodic basis throughout the
rating period the rated members strengths and weaknesses, and ways to improve
their performance, enhance their professional development, and increase their
opportunities for career advancement. At least one performance review must be
documented on DS-1974;
(3) Recognizing superior performance in the evaluation
report and through appropriate use of awards;
(4) Preparing evaluation reports in accordance with
published Department guidance;
(5) Discussing fully and frankly the contents of the evaluation
report with the rated member. This is particularly important if the report
contains critical judgments; and
(6) Documenting unsatisfactory performance in the
evaluation report. This does not relieve the rating officer of the
responsibility to take appropriate action toward members whose performance or
behavior indicates the need for additional performance counseling or disciplinary
action.
3 FAH-1 H-2815.3 Reviewing
Officers
(CT:POH-199; 11-06-2017)
(State Only)
(Applies to Foreign Service Only)
In addition to those responsibilities outlined in 3 FAH-1
H-2815.1, reviewing officers are responsible for:
(1) Reporting their evaluation of rated members based
on personal observations in accordance with published Department guidance.
Reviewing officers must take measures to become familiar enough with the work
of rated members to set forth independent observations on performance and
potential in their sections of the evaluation reports;
(2) Assuring that rating officers are familiar with
the evaluation program, are meeting their supervisory and evaluation
obligations, and are applying uniform rating standards to rated members;
(3) Assuring that the work requirements of rated
members are fair, reasonable and comparable to those of other like positions.
(4) Discussing the rated members performance upon
request of the member, rating officer or on own initiative;
(5) Reviewing the evaluation reports for thoroughness,
objectivity, soundness, and compliance with evaluation instructions and
published Department guidance; and
(6) The reviewer must independently assess the rated
employees preparedness for assuming positions of greater responsibility,
citing examples of performance, and must not rely solely on the views of the
rater. The reviewer must describe the employees relations with her/her rater,
and document the employees record of working collaboratively with peers and
supporting the professional development of subordinates. If the reviewer
disagrees with the evaluation of the employee by the rater, or if relations
between the rater and employee are strained, the reviewer must make this clear
in the evaluation report. The reviewer shares responsibility for ensuring the
employee is fairly treated. The reviewer may comment on the adequacy and
candor the rater showed in preparing the report.
3 FAH-1 H-2815.4 Departure of
Rating and Reviewing Officers and Rated Member
(CT:POH-199; 11-06-2017)
(State Only)
(Applies to Foreign Service Only)
a. Rating officers are responsible for preparing all
required evaluation reports (regular or interim) before their departure from a
post or bureau and before the departure of the rated member. Evaluation
reports should be prepared in time to permit their completion and discussion by
all participants prior to departure.
b. Before departure from a post or bureau, reviewing
officers will complete their statements on all evaluation reports due at that
time. Reviewing officers are also encouraged, where they have served as
reviewer for a substantial portion of a rating period but are departing before
a rating is due, to leave a memorandum of their observations to be drawn from,
as appropriate, by the successor reviewing officer when the evaluation report
for the full period is prepared.
c. Executive directors and principal officers will
assure that rating and reviewing officers who are scheduled to leave a bureau
or post on reassignment, retirement, or resignation have completed all required
evaluation reports before clearing the officer for departure. Assistant
secretaries, chiefs of mission, and other officers in senior positions are
expected to assure this important duty is carried out properly by their
subordinates and themselves.
3 FAH-1 H-2816 RIGHTS AND RESPONSIBILITIES
OF RATED MEMBERS
(CT:POH-199; 11-06-2017)
(State Only)
(Applies to Foreign Service Only)
Rated members have the following rights and
responsibilities:
(1) To participate with the rating officer in the
formulation of the written statement of work requirements and DS 5055 work
responsibilities, goals and objectives to the extent necessary to ensure
understanding by both parties of what will constitute successful performance;
(2) To meet periodically with the rating officer to
discuss performance and ways of improving it; and
(3) To include in the evaluation report ones own
views of the job and performance in accordance with published Department
guidance.
3 FAH-1 H-2817 REVIEW, REBUTTALS, AND
APPEALS
3 FAH-1 H-2817.1 Review Panels
(CT:POH-199; 11-06-2017)
(State Only)
(Applies to Foreign Service Only)
a. Bureaus and posts abroad with 10 or more State Department
Foreign Service members are to establish review panels.
b. Evaluation reports from posts with fewer than 10
members, or where the appropriate executive director and principal officer
determines that establishment of a panel is impracticable, must be reviewed by
the appropriate executive director or principal officer or their deputies.
c. Evaluation reports prepared at subordinate posts
abroad with fewer than 10 State Foreign Service members are to be sent to the
embassys review panel.
d. Chiefs of mission, assistant secretaries, and their
equivalents may elect not to submit the evaluation reports they prepare on
their deputies to review panels.
e. Review panels have three primary responsibilities:
(1) Technical - Confirm that the EER is complete, that
all regulations and instructions are correctly applied in all sections of an
EER and, if not, return it for correction; and review EERs for inadmissible
comments. The review panel should make every effort to have appropriate
revisions made. If those efforts are unsuccessful, the panel may delete
inadmissible comments and make a note of this in the review panel section of
the EER. Review panels or their HRO are encouraged to consult with HR/PE when
uncertain about the admissibility of a comment;
(2) Advisory Confirm that EERs contain specific
examples of the employee's performance to substantiate comments and that the
EERs are internally substantively consistent. Panels should return any EER
that lacks examples or consistency for correction. The panel must try to have
deficiencies corrected. If the effort is unsuccessful, the panel should note
the suggested revisions in Section IV of the EER and any reasons for their
rejection. A continuation sheet may be used;
(3) Administrative To ensure timeliness of EERs,
review panels must document any delay in the submission of an EER after the due
date. If an evaluation is submitted after the due date, the review panel must
note who was responsible for the delay. HROs should consult with HR/PE in the
case of a late EER.
f. Where evaluation reports are revised at review
panel request or the panel makes comment beyond normal approval, the evaluation
report should again be shown to the rated member.
