UNCLASSIFIED (U)

3 FAH-1 H-2320

PROMOTION OF FOREIGN SERVICE MEMBERS

(CT:POH-226; 10-16-2019)
(Office of Origin: HR/PE)

3 FAH-1 H-2321 RESPONSIBILITIES

3 FAH-1 H-2321.1 Director, Office of Performance Evaluation

(TL:POH-130; 05-01-2008)
(State Only)
(Applies to Foreign Service Only)

The Director, Office of Performance Evaluation:

(1) Certifies to selection boards in accordance with the precepts (see 3 FAH-1 Exhibit H-2321.1A and 3 FAH-1 Exhibit H-2321.1B) and these regulations, the names of members of the Service to be considered by the boards;

(2) Provides technical advice and staff support to the selection boards;

(3) Prepares promotion and career extension lists of members of the Foreign Service for each class on the basis of the determination made by the Under Secretary for Management of the number of members to be promoted or extended under 3 FAM 2325 and 3 FAM 6200, respectively. Names shall be taken in order from the lists of members recommended for promotion or extension by the selection boards in accordance with the precepts;

(4) Excludes from the lists of recommended promotions or extensions the name of any member separated from the Service for any reason and substitutes the names of other members in the order recommended for promotion or extension by the selection boards, under 3 FAM 2328; and

(5) Identifies members of the Foreign Service recommended for promotion who are still language probationers. Names of members removed from the promotion list because of language probation will be promoted subsequently if the members in question satisfy the language requirement before the convening of the next selection boards. If the member is not off language probation before the convening of the next selection boards, the member will re-compete for promotion.

3 FAH-1 H-2321.2 Director General of the Foreign Service

(TL:POH-90; 04-03-2003)
(State Only)
(Applies to Foreign Service Only)

The Director, Office of Performance Evaluation:

(1) Determines the number and membership of the selection boards (see 3 FAM 2326.1-1);

(2) Approves the precepts which have been negotiated with the exclusive representative, if any, for all boards or panels established for the purpose of evaluating Foreign Service personnel (3 FAM 2326.2);

(3) Convenes and adjourns the selection boards and assures appropriate briefings of board members;

(4) Reviews the findings and recommendations of the selection boards to determine whether they were made in accordance with the precepts and these regulations. Any list or name may be returned for reconsideration by the selection board if questions of procedure or conformity with precepts and these regulations arise. If a part of a list is returned, the board may review the names returned or, at its discretion, the entire list;

(5) Approves the temporary exclusion from a promotion list of any member of the Service under 3 FAM 2328;

(6) Submits the promotion list of members of the Foreign Service recommended for promotion to class FS-1 and below to the Under Secretary for Management for approval;

(7) Submits the lists of members recommended for limited extensions of their career appointments to the Under Secretary for Management for approval;

(8) Submits the promotion list of members recommended for promotion into and within the Senior Foreign Service to the Under Secretary for Management for transmittal to the Secretary for recommendation to the President; and

(9) Recommends from time to time to the Under Secretary for Management approval of a list of positions comparable to chief of mission (3 FAH-1 H-2322).

3 FAH-1 H-2321.3 Under Secretary for Management

(TL:POH-130; 05-01-2008)
(State Only)
(Applies to Foreign Service Only)

The Director, Office of Performance Evaluation:

(1) Determines the number of promotions and extensions of career appointments of members of the Foreign Service (3 FAM 2325 and 3 FAM 6200) who are subject to review by selection boards for such purposes;

(2) Approves promotions of career and career candidate members of the Service under section 605 of the Foreign Service Act of 1980 (Act) based on recommendations and rankings of selection boards established under section 602 of the Foreign Service Act of 1980 (except for career member promotions into and within the Senior Foreign Service which require the approval of the President; and promotions of career and career candidate members of the Service in classes below the FS-4 level and categories governed by administrative promotions under 3 FAM 2329.3);

(3) Approves limited extensions of career appointments of members of the Service (3 FAM 6200) in accordance with the recommendations and rankings of selection boards; and

(4) Approves from time to time the list of positions comparable to chief of mission.

3 FAH-1 H-2322 POSITIONS COMPARABLE TO CHIEF OF MISSION

(TL:POH-56; 11-24-1999)
(State Only)
(Applies to Foreign Service Only)

From time to time, the Director General of the Foreign Service will initiate a list of positions comparable in importance to "chief of mission" (as defined in section 102(3) of the Foreign Service Act of 1980, as amended). The Director General will then submit the list to the Under Secretary of Management for approval. The Under Secretary has approved the following list of positions as comparable in importance to that of "chief of mission."

3 FAH-1 H-2322.1 Positions Abroad

(CT:POH-135; 04-17-2009)
(State Only)
(Applies to Foreign Service Only)

Positions abroad include:

(1) Deputy chiefs of mission (as designated by the Under Secretary for Management);

(2) Positions established as charg d'affaires:

(a) Chiefs, U.S. interests sections;

(b) Consul General, Hong Kong; and

(c) Consul General, Jerusalem.

3 FAH-1 H-2322.2 Positions in International Organizations

(TL:POH-90; 04-03-2003)
(State Only)
(Applies to Foreign Service Only)

Positions in international organizations include:

(1) U.S. representatives (when chief-of-mission level is established by the post classification committee);

(2) Deputy U.S. representatives; and

(3) Representatives if appointed by the President with the advice and consent of the Senate.

3 FAH-1 H-2322.3 Positions at Department of State

3 FAH-1 H-2322.3-1 Executive Schedule Positions

(TL:POH-90; 04-03-2003)
(State Only)
(Applies to Foreign Service Only)

Executive Schedule positions include:

(1) Deputy Secretary (5 U.S.C. 5312);

(2) Ambassadors at Large (5 U.S.C. 5313) Under Secretaries (5 U.S.C. 5314);

(3) Assistant Secretaries (5 U.S.C. 5315); and

(4) Legal Adviser (5 U.S.C. 5315).

3 FAH-1 H-2322.3-2 Positions Equivalent to Assistant Secretaries

(CT:POH-226; 10-16-2019)
(State Only)
(Applies to Foreign Service Only)

Positions equivalent to Assistant Secretaries include:

(1) Director General of the Foreign Service and Director of Human Resources (M/DGHR) (section 208 of the Act);

(2) Inspector General (OIG) (section 209 of the Act);

(3) Director, Policy Planning Staff (S/P);

(4) Special Assistant to the Secretary and Executive Secretary of the Department (S/ES);

(5) Chief of Protocol (S/CPR);

(6) Coordinator for Communications and Information Policy (CIP);

(7) Chief Financial Officer (M/RM);

(8) Chief Information Officer (IRM/CIO);

(9) Director, Foreign Service Institute (M/FSI);

(10) Coordinator, Office for Counterterrorism (S/CT);

(11) Chief Medical Officer, Department of State and the Foreign Service (MED);

(12) Counselor (C);

(13) Coordinator, International Information Programs (IIP);

(14) Director, Bureau of Overseas Buildings Operations (OBO);

(15) Chief of Staff (COS);

(16) Coordinator, Global AIDS (S/GAC);

(17) Director, Office of Civil Rights (S/OCR); and

(18) Director, Office of Management Policy, Rightsizing and Innovation (M/PRI), effective October 12, 2007.

