3 FAH-1 H-2800
PERFORMANCE MANAGEMENT
3 FAH-1 H-2810
PERSONNEL EVALUATION - PROCEDURES
(CT:POH-238; 08-12-2020)
(Office of Origin: GTM/PE)
3 FAH-1 H-2811 ADMINISTRATIVE RESPONSIBILITIES
(CT:POH-238; 08-12-2020)
(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 GTM/PE’s intranet site.
3 FAH-1 H-2811.1 Director of the Office of Performance Evaluation (GTM/PE)
(CT:POH-238; 08-12-2020)
(State Only)
(Applies to Foreign Service Only)
The Director, GTM/PE:
(1) Is responsible for the development and administration of the Department’s 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-238; 08-12-2020)
(State Only)
(Applies to Foreign Service Only)
Bureau Executive Directors and/or Principal Officers at posts abroad assist GTM/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 GTM/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-238; 08-12-2020)
(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 member’s 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 Department’s personnel records are contained in 3 FAM 2350.
c. The Director General or the designated Deputy Assistant Secretary for Global Talent Management is authorized to amend, explain, supplement, or remove material in a member’s 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-238; 08-12-2020)
(State Only)
(Applies to Foreign Service Only)
Evaluation of a member’s performance is the responsibility of the rating officer. Evaluative material in the form of letters, memoranda, etc., received by GTM/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 member’s 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-238; 08-12-2020)
(State Only)
(Applies to Foreign Service Only)
a. A member may at any time submit unclassified material related to his or her performance to GTM/PE with a request that it be included in the member’s 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 member’s 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 GTM/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 member’s performance file is transferred automatically and becomes part of the member’s State OPF (and vice versa). However, the performance files of new appointees from those agencies are not automatically transferred to the member’s State OPF. New FS appointees who were formerly employed by USAGM, FAS, or FCS may request to GTM/EX/RIM that their performance file from those agencies become part of the member’s State OPF;
(2) USAID - When a USAID Foreign Service member transfers to State Foreign Service, the member’s performance file will be made part of the State OPF only at the member’s request (and vice versa);
(3) Civil Service - When a State Civil Service employee changes status to Foreign Service, the employee’s Civil Service performance material from the four years prior to the change in status becomes part of the member’s 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. GTM/PE will review, and will only accept recent appraisals and letters of commendation that are relevant to the employee’s position in the Foreign Service. GTM/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 member’s 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 officer’s 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 member’s 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 member’s 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 member’s 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-238; 08-12-2020)
(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 member’s 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 (GTM/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 GTM/PE
(CT:POH-238; 08-12-2020)
(State Only)
(Applies to Foreign Service Only)
The Office of Performance Evaluation (GTM/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 Chargé d’Affaires ad Interim
(CT:POH-199; 11-06-2017)
(State Only)
(Applies to Foreign Service Only)
a. It is the responsibility of the appropriate geographic bureau’s A/S or DAS to prepare evaluation reports on members serving as chargé d’affaires ad interim (chargé), unless there is an ambassador accredited to, but not resident at, the post.
b. In cases where a member is serving as chargé 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 chargé 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-238; 08-12-2020)
(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 (GTM/CDA).
c. Unless specifically authorized by GTM/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-238; 08-12-2020)
(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 GTM/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 GTM/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-238; 08-12-2020)
(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 GTM/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 member’s 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-238; 08-12-2020)
(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 GTM/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). GTM/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 GTM/PE.
3 FAH-1 H-2814.4 Length of Evaluation Report
(CT:POH-238; 08-12-2020)
(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) GTM/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-238; 08-12-2020)
(State Only)
(Applies to Foreign Service Only)
|
Report Category |
Form No |
Regular Rating Period Ends |
Due in GTM/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-238; 08-12-2020)
(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 member’s 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 member’s career and misleading to management.
c. Selection boards are instructed to evaluate, among other things, an officer’s 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 GTM/PE.
d. Rating and reviewing officers may discuss the member’s 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 member’s 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 member’s 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 employee’s 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 employee’s relations with her/her rater, and document the employee’s 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 one’s 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-238; 08-12-2020)
(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 embassy’s 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 GTM/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 GTM/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-238; 08-12-2020)
(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 member’s 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 GTM/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-238; 08-12-2020)
(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 GTM/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 member’s 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 GTM/PE for inclusion in the member’s 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 member’s 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-238; 08-12-2020)
(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 GTM/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-238; 08-12-2020)
(State Only)
(Applies to Foreign Service Only)
a. The evaluation report should be forwarded via GEMS to the Office of Performance Evaluation (GTM/PE). Exceptions to this must be approved in advance by GTM/PE.
b. The evaluation report is placed in the rated member’s 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).