3 FAH-1 H-2817.2 Optional
Statement by Rated Member
(CT:POH-199; 11-06-2017)
(State Only)
(Applies to Foreign Service Only)
a. A member who disagrees with an evaluation report
should, in most instances, first discuss the issue with the rating and
reviewing officers. If one or both of these officers agree to revise the
evaluation report, the appropriate changes shall be made on all copies.
Revision cannot be made after the selection boards have convened and reviewed
the evaluation report, except through the grievance procedures as provided in 3
FAM 4400.
b. A member who fails to obtain satisfaction after
discussion with the rating and reviewing officers may use the Optional
Statement section of the EER to address activities or problems that he or she
believes have not been covered adequately. Additional pages may be appended
for this reason.
c. Rating and reviewing officers are entitled to read
the rated members comments only if the comments contain negative or pejorative
statements.
d. If the rated employee's description of
accomplishments or optional statement contains negative or pejorative comments
concerning the rater or reviewer, or raises significant questions of fact, the
bureau or post review panel must provide the employee the opportunity to revise
these comments. If the employee declines to do so, the review panel may invite
the rater or reviewer, as appropriate, to comment. Any such comments must be
shown to the employee, who will have the opportunity to make a final
statement. These supplemental statements must be attached to the evaluation
report. Although the review panel has the primary responsibility to check for
negative and pejorative comments, if HR/PE identifies such comments it will
follow the procedure outlined above.
3 FAH-1 H-2818 RATING AND REVIEWING
FAMILY MEMBERS
(CT:POH-199; 11-06-2017)
(State Only)
(Applies to Foreign Service Only)
No family member shall exercise supervisory
responsibilities over another family member. This prohibition includes acting
as rating or reviewing officer on evaluation reports.
3 FAH-1 H-2819 SUBMISSION, USE,
DISCLOSURE, AND DISPOSITION OF REPORTS
3 FAH-1 H-2819.1 Submission of
Reports
3 FAH-1 H-2819.1-1 Responsibility
(CT:POH-199; 11-06-2017)
(State Only)
(Applies to Foreign Service Only)
a. Principal Officers and executive directors and/or
officers are responsible for the prompt submission of evaluation reports to
HR/PE.
b. The rated member has 5 calendar days from receipt of
the completed evaluation report in which to acknowledge receipt by signing it.
The members signature does not denote either concurrence or non-concurrence
with the rating. If after the end of the 5 day period the member has not
signed the evaluation report, the principal officer abroad or executive
director/officer of the bureau shall send the unsigned evaluation report to
HR/PE for inclusion in the members performance folder, along with a covering memorandum
explaining steps taken to obtain the signature of the rated member. If the
rater member decides to provide an Optional Statement, an additional 5 days may
be granted. However, submission of the evaluation report should not be delayed
further by the members refusal to sign.
c. Rated member comments and signatures not completed
on a timely basis may be submitted subsequently and will be added to the
evaluation report in place of the incomplete page.
3 FAH-1 H-2819.1-2 Delinquent
Reports
(CT:POH-199; 11-06-2017)
(State Only)
(Applies to Foreign Service Only)
a. Executive directors and principal officers will take
appropriate action to expedite the submission of delinquent evaluation reports.
b. Executive directors and principal officers are responsible
for informing HR/PE of officers responsible for late evaluation reports in
accordance with 3
FAM 2810.
3 FAH-1 H-2819.2 Disposition of
Reports
3 FAH-1 H-2819.2-1 At Time of
Preparation
(CT:POH-199; 11-06-2017)
(State Only)
(Applies to Foreign Service Only)
a. The evaluation report should be forwarded via GEMS
to the Office of Performance Evaluation (HR/PE). Exceptions to this must be
approved in advance by HR/PE.
b. The evaluation report is placed in the rated
members performance folder.
c. The evaluation report is available to the rated
member in the electronic official performance folder. If the rated member
leaves the post or bureau before the evaluation report is completed, the post
or bureau must promptly forward a copy to the member.
3 FAH-1 H-2819.3 Use of Reports To
Review Duties and Performance Requirements
(CT:POH-199; 11-06-2017)
(State Only)
(Applies to Foreign Service Only)
The evaluation process provides an opportunity for the rating
officer to discuss with the rated member the duties and the performance
requirements of the position. Good supervision requires that rating officer
and rated member achieve a mutual understanding of what is expected of the
subordinate.
3 FAH-1 H-2819.4 Disclosure of
Evaluation Reports
(CT:POH-199; 11-06-2017)
(State Only)
(Applies to Foreign Service Only)
Access to FS evaluation reports is restricted to persons authorized
by law or are assigned by the Secretary to work on such records, as provided
under Section 604 of the Foreign Service Act. Members may access their own
electronic performance folders at any time via the HR portal.
3 FAH-1 H-2819.5 Equal Employment
Opportunity
(CT:POH-199; 11-06-2017)
(State Only)
(Applies to Foreign Service Only)
Rating and reviewing officers must adhere to the EEO
requirements as stated in 3 FAM 2814.
3 FAH-1 H-2819.6 Inadmissible
Comments
(CT:POH-199; 11-06-2017)
(State Only)
(Applies to Foreign Service Only)
The use of inadmissible comments is prohibited in all
forms of evaluative material (see 3 FAM 2815).