3 FAH-1 H-2322.3-3 Other Positions

(TL:POH-90; 04-03-2003)
(State Only)
(Applies to Foreign Service Only)

Other positions include:

(1) Principal executive assistants to the Secretary, Deputy Secretary, and the Under Secretaries of State;

(2) Deputy assistant secretaries;

(3) Deputies to positions established at a rank equivalent to Assistant Secretaries;

(4) Deputies to the Legal Adviser;

(5) Senior Foreign Service inspectors in the Office of the Inspector General (OIG/ISP);

(6) Dean, Professional and Area Studies (M/FSI);

(7) Vice President, National Defense University;

(8) Faculty Advisor, National War College;

(9) Faculty Advisors to the Industrial College of the Armed Forces (ICAF);

(10) Faculty Advisor, Air University;

(11) Faculty Advisor, Army War College; and

(12) Faculty Advisor, Naval War College.

3 FAH-1 H-2322.4 For Assignments To Other Agencies

(TL:POH-90; 04-03-2003)
(State Only)
(Applies to Foreign Service Only)

a. Assignments to other agencies include the positions of:

(1) Assistant secretaries (or positions established at an equivalent rank or level or higher);

(2) Deputy assistant secretaries (or deputies to officials whose positions are established at a level or rank equivalent or higher than assistant secretaries);

(3) Positions compensated under the Executive Schedule (5 U.S.C. 5311 - 5316) or under section 631 of the Foreign Assistance Act of 1982, as amended; and

b. The Office of Resource Management and Analysis (HR/RMA) retains the current list of comparable positions and all previous lists.

3 FAH-1 H-2323 CREDITABLE PRIOR SERVICE OF REINSTATED OFFICERS

(TL:POH-56; 11-24-1999)
(State Only)
(Applies to Foreign Service Only)

A member of the Foreign Service reappointed to the Service after separation (see 3 FAM 2130 and 3 FAM 2210) shall receive credit toward eligibility for promotion for prior service as a Foreign Service member if the member is reappointed to the same or equivalent class as the one from which separated. The period of service in class shall be calculated on the basis of total creditable service in that class.

3 FAH-1 H-2324 ELIGIBILITY OF RECALLED OFFICERS

(TL:POH-48; 06-12-1998)
(State Only)
(Applies to Foreign Service Only)

A retired member of the Foreign Service who is recalled temporarily to active service, as provided in 3 FAM 2130 and 3 FAM 2210, shall be eligible for promotion in accordance with 3 FAM 2320 and 3 FAH-1 H-2320.

3 FAH-1 H-2325 EFFECT OF PROMOTION ON BASIC SALARY

(TL:POH-56; 11-24-1999)
(State Only)
(Applies to Foreign Service Only)

a. Any member of the Foreign Service promoted to a higher class in the Foreign Service Schedule established under section 403 of the Act shall receive a base salary at the lowest step rate of the higher class which exceeds the existing rate of base salary by not less than two step increases or six percent, whichever is greater, of the class from which promoted.

b. Any member of the Foreign Service promoted from class FS-1 to the class of counselor (OC) in the Senior Foreign Service established under section 402 of the Act will receive the lowest FE salary level which exceeds the member's scheduled rate of pay by not less than two step increases or six percent, whichever is greater, of the class from which promoted. However, no such promoted member will receive a salary above the FE-4 level.

c. Any member of the counselor class of the Senior Foreign Service promoted to the class of minister-counselor (MC) will receive a salary at the FE-4 level unless the promotee was already at that level in the counselor class. If already at the FE-4 level, the member will be promoted to the FE-5 level.

d. Any member of the minister-counselor class of the Senior Foreign Service promoted to the class of career minister (CM) will receive a salary at the FE-6 level.

3 FAH-1 H-2326 ADMINISTRATIVE PROMOTION PROCEDURES

(TL:POH-90; 04-03-2003)
(State Only)
(Applies to Foreign Service Only)

a. At least one month before completion of the time-in-class required for an administrative promotion, the Director of the Office of Performance Evaluation in the Bureau of Human Resources (HR/PE) will inform the respective post or bureau of the member's eligibility for promotion and inquire whether the member's current performance has been judged satisfactory by the supervisor.

b. The post or bureau will advise HR/PE whether the member's performance has been satisfactory or unsatisfactory.

3 FAH-1 H-2326.1 Satisfactory Performance

(TL:POH-90; 04-03-2003)
(State Only)
(Applies to Foreign Service Only)

If the response indicates satisfactory performance, and pertinent evaluation material covering earlier assignments while in present class also indicates that the employee's performance has been satisfactory, the Director of HR/PE will effect the necessary administrative action to promote the member.

3 FAH-1 H-2326.2 Unsatisfactory Performance

(TL:POH-93; 08-20-2003)
(State Only)
(Applies to Foreign Service Only)

a. A post or bureau may advise HR/PE that a member's performance has been unsatisfactory only if the member has previously been advised of the areas of performance which are deficient and been given a reasonable opportunity to demonstrate satisfactory performance. A period of 60 days ordinarily will be sufficient to demonstrate needed improvement, but a lesser period may also suffice depending upon the nature and extent of responsibilities, the member's time in the position, and similar circumstances.

b. If adequate notice and opportunity to demonstrate improvement have not been provided or if the post or bureau believes that because of limited time at post or in current function, more consideration needs to be given to a member's performance before deciding whether his or her performance is satisfactory, a delay in promotional consideration for a period not to exceed 60 days should be requested. Before making such a request, however, the responsible management officer or executive officer will discuss the post's or bureau's proposed course of action with the member, ask for the member's views, and take these into consideration. The member will be informed of the posts or bureau's action in writing with a clear indication of the reasons for the delay. The member will be given every reasonable opportunity to demonstrate satisfactory performance during the succeeding trial period.

c. Ordinarily, a determination by the supervisor of unsatisfactory performance will be made only in connection with review for administrative promotion as outlined in paragraphs a and b in this section. However, when a members performance is judged clearly unsatisfactory at any time after a reasonable opportunity for experience in a new position, the supervisor, in consultation with the reviewing officer and the management officer or the executive officer, may, if the situation warrants it, advise the member in writing of the unsatisfactory determination and the reasons, and provide a reasonable period, ordinarily 60 days, for the member to raise performance to a satisfactory level.

d. In cases under 3 FAM 2329, where the post or bureau has requested that consideration for promotion be delayed or a member has been formally notified of unsatisfactory performance, the post or bureau must submit to HR/PE an employee evaluation report immediately following the trial period. The report should state either that the member's performance is judged satisfactory and, if appropriate, that the member is recommended for promotion, or that performance is judged unsatisfactory. In the case of a finding of unsatisfactory, the post or bureau may recommend either that the member be given an additional period to demonstrate satisfactory performance or that consideration be given to separation from the Service.

