UNCLASSIFIED (U)

3 FAM 2800 
PERFORMANCE MANAGEMENT

3 FAM 2810

PERSONNEL EVALUATION

(CT:PER-1105;   10-24-2022)
(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-1096;   06-15-2022)
(State Only)
(Applies to Foreign Service Personnel)

a. 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).

b. An employee may choose to request a Gap Report (formerly a Gap Memo) for a period of 120 days or more, within a single rating cycle, during which the individual is unassigned and/or unable to work.  Gaps that cross into two rating cycles (February through June, for example) may not require a gap report. A Gap Report acknowledges a gap in evaluative material and reminds Selection Boards that they may not draw inferences, either positive or negative, from the absence of evaluative material.  The Gap Report does not include text about the reason for the gap itself.  A Gap Report is not considered evaluative material.  

c.  An employee is eligible for a Gap Report if he/she has an unrated period of 120 consecutive days or more as a result of one or more of the following circumstances:

(1)  Approved leave, such as:  sick leave or leave under the Family and Medical Leave Act (FMLA), including for a birth/adoption event or care for a covered service member (military caregiver leave);  

(2)  Leave Without Pay (LWOP) approved by the Office of Career Development and Assignments in the Bureau of Global Talent Management (GTM/CDA);

(3)  An administrative action that results in a directive to place a gap report in the file;

(4)  In exceptional cases, when an employee completes more than 120 consecutive days of training at the Foreign Service Institute, but is not eligible to receive a training evaluation report; or

(5)  Other circumstances as determined by and at the discretion of the Director of GTM/PE.

d. .A Gap Report is issued at the discretion of GTM/Performance Evaluation (GTM/PE) consistent with the criteria in Part C. above and after review of the employee’s circumstances.  

e. Requests for a Gap Report should be sent to the GTM/PE Questions mailbox (GTM-PEQuestions@state.gov).

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

(CT:PER-1096;   06-15-2022)
(State Only)
(Applies to Foreign Service Personnel)

a. In addition to the DS-5055, the Supplemental Evaluation Report for Foreign Service Medical Specialists (FSMS), Form DS-1948, will be completed annually for untenured employees in the following categories whose DS-5055 rater and/or reviewer are not FSMS:

(1) Regional Medical Officers (RMO);

(2) Medical Providers (MP);

(3) Regional Medical Laboratory Scientists (RMLS); and

(4) Regional Medical Officer/Psychiatrists (RMO/P). 

b. Form DS-1948 will be completed once per tour for all tenured RMOs, MPs, and RMO/Ps if their raters and/or reviewers are not MED specialists.

c. Form DS-1948 will be completed once per tour for all tenured RMLSs, regardless of whether rater/reviewer are FSMS personnel.  

d. Form DS-1948 is prepared by a tenured FSMS who is selected by the Chief Medical Officer and who should evaluate the employee’s technical proficiency and professionalism in the medical field.  The DS-1948 report provides selection and tenure boards with a technical medical perspective on the rated employee’s performance.  As with other evaluative material, the report is reviewed by the appropriate bureau or post review panel before being submitted 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-1037;   05-03-2021)
(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.

a. Rated employees may describe their leadership and/or participation in a specific and identified Professional Development and/or Bureau/Post Diversity and Inclusion Council and may speak in detail about their activities and contributions to those particular organizations, but may not identify their own or other’s personal characteristics as outlined in 3 FAM 2815.1(b);

b. Rated employees may describe, in general terms, their leadership and/or participation in an unspecified and unidentified Employee Affinity Group or Employee Organization, but may not name the specific group or organization or identify their own or others’ personal characteristics as outlined in 3 FAM 2815.1(b).  One admissible example: "As a member of one of the Department's employee affinity groups, I took x action this rating period to advocate for change/improvement benefiting my colleagues and the Department.”  Another admissible example: “I served as President of a Department Employee Organization with over 500 members.  I developed a range of initiatives to promote the professional development of the organization’s members, receiving regular praise from bureau and/or Department leadership.”  

3 FAM 2815  INADMISSIBLE COMMENTS

3 FAM 2815.1  Policy

(CT:PER-1105;   10-24-2022)
(State Only)
(Applies to Foreign and Civil Service Personnel)

a. Inadmissible comments may not be included in any section of an evaluation report (including the rated employee’s comments), or in other forms of evaluative material (such as inspector’s reports, training reports, letters of commendation, etc.).  Rating and reviewing officials 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, childbirth, sexual orientation, 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 (not applicable for Civil Service);

(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, assignment actions (e.g., curtailment or reassignment) or other separation plans;

(7)  Reference to participation in workplace flexibilities, job sharing or the specific location in which the employee performs routine duties (e.g., in an office, via telework, or away from a post on authorized/ordered departure), or negative reference to the impact of a detail/TDY assignment on the employee's ability to complete their regular duties.  If the employee's work supported the workplace flexibilities of other employees, then references to that performance would be acceptable;

(8)  Mention of initiation of, involvement in, or participation in grievance, Equal Employment Opportunity, Office of Special Counsel, or Merit Systems Protection Board proceedings, or any other adjudicative process;

(9)  Method of entry or hiring authority for entry into the Civil or Foreign Service;

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

(11) Participation or nonparticipation of personnel in the American Foreign Service Association, the American Federation of Government Employees, and the National Federation of Federal Employees, or other collective bargaining organizations

(12) Reference to previous performance ratings or events or performance outside the rating period;

(13) Reluctance to work voluntary overtime;

(14)Absences and leave record, except as it relates to performance

(15) References to specific disciplinary actions and/or misconduct unrelated to performance.  Any reference to misconduct must be explicitly tied to performance;

(16) Reference to use of the dissent channel and/or policy ideas channel or direct or indirect reference to, or consideration of, judgments in dissent and/or policy ideas channel messages as a basis for an adverse evaluation of performance or potential.  When the rated employee’s expression of dissenting views on policy, outside of the dissent and/or policy ideas channel, raises substantial question of judgment or obstructionism relevant to the employee’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. References to "whistleblowing," or the protected disclosure of information are also prohibited.  This includes statements by an employee who reasonably believes they are providing evidence of an activity constituting a violation of law, rules, or regulations, or gross mismanagement, gross waste of funds, abuse of authority, or a substantial and specific danger to public health or safety;

(17) Negative or pejorative discussion of the performance of another identifiable employee (for example, Rater cannot state, “The employee quickly brought order out of chaos left by the employee’s predecessor.”  On the other hand, the description, “The employee is the best Desk 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 and certifications are acceptable; or

(19) Outside activities that are not relevant to performance or mission effectiveness.  (See 3 FAM 2814 for how to discuss membership in Employee Affinity Groups and non-labor Employee Organizations.)

3 FAM 2815.2  Unassigned

(TL:PER-978;   02-25-2020)

3 FAM 2815.3  Documenting Performance When Cause Is Inadmissible

(CT:PER-1105;   10-24-2022)
(State Only)
(Applies to Foreign and Civil 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  Return of EERs for Removal of Inadmissible Comments

(CT:PER-1105;   10-24-2022)
(State Only)
(Applies to Foreign Service Personnel)

If consistent with the review process established in 3 FAH-1 H-2817.1, the Post or Bureau’s Review Panel or EX becomes aware of an inadmissible comment in an EER, they may return the EER to the drafter(s) for correction.  If the EER has been submitted to GTM/PE, the Post or Bureau may request that GTM/PE return the EER to them for correction by the drafter(s).  GTM/PE will return only “current ratings” as defined in 3 FAM 2813.1, and so long as the EER has not yet been seen by a Selection Board or the boards are not in session.

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)