UNCLASSIFIED (U)

3 FAM 2800 
PERFORMANCE MANAGEMENT

3 FAM 2810

PERSONNEL EVALUATION

(CT:PER-991;   05-18-2020)
(Office of Origin:  GTM/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, training, separations, and disciplinary action by:

(1)  Providing for a periodic written evaluation of each member’s 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-990;   05-15-2020)
(State Only)
(Applies to Foreign Service Personnel)

a. Form DS-5055 and Form DS-7768, U.S. Foreign Service Employee Evaluation Report (EER) are official reports 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 GTM/PE.

3 FAM 2813.2  Use of Foreign Service Evaluation Report

(CT:PER-978;   02-25-2020)
(State Only)
(Applies to Foreign Service Personnel)

All members of the Foreign Service will be evaluated on either the DS-5055 or the DS-7768, except:

(1)  Members in training other than languages at the Foreign Service Institute (see 3 FAM 2813.7-1) use the DS-7772;

(2)  Members in language training at the Foreign Service Institute use DS-0651 (see 3 FAM 2813.7-2); and for

(3)  Medical personnel (see 3 FAM 2813.6).

3 FAM 2813.3  Regular Report

(CT:PER-978;   02-25-2020)
(State Only)
(Applies to Foreign Service Personnel)

A regular report is prepared for the 1-year rating period ending April 15th except for Foreign Service officer career candidates whose report is due on the 1-year anniversary of their arrival at post.  See 3 FAM 2813.4 if the rater has changed during this time period.

3 FAM 2813.4  Interim and Voluntary Reports

(CT:PER-991;   05-18-2020)
(State Only)
(Applies to Foreign Service Personnel)

An interim report (see 3 FAH-1 H-2814.2) will be prepared for submission to GTM/PE using the DS-5055 within 30 days after the end of the period covered by the report to document a member’s performance during any period of 120 days or more.  A voluntary report will be prepared for submission to GTM/PE using either the DS-5055 or the DS-7768 if the period is less than 120 days.  These reports are due 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 Global Talent Management (see sections 3 FAM 2240 and 3 FAM 2254.2).

3 FAM 2813.5  Unassigned

3 FAM 2813.6  Supplemental Evaluation Report for Medical Personnel

(TL:PER-990;   05-15-2020)
(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 employee’s performance.

b. Form DS-1948 is prepared by a tenured Foreign Service medical officer, selected by the Medical Director, who conducts an on-site evaluation to assess the rated employee’s 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 (GTM/PE) for inclusion in the employee’s Official Personnel Folder.

3 FAM 2813.7  Training Evaluation Reports

3 FAM 2813.7-1  Form DS-7772, the Training Evaluation Report (TER) for Non-Language/Area Skills and Achievements

(TL:PER-978;   02-25-2020)
(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 (FSI) of 120 days or more.

b. Voluntary Preparation of TER:  A TER may be prepared voluntarily to cover a period less than 120 days of full-time training provided by FSI 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-0651, Report of Training in Language/Area Skills and Achievements

(TL:PER-978;   02-25-2020)
(State Only)
(Applies to Foreign Service Personnel)

Members enrolled in full-time language/area skills training at FSI of 120 days or more will be evaluated on DS-0651.  Form DS-0651 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-978;   02-25-2020)
(State Only)
(Applies to Foreign Service Personnel)

a. These training evaluations become a part of the employee’s official performance folder and are subject to review for the same purposes as other performance evaluations.

b. A member evaluated on DS-7772 or DS-0651 will be given a copy of the form and an opportunity to comment on it.

3 FAM 2814  EQUAL EMPLOYMENT OPPORTUNITY

(TL:PER-978;   02-25-2020)
(State Only)
(Applies to Foreign Service Personnel)

All jobs require employees to demonstrate equal employment opportunity (EEO) leadership and adherence to EEO principles.  Raters should discuss an employee’s EEO leadership and commitment to diversity and inclusion, if he or she has demonstrated it, or document performance that suggests less than full support for EEO objectives and diversity and inclusion efforts, providing at least one example to support either kind of statement.

3 FAM 2815  INADMISSIBLE COMMENTS

3 FAM 2815.1  Policy

(TL:PER-978;   02-25-2020)
(State Only)
(Applies to Foreign Service Personnel)

a. Inadmissible comments may not be included in any section of an evaluation report (including the rated member’s comments), or in other forms of evaluative material (such as inspector’s 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 (including pregnancy and gender identity, but not the use of Mr., Mrs., Ms., or first names or personal pronouns), national origin, age, sexual orientation, and genetic information;

(2)  Disability status, whether a reasonable accommodation has been requested or provided due to a disability, the nature/type of any reasonable accommodation requested or provided, and medical information (including information regarding alcoholism, drug abuse, or rehabilitation efforts);

(3)  Ranking by former Selection Boards or impending selection-out;

(4)  Physical characteristics and personal qualities that do not affect performance or potential;

(5)  Marital status or plans; references to spouse or family;

(6)  Retirement, resignation, or other separation plans;

(7)  Reference to job sharing and telecommuting;

(8)  Grievance, equal employment opportunity, or Merit Systems Protection Board proceedings;

(9)  Method of entry into the Service;

(10) Reference to private U.S. citizens by name;

(11) Participation or nonparticipation of Foreign Service personnel in any organization which exists for the purpose, in whole or in part, of dealing with foreign affairs agencies concerning grievances, human resources policies, and practices;

(12) Ratings for earlier periods prepared by other supervisors;

(13) Reluctance to work voluntary overtime;

(14) Leave record, except in the case of unauthorized absences;

(15) Letters of reprimand;

(16) 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 member’s expression of dissenting views on policy, outside of the dissent channel, raises substantial question of judgment or obstructionism relevant to the member’s 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;

(17) 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 member’s predecessor.”  On the other hand, the description, “The member is the best management officer I have supervised in the past 10 years,” is acceptable);

(18) 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; or

(19) Outside activities that are not relevant to performance or post effectiveness.

3 FAM 2815.2  Unassigned

(TL:PER-978;   02-25-2020)

3 FAM 2815.3  Documenting Performance When Cause Is Inadmissible

(TL:PER-978;   02-25-2020)
(State Only)
(Applies to Foreign Service Personnel)

Significant instances of superior or exceptional performance in difficult circumstances or of undependability, inefficiency, general poor performance, and discredit brought on the Foreign Service should be documented in the evaluation report, even if reference to the cause of such performance is inadmissible.

3 FAM 2815.4  GTM/PE Authorized to Remove Inadmissible Comments

(TL:PER-990;   05-15-2020)
(State Only)
(Applies to Foreign Service Personnel)

If GTM/PE discovers inadmissible comments in evaluation reports, it will return the evaluation reports to the drafters with a request for alterations.  If necessary, GTM/PE 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-978;   02-25-2020)
(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 of State.  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 agency’s evaluation procedure must rest with that agency.  In the absence of instructions from the employee’s agency, the chief of mission may furnish appropriate reports to the agency at that officer’s 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

UNCLASSIFIED (U)