3 FAH-1 H-2326.3 Action on Unsatisfactory Ratings

(TL:POH-90; 04-03-2003)
(State Only)
(Applies to Foreign Service Only)

Whenever an unsatisfactory rating for a member subject to administrative promotion is received in HR/PE, any scheduled administrative promotion will be suspended pending completion of the review prescribed in 3 FAH-1 H-2327, and such review will be initiated forthwith.

3 FAH-1 H-2326.4 Career Candidate Basic Training

(TL:POH-90; 04-03-2003)
(State Only)
(Applies to Foreign Service Only)

a. The course supervisor will advise the candidate in overcoming difficulties in cases where it appears that a career candidate may not complete the basic training for the specialty in a satisfactory manner. Where it is determined that a candidate has not completed a basic training course satisfactorily, the course supervisor may either recommend that the candidate repeat all or part of the prescribed training or that consideration be given to immediate separation from the Service.

NOTE: A recommendation for separation will be documented in a completed Form DS-1106, Training Evaluation Report (TER), which will be given to the candidate for signature and comment and sent promptly to HR/PE.

b. HR/PE will give the candidate the opportunity to submit whatever information or documents the candidate believes are pertinent to the case. The unsatisfactory TER and candidate's comments, if any, will be submitted to the Director General.

c. The Director General may initiate any further inquiry or proceedings, as appropriate, to the issue-giving rise to the unsatisfactory TER. Upon resolution or clarification of the issues involved to the Director Generals satisfaction, the Director General may either:

(1) Initiate immediate action to separate the candidate in accordance with section 611 of the Act and 3 FAM 2329; or

(2) Provide an additional period for the candidate to demonstrate satisfactory completion of basic training or satisfaction of the standards of the specialty. If the candidate fails to complete this additional training in a satisfactory manner, the candidate will be separated in accordance with section 611 of the Act and 3 FAM 2329.

3 FAH-1 H-2327 TEMPORARY OR PERMANENT DEFERRAL OF ADMINISTRATIVE PROMOTION

3 FAH-1 H-2327.1 Grounds for Deferring Consideration

(TL:POH-56; 11-24-1999)
(State Only)
(Applies to Foreign Service Only)

The following reasons are appropriate grounds for deferral of promotion consideration:

(1) An appraisal of the member's performance as unsatisfactory, in accordance with 3 FAM 2329;

(2) Issues of loyalty, security, misconduct, suitability, or malfeasance; or

(3) Inaccurate or incomplete statements included in the members official performance file regarding the members performance.

3 FAH-1 H-2327.2 Action by Director General

(TL:POH-90; 04-03-2003)
(State Only)
(Applies to Foreign Service Only)

The Director General will promptly inform the member concerned in writing of the action taken and will initiate, pursue, or monitor such inquiry, investigation, or proceeding as is appropriate to the issue giving rise to the deferral. The member will be given the opportunity to submit whatever information or documents the member believes are pertinent to the case. Upon disposition or resolution of the issue, the Director General will:

(1) Determine that performance is satisfactory on the basis of the documented performance file and request that the necessary administrative action be initiated to promote the member to be effective as of the previously scheduled anniversary date;

(2) Determine that performance is judged unsatisfactory on the basis of the documented performance file. In this case, the Director General will:

(a) Initiate action to separate the member in accordance with section 612 of the Act for career candidates serving under limited appointments or section 610 of the Act for members serving under career appointments; or

(b) Provide an additional trial period of 60 days or more for the member to demonstrate satisfactory performance, on the basis of which administrative promotion may be granted. The post or bureau must submit to HR/PE an employee evaluation report immediately following the additional period in accordance with the provisions of 3 FAM 2329.

(3) In the case of disciplinary or other action against a member, if separation from the Service is warranted, the Director General will document that action in the performance file and initiate action under section 610 or 612 of the Act, as appropriate, to separate the member.

3 FAH-1 H-2327.3 Separation Action Pending

(CT:POH-146; 02-09-2011)
(State Only)
(Applies to Foreign Service Only)

a. Where the Director General has initiated separation proceedings under 3 FAH-1 H-2327.2, subparagraph 2 or 3, the deferred promotion will not become effective pending determination of the separation proceeding. Should the proceeding be resolved in favor of the member, the Director General will take action in accordance with 3 FAM 2329. Should the member be separated, the scheduled promotion will not become effective.

b. The member will be given prompt notice in writing of the Director General's decision and the reasons.

c. In the case of career members assigned to positions in new occupational fields after satisfactory performance in their primary career field, where the member's evaluated performance in the new field has been found unsatisfactory and an additional trial period is not considered warranted, the Director General will direct reassignment to a position in the former occupational category in lieu of separation.

3 FAH-1 H-2328 AND H-2329 UNASSIGNED


3 FAH-1 Exhibit H-2321.1A
Procedural Precepts for the 2008 Foreign Service Selection Boards

(CT:POH-206; 06-29-2018)
(Applies to State Foreign Service Only)
(Effective Date: 07-01-2008)

TABLE OF CONTENTS

PART I - PURPOSE AND SCOPE

A. STATEMENT OF PURPOSE

B. SCOPE OF COVERAGE

PART II - ELIGIBILITY

A. ELIGIBILITY FOR PROMOTION CONSIDERATION

1. Time in Class (TIC)

2. Postponement of Effective Date of Separation

3. Special Eligibility Requirements

B. LIMITED CAREER EXTENSIONS (LCES)

1. Eligibility

2. Selection Board Procedures

3. Criteria

PART III - PROCEDURES

A. MAJOR RESPONSIBILITIES

1. Promotion

2. Low Ranking and Referral to the Performance Standards Board

B. ADDITIONAL AUTHORITIES AND RESPONSIBILITIES

1. Nonrates

2. Meritorious Service Increases

3. Counseling Function

4. Commendation and Criticism

5. Special Recommendations

C. BRIEFINGS, MATERIALS AND GENERAL GUIDANCE FOR THE BOARDS

D. SUBMISSION OF FINDINGS AND RECOMMENDATIONS

E. OATH OF OFFICE

PART IV - SENIOR BOARDS

A. PROMOTION INTO THE SENIOR FOREIGN SERVICE

B. PERFORMANCE PAY AND PRESIDENTIAL AWARDS FOR SENIOR
FOREIGN SERVICE MEMBERS

1. Denial of FE Salary Increases

C. SPECIAL DIRECTIVES

2. Minister-Counselor Board (SFS-II)

3. Counselor Board (SFS-III)

4. Senior Specialist and Specialist Threshold Board (SFS-IV)

5. Senior Foreign Service Performance Pay Boards

6. Senior Threshold Board (Generalists) (SFS-V)

PART V - INTERMEDIATE BOARDS

A. INTERMEDIATE GENERALIST BOARDS

1. Classwide Boards G-II A and B, Classwide G-II and Classwide
G-III: Promotions FS-02 to FS-01 and FS-03 to FS-02

2. Conal Boards G-II (A and B) FS-02 to FS-01 and G-III (A and B)
FS-03 to FS-02

3. Board G-IV

B. INTERMEDIATE SPECIALIST BOARDS

1. Board S-I

2. Board S-II

3. Board S-III

4. Board S-IV

5. Boards S-V and S-VI (Office Management Specialists)

ADDENDA

ADDENDUM 1 TO THE 2008 PROCEDURAL PRECEPTS: PRESIDENTIAL AWARD NOMINATIONS (3 FAM 2872.3-2)

ADDENDUM 2 TO THE 2008 PROCEDURAL PRECEPTS: SECURITY AWARENESS

ADDENDUM 3 TO THE 2008 PROCEDURAL PRECEPTS: REQUIREMENTS FOR PROMOTION INTO THE SENIOR FOREIGN SERVICE

ADDENDUM 4 TO THE 2008 PROCEDURAL PRECEPTS: PRINCIPLES OF CAREER DEVELOPMENT IN THE FOREIGN SERVICE AND ELIGIBILITY TO BECOME A MEMBER OF THE SENIOR FOREIGN SERVICE: GENERALISTS

ADDENDUM 5 TO THE PROCEDURAL PRECEPTS: PRINCIPLES OF CAREER DEVELOPMENT IN THE FOREIGN SERVICE AND ELIGIBILITY TO BECOME A MEMBER OF THE SENIOR FOREIGN SERVICE: SPECIALISTS

THE DEPARTMENTS STRATEGIC GOALS: FISCAL YEARS 2007-2012

1. Achieving Peace and Security

2. Governing Justly and Democratically

3. Investing in People

4. Promoting Economic Growth and Prosperity

5. Promoting International Understanding

6. Strengthening Consular and Management Capabilities

PROCEDURAL PRECEPTS FOR THE 2008 FOREIGN SERVICE SELECTION BOARDS

Equality of Consideration

All employees will be compared and judged solely on merit with absolute fairness and justice. In particular, no employee will be discriminated against, directly or indirectly, for reasons of race, color, religion, sex, age, marital status, national origin, disability, reasonable accommodation for disability, sexual orientation, or means of entry into the Service.

PART I - PURPOSE AND SCOPE

These Precepts are negotiated annually with the American Foreign Service Association (AFSA). To the extent that the regulatory language of the Precepts varies from that in the Foreign Affairs Manual (FAM) or Foreign Affairs Handbook (FAH), the language in these Precepts shall be governing.

A. STATEMENT OF PURPOSE

These Precepts establish the scope, organization, and responsibilities of the Foreign Service Selection Boards and describe the criteria to be used by the Boards in reaching their determinations. All Boards will review the Performance Folders of eligible members of the Foreign Service to rank order members for promotion; identify members to be considered for possible separation for noncompetitive performance; and carry out related responsibilities. Senior Foreign Service Boards will also make decisions affecting performance pay, presidential awards, and performance pay adjustments. Boards reviewing the Performance Folders of members below the Senior Foreign Service (SFS) will, in addition, recommend conferral of Meritorious Service Increases. Boards may be asked to prepare a rank-order list of those members qualified for the conferral of Limited Career Extensions (LCEs). The criteria for promotion in the Foreign Service, set forth in the Core Precepts, are statements of policy regarding the qualities and capabilities considered essential for advancement in the Foreign Service.

B. SCOPE OF COVERAGE

1. Senior Foreign Service. Senior Boards will consider the following categories of personnel:

a. Members serving under career or senior career candidate appointments in the classes of Career Minister (FE-CM), Minister-Counselor (FE-MC), or Counselor (FE-OC);

b. Career members of the Senior Foreign Service whose time in class has expired but who continue to serve under career appointments under section 607(d) of the Foreign Service Act and work in a current assignment or in an assignment specified by HR/CDA as of the end of the rating period on April 15 will be considered for performance pay and presidential awards for the final rating cycle during the period of extension of their appointments; and

c. Career members of Foreign Service class FS-01.

2. Intermediate Generalist and Specialist Boards will consider career and career candidate members of the Foreign Service in classes FS-02 through FS-06, excluding untenured members serving in the FSO Career Candidate Program, Mustang Program and members in classes and occupational categories subject to administrative promotion.

3. Senior Foreign Service Performance Pay Boards will consider for performance pay the Performance Folders of all eligible Career Ambassadors (FE-CA) and all eligible Career Ministers (FE-CM) as well as members serving in the classes of Minister-Counselor (FE-MC) and Counselor (FE-OC) who have been designated for consideration by the appropriate Senior Board.

4. Employees of the Multinational Force in the Sinai, Foreign Service military reservists called to active duty, or persons who have been detailed to international or other organizations will be considered if otherwise eligible.

5. Foreign Service members will not be eligible for promotion during the period that their maximum time-in-class or time-in-service is the subject of an extension pursuant to the annuity exception. Selection Boards nevertheless shall consider the Performance Folders of those members for low ranking and for possible referral to a Performance Standards Board.

6. Selection Boards will review the Performance Folders of only the Foreign Service members described above who have been assigned the following tenure codes: 01, 02, and 03. In addition to the aforementioned tenure codes, senior Boards will review for consideration for performance pay the Official Performance Folders of members who have been assigned tenure codes 04 and 05.

7. Selection Boards will not review the Performance Folders of the following categories of personnel:

a. Noncareer members of the Foreign Service other than certain Career Candidates;

b. Members holding non-worldwide tenure or skill codes;

c. Limited-Indefinite Employees of the Department;

d. Limited-Resident Appointees Abroad;

e. PIT employees;

f. Career Foreign Service employees from other foreign affairs agencies and career SES employees from non-foreign affairs agencies who serve on Presidential appointments;

g. Members on Leave Without Pay for more than eight months during the rating period, except for military reservists recalled for active duty;

h. Members serving on LCEs;

i. Members recalled to Foreign Service duty under Section 308 of the Foreign Service Act;

j. Members on interim relief from separation during the pendency of grievances;

k. Members who have been separated and transferred with reemployment rights to international or other organizations.

PART II - ELIGIBILITY

A. ELIGIBILITY FOR PROMOTION CONSIDERATION

1. Time in Class

a. Members will be eligible for promotion consideration by the 2008 Selection Boards only if their last promotion took place before the following dates:

FE-MC July 1, 2004 (4 years)

FE-OC July 1, 2006 (2 years)

FS-01, FS-02, FS-03 July 1, 2006 (2 years)

FS-04*, FS-05, FS-06 July 1, 2007 (1 year)

* FSO Career Candidates commissioned and those recommended for tenure and pending commission are exempt from time-in-class rules.

The rating cycle runs from April 16 to April 15. Promotions normally become effective during the following fall. The clock determining eligibility for promotion starts July 1 after the promotion takes effect, more than one full rating cycle after the last report written prior to promotion. For this reason, during the first year an employee is eligible for promotion consideration, Boards may find more than one, and as many as four or five, reports that have not been reviewed by any previous Board.

b. In the case of members who have converted into the SFS or to the FS Salary Schedule from non-FS pay plans, time spent in previous equivalent grades will be included in determining eligibility for review.

c. Beginning in 2007, employees must complete required leadership and management courses to be considered for promotion. As provided in 13 FAM 300, employees must complete the following courses or their equivalents: FS-03 employees must have completed PK245 Basic Leadership Skills; FS-02 employees must have completed PT207 Intermediate Leadership Skills; FS-01 employees must have completed PT210 Advanced Leadership; and FE-OC employees must have completed PT133 Senior Executive Threshold Seminar. Employees who do not meet this requirement but are otherwise eligible for promotion consideration will continue to be reviewed with their class only for possible low ranking and/or referral to a Performance Standards Board.

Recognizing that certain employees, due to extenuating circumstances, may not have had the opportunity to complete this training, a special provision has been extended for the 2008 cycle only. Under this provision, Selection Boards may recommend an employee for promotion conditionally upon subsequent completion of the appropriate leadership and management course by October 15, 2008.

2. Postponement of Effective Date of Separation

The Performance Folder of a member whose effective date of separation has been postponed to permit resolution of a grievance, or by the Director General in the public interest, shall not be reviewed by Selection Boards which convene during the period of such postponements, nor will the Performance Folder of a member whose date of separation has been postponed due to service in a Presidential Appointment requiring Senate confirmation, except for consideration for performance pay as noted on page 3.

3. Special Eligibility Requirements

a. Conferral of the Personal Rank of Career Ambassador

The personal rank of Career Ambassador shall be conferred only on a career member of the Senior Foreign Service whose promotion to FE-CM took place before July 1, 2005 (3 years) and who has, as of July 1, 2008:

(1) Served at least 15 years in positions of significant responsibility while in Class FS-01 or above;

(2) Sustained a record of extraordinary achievement, having fulfilled one of the following three criteria:

(a) One appointment as Chief of Mission and one appointment as Assistant Secretary;

(b) One appointment as Chief of Mission and one appointment as the equivalent of Assistant Secretary; or

(c) Two or more appointments as Chief of Mission;

(3) Is available for continued service in the most important positions in the Department and abroad.

b. Promotion into the Senior Foreign Service

Only the Performance Folders of eligible career members of the Foreign Service of class FS-1 who have formally applied for threshold review by April 4, 2008, will be considered by the 2008 SFS-IV and SFS-V Boards. The Performance Folders of officers whose requests are received in HR/PE after that date will not be certified for consideration unless earlier application was not possible.

B. LIMITED CAREER EXTENSIONS (LCES)

1. Eligibility

The Foreign Service Act of 1980 authorizes the Secretary to grant limited career extensions (LCEs) to members in their last year of time in class (TIC) if they are career members of the SFS or Specialists for whom there are no promotion opportunities at the next higher grade. Only members as described above whose maximum time-in-class will expire between July 1, 2008 and June 30, 2009, are eligible for consideration. The limited number of LCEs which may be granted will be determined by specific Service needs to retain expertise and experience in short supply. LCEs are distributed consistent with the Selection Board's recommendations.

2. Selection Board Procedures

The Board will first complete its consideration of the Performance Folders of members for promotion and possible selection out or low ranking. If the Director General has determined that because of Service needs Management may grant a limited number of LCEs, the Director of the Office of Performance Evaluation (HR/PE) will provide the Board the names of all career members in the class who are in their last year of time-in-class but who were not reached for promotion. The Director General will provide the Board information on the particular specialized skills which Management has determined to be in short supply for the subsequent three-year period. The Board will review the records of all members and, based on the criteria below, will list in rank order, by skill code, those whom it deems qualified for a limited career extension and additionally classwide for FE-OC and FE-MC generalists. The Director General will grant LCEs only to members whom the Board has found qualified and to those members in the rank order established by the Board.

3. Criteria

In reviewing the performance records of members for an LCE, the Board will apply the same criteria as for promotion. However, recognizing that members extended will serve only in their present class, the Board will give considerably less weight to evidence of potential to perform at the next higher class and substantial weight to the quality of performance and potential for continued outstanding service in the class in which the member is being considered for an LCE.

PART III - PROCEDURES

A. MAJOR RESPONSIBILITIES

1. Promotion

Promotion is recognition that a member has demonstrated the capability of performing the duties and responsibilities required at a higher level. It is not a reward for prior service, although the performance of present and past duties usually indicates the degree to which an employee has developed the qualities needed for successful performance at higher levels.

A primary purpose and goal of the Foreign Service is to represent professionally and competently abroad a wide range of U.S. interests. While a Foreign Service career will consist of both service abroad and in the United States, a significant portion of the career must be spent in assignments abroad. Given the nature of assignment patterns, it may not be possible for all members to match the Services ideal of having each member serve abroad at each grade prior to promotion from one grade level to the next, but it is the Departments intention to have all members serve a substantial number of years abroad during both the middle and senior grades. While serving a stated number of years abroad is not a prerequisite for promotion at any particular grade, Boards are instructed to consider the importance of demonstrated competence in service abroad when reviewing members for promotion. While recognizing the generalist nature of the careers of most employees, Boards should weigh equally the performance of employees who have acquired deep regional expertise through repeat assignments in a single country or region. (See also Board S-II, regarding the special circumstances of Diplomatic Security (DS) Officers.)

Boards are reminded that a member must develop and demonstrate over the course of his or her career, from entry through tenure and up to consideration for promotion at the Senior threshold, the four principles embodied in the Career Development Program. Boards should consider a members fulfillment of these principles while keeping in mind that promotion should be based on demonstrated potential. The principles are:

(1) Operational effectiveness, including the members breadth of experience;

(2) Leadership and management effectiveness;

(3) Sustained professional language and/or technical proficiency; and

(4) Responsiveness to Service needs.

To recognize operational effectiveness, Boards are encouraged to consider the value of a diverse career. Boards cannot penalize employees for taking periodic assignments out-of-cone or out of specialized skill group. Professional development and training are of vital importance to the Foreign Service. The Department seeks to provide employees with the necessary specialized training to carry out their duties and to help ensure diplomatic and operational readiness. Selection Boards should attach special value to an employees demonstrated commitment to upgrading his/her professional skills through training, including in the development of highly effective language skills. Boards are encouraged to weigh positively creditable performance in the managerial environment and resource constraints generally present in smaller or more difficult Posts, which are particularly demanding and require most employees to assume a broad range of responsibilities. Equally important at these posts is demonstrated discipline to limit mission activities to highest priority U.S. Government objectives.

To recognize leadership effectiveness, an employees leadership and management skills, along with his or her support for mentoring activities, should be given particular importance when s/he is being considered for promotion. Strong leadership and management skills enhance our ability as an organization to meet critical foreign policy goals and objectives, and maintain the highest morale. The ability to lead teams and conduct successful people management is equally vital in this context, and Boards are asked to attach special value to this quality in making their decisions. Boards should also credit the constructive advocacy of policy alternatives and a willingness to risk disciplined and sensible dissent.

In recognition of the importance of foreign languages, Boards are instructed to duly consider foreign language excellence which enhances the members contribution to the Mission, to public diplomacy outreach, especially including the advocacy in foreign language media of American policies and their underlying aims, and to the achievement of the Departments strategic goals. Foreign language excellence is one of the hallmarks of the Foreign Service and a key feature distinguishing members of the Foreign Service from other federal employees. In accordance with Public Law 102-138 of October 28, 1991, end-of-training reports for employees in full-time language training shall be weighted as heavily as the annual employee efficiency reports. Public law 103-236 (April 30, 1994) requires that significant consideration be given to foreign language competence and use in the evaluation, assignment, and promotion of all Foreign Service Officers. The Boards are also instructed to bear in mind the benefits which accrue to the Service when a member returns to a post abroad where he or she can utilize language or other skills gained on a previous assignment. In such a career, the employee's own demonstrated commitment to expanding his or her language skills and related regional expertise warrants the attention of the Selection Boards.

In demonstration of a commitment to Service needs, creditable performance under unusually difficult or dangerous circumstances is particularly relevant. Boards are encouraged to weigh positively creditable and exemplary performance at hardship and danger pay posts because of the unique and challenging work environment, including service in areas of widespread warfare with U.S. combat troop involvement and with a danger pay designation such as Iraq and Afghanistan. Boards should particularly credit performance in Provincial Reconstruction Teams and other regional operations in Iraq, which the President and Secretary of State have determined to be of the highest priority. These jobs are among the most challenging and dangerous in the world, and are vital to U.S. national security. Boards are reminded of the importance to U.S. interests of such transnational/global issues as terrorism, democracy-building, international crime, the prevention of U.S. visa and passport fraud, environment/ science/technology, narcotics, refugees, human rights and labor. Selection Boards should acknowledge expertise and accomplishments of employees in these areas and give them full consideration for promotion. Boards also are reminded of the importance of outstanding service at international organizations and at U.S. Missions to multilateral organizations.

Boards also are reminded that the proper management and handling of classified material and information is a key element for all employees. Addendum 2 to these Precepts contains additional information on the subject.

Boards will identify members who are qualified for promotion, without regard to the number of promotion opportunities that may be available. Boards should recommend for immediate advancement only those members whose records indicate superior long-range potential and an ability to perform at a higher level now. Upon identification of the members it deems qualified for promotion, the Board will notify the Director of the Office of Performance Evaluation. The Director will then inform the board of the number of promotion opportunities authorized for the competition category.

If a Board recommends fewer members for promotion than the number of promotion opportunities available, the Board may reconsider its findings and identify additional members to be ranked. Boards must base such recommendations solely on the determination, in accordance with the precepts and without regard to the number of promotion opportunities available, that each member has demonstrated the capability to carry out successfully the responsibilities required at the next higher level.

Boards will rank in order of merit those members recommended for immediate promotion. Promotions will be granted according to the number authorized by the Director General and in the rank order established by the Boards.

2. Low Ranking and Referral to the Performance Standards Board

a. All career members of the Service who are reviewed for promotion shall also be reviewed for low ranking and for possible referral to a Performance Standards Board (PSB). Because of the relatively low number of promotion opportunities, the following five classes are subject to low ranking without a quota: (1) generalists and specialists being considered for promotion to Career Minister; (2) Office Management Specialists being considered for promotion to Class 3 and at the Class 3 level, (3) Information Technology Managers being considered for promotion to OC, (4) Security Officers being considered for promotion to OC, and (5) Financial Management Officers being considered for promotion to OC. Boards also will review the files of members who were eligible to apply for promotion consideration but who did not elect to do so, in order to identify those who should be low-ranked and/or referred to a Performance Standards Board. The Selection Boards are required to designate five percent of members as low ranked for all competition groups of 20, except as noted above. In competition groups of fewer than 20, Boards may nonetheless low rank and refer employee(s) directly to a PSB. For generalists at the Senior Threshold and mid-levels, only conal boards will determine low ranking and/or referral to a Performance Standards Board.

Low ranking is an indication to the member and the Department of problem areas or inadequacies in needed skills, performance, and/or potential. It may not be based on such secondary considerations as relatively recent promotion, type or pattern of assignments, including service out of generalist cone or specialist skill code, or less extensively documented successful performance. Inadequacies that lead to low ranking must be documented by one or more examples of performance from the most recent five years. In that regard, Boards must not rely solely on critical comments in an Areas for Improvement section unless supported by one or more examples there or elsewhere in evaluations from the most recent five years in the Official Performance Folder. Boards are reminded that the area for improvement section is a mandatory requirement for all employees.

Weakness in one or more of the following may be grounds for a low ranking or for direct referral to a Performance Standards Board:

(1) Reluctance to accept responsibility;

(2) Failure to carry out properly assigned tasks within a reasonable time;

(3) Low productivity or work poorly done;

(4) Failure to adapt to the office environment or to a foreign culture;

(5) Refusal to accept or carry out legitimate directives from properly authorized officials;

(6) A pattern of failure to safeguard properly classified information;

(7) Inability to work effectively and cooperatively with supervisors, colleagues, teammates, or subordinates;

(8) A lack of EEO sensitivity; and/or

(9) Indifference/failure to carry out supervisory responsibilities.

b. The Board will review the Performance Folder of each low-ranked member and specifically identify those whose records indicate they may not have met the standards of performance for their class. These members will be referred to a PSB, which will independently make selection-out determinations after reviewing the files of the members referred to it. Selection Boards should be scrupulous in identifying and referring to the Performance Standards Board employees who are obviously sub-standard performers.

(1) For each member specifically identified for referral to a PSB for substandard performance, the Board will prepare a statement to justify the referral, citing specific examples from the performance record of the most recent five years. Such statements shall draw on material preferably from more than one rating period and, preferably, from more than one rating officer. To assist the PSB in evaluating the employees overall career record, Boards should identify employee strengths and positive accomplishments to the extent they determine appropriate; however, Boards must fully describe the employee weaknesses in performance that have resulted in referral to a PSB.

(2) For each member low ranked but not referred to a PSB, Boards will prepare statements explaining the reasons for the low ranking, through a balanced presentation of the members strengths and weaknesses, and addressing areas in which performance or potential might be improved. These statements shall draw where possible on material from more than one rating period and from more than one rating officer. Such statements will include specific examples of performance given in reports from the most recent five years. Statements will be prepared for members low ranked who are in their final year of time in class (TIC) or subject to mandatory retirement for age (65) and who will not be reviewed by another Selection Board. (This will include members in their final year of TIC who are not recommended for an LCE.)

NOTE: Members identified for low ranking who were also low ranked in one or more of the years 2004-2007 will be automatically referred to a PSB, provided the member had a different rating officer in at least two of the years she or he was low ranked. The determination of automatic PSB referral will be made subsequently by HR/PE and requires no action by Selection Boards.

c. A majority of board members must concur in the low ranking of a member or referral of a member to a Performance Standards Board.

d. Low-ranking statements and/or PSB referrals shall not be based solely on disciplinary letters.

e. The records of members low-ranked or referred to a Performance Standards Board will be reviewed on a confidential basis within the Bureau of Human Resources and the Office of Medical Services (M/ MED) before Selection Board recommendations are implemented. The Director General may, on the basis of a recommendation by M/MED or the Office of Career Development and Assignments (HR/CDA), determine that for compelling medical or compassionate reasons, a member should not be certified to the PSB or given a copy of the boards low ranking statement. In this event, the individual will be considered as having been non-rated by the 2008 Selection Board and the cumulative data card will be so annotated in accordance with these precepts, but the member will not be granted any additional period of time-in-class, unless awarded through a grievance.

B. ADDITIONAL AUTHORITIES AND RESPONSIBILITIES

1. Nonrates

Boards must review and reach a decision with regard to any member for whom periods of performance over the most recent five years or time in class, whichever is longer, are covered by evaluation or training reports or memoranda documenting any unevaluated period of performance. When periods of performance have not been evaluated, the Boards shall assume comparability with rated performance. If a Board determines that there is not a pattern of consistent performance, with the concurrence of the Director of HR/PE, the Board may determine that the file is insufficiently documented and non-rate a member. Boards will prepare a written justification in each case, with a copy to the non-rated member. When a member is non-rated by a Board, the member's time in class is extended by one additional year.

2. Meritorious Service Increases (MSIs)

Senior Threshold Boards for Generalists and Specialists and Intermediate Boards may recommend conferral of Meritorious Service (within-grade) Increases (MSIs) for employees who are rank ordered by those Selection Boards but who are not promoted because of limited promotion opportunities. Those employees shall be recommended for MSIs in accordance with their rank order. MSIs thus are awarded for the quality of cumulative and competitive performance. The number of MSIs should not exceed ten percent of members in the competition group. A statement noting MSI recognition will be placed in each members Official Performance Folder (OPF).

A Meritorious Service Increase shall not be granted to a member recommended for one if, after the Board is dismissed, the member is determined to have been ranked within the number of available promotion opportunities. Those recommended who were granted a meritorious service increase in the previous 52 weeks cannot be awarded the increase. Those recommended who have reached the highest salary step of their grade before July 1, 2008 will be granted a cash payment of $2500, subject to the availability of funding. In both cases, the recommendation will become part of the employees OPF.

Any employee responsible for a delinquent Employee Evaluation Report (EER) will not be eligible to receive a Meritorious Service Increase during the 12 months following the due date of the delinquent EER (3 FAH-1 H-2819).

NOTE: The Bureau of Human Resources will implement all Meritorious Service Increases as of the effective date of the promotions.

3. Counseling Function

The Selection Boards have an important role to play in counseling employees. Members mid-ranked by the Board may include individuals whose performances, though fully competent and within the standards of the class, nevertheless exhibit potential problems that could lead to career difficulties in the future. For example, the Board may notice a small but noteworthy performance flaw, an unproductive assignment pattern, or the lack of an important skill which training could remedy. From its unique perspective viewing the broad range of a competition group, the Board should take the responsibility of counseling any such employee coming to its attention, issuing a counseling statement explaining the problem. These counseling statements are deemed private communications between the Board and the employee and have no formal career consequences.

4. Commendation and Criticism

a. Rating and Reviewing Officers

Boards will identify rating and reviewing officers and Inspectors who merit commendation or criticism for the quality of evaluations they prepared in the most recent rating period. Boards should commend rating and reviewing officers who show diligence in measuring performance by seeking input from the staff and peers of the employee being rated. A statement of commendation will be placed in the Official Performance Folder (OPF) of each employee so commended.

Boards should take special care to identify reports in which recommendations for promotion or additional experience are not adequately supported by the narrative statement; in which comments in the Areas for Improvement of the Employee Evaluation Report (EER) (i.e., Section V C of DS-1829 or VIII B of DS-5055), are superficial or absent; or in which a reviewing officer has failed to review the ratings adequately for thoroughness, objectivity, soundness, and compliance with evaluation instructions.

In each case where a member is criticized, the Board will prepare a written official statement citing deficiencies. A Boards statement of criticism will be placed in the member's Performance Folder and a copy of the statement will be provided to the member, who will have the right to reply in writing for inclusion in the Performance Folder if s/he so requests. Statements of criticism regarding deficient evaluations remain in the member's Performance Folder for one year so that future Boards may identify members who fail to carry out their supervisory responsibilities adequately.

b. Review Panels

Boards may identify Review Panels which merit commendation or criticism for their efforts, or lack thereof, to have EERs comply with the regulations and instructions. Where a Review Panel is criticized for failure to perform fully its duties, the Board will prepare a written statement to the chairperson citing the deficiencies. The Boards statement of criticism will be placed in the chairpersons Official Performance Folder and a copy of the statement will be provided to the member, who will have the opportunity to provide a rebuttal for inclusion in the Performance Folder if s/he so requests. If, in the judgment of the Office of Performance Evaluation, a satisfactory rebuttal is offered, the statement and any rebuttal will be removed from the chairperson's Performance Folder. Statements of criticism regarding deficient performance on Review Panel chairpersons remain in the chairpersons Performance Folder for one year so that future Boards may identify members who fail to carry out their responsibilities adequately. A statement of commendation will be placed in the Official Performance Folder (OPF) of each chairperson so commended.

5. Special Recommendations

Selection Boards shall make to the Director General any recommendations they consider appropriate concerning the members under consideration, the materials used in the evaluation process, or improvements to the evaluation and selection process. If a Board has no recommendations to make, it shall so state. Recommendations or comments, other than those concerning individuals, will be made available to appropriate officials of the American Foreign Service Association on a confidential basis.

C. BRIEFINGS, MATERIALS AND GENERAL GUIDANCE FOR THE BOARDS

1. Members of the Office of Performance Evaluation (HR/PE) will guide the Boards on the technical procedures to be followed; HR/PE will provide Board members an oral briefing on voting and related procedures at the outset of Board deliberations. The Boards will address all queries regarding their work only to the staff of that office.

2. No information will be provided about a member to be reviewed except the Official Performance Folder, an abbreviated Employee Profile, and, at grades FS-02 and above, the security incident record and employee responses described in Addendum 2 to these Precepts. Board members should observe the caution that information on Employee Profile sheets may not be fully accurate and that the sole official source of information to be weighed by the Board is the member's Performance Folder. At the appropriate point in the Board's deliberations, the number of promotions Management can authorize for each competition group in the current promotion cycle will be given to the Board. In addition, Board members will have available relevant reference materials, including the Core Precepts and the Procedural Precepts, Instructions for the Preparation of Employee Evaluation Reports, a copy of the Foreign Service Act of 1980, as amended, and the Foreign Affairs Manual.

3. Boards will base their decisions on a member's promotability only on material that is properly a part of the member's Performance Folder and, at grades FS-02 and above, on the security incident record and employee responses described in Addendum 2 to these Precepts. Boards may review the entire Performance Folder, placing greatest emphasis on the most recent five years of service or time in class, whichever is longer. They should not give undue weight to any single evaluation report in isolation from other reports covering the last five years or time in class, whichever is longer.

a. Files of some members who entered the Service in classes above customary levels of entry or after prior service in another foreign affairs agency or the private sector, or whose service was interrupted, may contain information from previous periods of Government employment; other members, with similar prior experience, may have files relatively lacking in evidence of extended past performance. Members should not be disadvantaged because of such differences in their performance records or because information on earlier work experience may be lacking through no fault of the member reviewed. Boards should, however, give full consideration to documented periods of relevant prior service.

b. Boards are advised that the Uniformed Services Employment and Reemployment Rights Act provides that members called to military service are entitled to the additional seniority and rights and benefits that such person would have attained if the person had remained continuously employed at the Department. In light of this mandate, Boards are instructed to weigh carefully and consider military evaluation reports and award nominations provided by a member in connection with the period of time during which such member was on active military duty. In this regard, Boards should review carefully any statement submitted by a member concerning the relevance of their military service to their work in the Foreign Service.

c. Selection Boards should not discount a member's overall standing in any way because of a period of performance not rated by an evaluation report.

d. Board members may be acquainted with members under review. Board members will not reveal information about a member or a members performance not properly included in the Performance Folder. Boards shall disregard any disciplinary letters in a member's Performance Folder which by their terms should have been removed from the folder, and should bring the existence of such letters promptly to the attention of the HR/PE staff.

e. A Board member who was the rating or reviewing officer of the member under review while such member was in his/her present class will be excused from participating in the Boards consideration of that file, if the member being reviewed so requests.

f. When a member of a Board believes that s/he may be unable to render a fair and unbiased judgment of an individual, that member shall state that fact in writing and will be excused from further consideration of the individual. That Board member shall continue to participate in the other activities of the Board and shall not be required to state a reason for not participating in the consideration of a particular individual.

g. To the extent consistent with these Precepts and relevant supplementary technical guidance, Boards will establish the internal organization of their workload, deliberations, discussions, and decisions, as they deem appropriate.

D. SUBMISSION OF FINDINGS AND RECOMMENDATIONS

Each Board's findings will be forwarded to the Director General under cover of a transmittal letter signed by the Board members. The Director General may return the Board's findings for reconsideration if there are questions regarding the procedures used by the Board or conformity with the Precepts. If the findings are not returned for one of these reasons, the Director General shall accept the Board's findings. Each Board will prepare the following reports, as applicable:

1. A rank-order list for each competition category of all members whom the Board deems qualified for immediate promotion.

2. An alphabetical list of the members low ranked with a counseling statement for each member who was not referred to a Performance Standards Board.

3. An alphabetical list of members to be referred to a Performance Standards Board with a statement explaining the reason for each referral.

4. An alphabetical list of those members recommended for further classwide review.

5 .Alphabetical lists of other members in each competition category (where appropriate) who were reviewed.

6. Separate rank-order lists, for each competition group reviewed for LCEs, of all members the Board finds qualified for limited career extensions.

7. An alphabetical list for each competition group of all other members reviewed for LCEs.

8. A list of rating and reviewing officers who merit commendation or criticism for the quality of the evaluation reports they prepared in the most recent rating period or, if there is none, then a statement that no rating or reviewing officer merited commendation or criticism. In each case where an officer is criticized, the Board shall prepare a written statement citing deficiencies.

9. A list of Review Panel chairpersons who merit commendation or criticism for their efforts to ensure compliance with regulations and instructions governing preparation of EERs or, if there is none, then a statement that no Review Panel chairperson merited commendation or criticism. In each case where a chairperson is criticized, the Board shall prepare a written statement citing deficiencies.

10. A list of members who could not be rated for promotion, if such a decision was approved by the Director, HR/PE. A statement of the reasons for the non-rate must be provided.

11. Recommendations on the training, assignment, counseling, or related personnel matters for any member or group of members reviewed.

12. An alphabetical list of SFS members recommended for consideration for Performance Pay Awards.

13. An alphabetical list of all other members reviewed for Performance Pay Awards.

14. An alphabetical list of SFS members nominated for consideration for Presidential Awards.

15. Recommendations concerning policies and procedures for subsequent Boards and improvements to the performance evaluation system, except that if a Board has no recommendation to make, it shall so state.

E. OATH OF OFFICE

Board members will heed the following oath of office and adhere to the Precepts. Failure to observe these instructions may result in disciplinary action or penalties as prescribed by the Privacy Act. Board members should report to the Director, Office of Performance Evaluation, any attempt to provide them information not authorized by the Precepts.

Oath:

I,____________________ , do solemnly swear (or affirm) that I will perform the duties of a member of a Selection Board faithfully and to the best of my ability; that I will adhere to the Precepts; that I will apply the Precepts and promotion criteria without prejudice or partiality; and that I will not reveal to unauthorized persons any information concerning the personnel records used or the deliberations and recommendations of the Board (so help me God)."

ORGANIZATION OF THE BOARDS

Selection Boards are organized into Generalist and Specialist Boards to consider separately Foreign Service members with primary skill codes in (1) generalist occupational categories and (2) specialist occupational categories. Generalist occupational categories include the following skill codes:

Management 2010

Consular 3001

Public Diplomacy 4400

Economic 5015, 5025

Political 5505, 5520

Specialist occupational skill codes are listed in the paragraphs describing the organization of the Specialist Boards (below).

PART IV - SENIOR BOARDS

In creating the Senior Foreign Service, the Foreign Service Act of 1980 intended to establish a Service characterized by leadership qualities and highly developed functional, foreign language, and area expertise. In considering officers for promotion within and into the SFS, Boards should give due credit to evidence of achievement and competency in these and other critical areas, such as public outreach abroad based on policy objectives. Most senior positions require broad leadership and managerial skills spanning functional divisions. In considering officers for promotion on a class-wide basis, Boards should give weight to evidence of competency and accomplishment in carrying out executive responsibilities (i.e., the ability to plan, organize, administer, and evaluate programs, as well as the ability to lead teams and manage and mentor employees) in both the member's primary career field and, particularly, across functional lines. Boards should also carefully review Part III A, entitled Major Responsibilities.

A. PROMOTION INTO THE SENIOR FOREIGN SERVICE

Promotion across the threshold into the SFS represents a determination that the officer promoted is capable of carrying out the very demanding and responsible duties in senior level positions of the Foreign Service. Some employees under review may not have demonstrated the potential to serve in the SFS but should more appropriately complete their careers at the FS-01 level. Class 1 Generalist officers must have achieved a tested competence of S-3/R-3 proficiency level in a foreign language to be eligible for consideration for promotion into the Senior Foreign Service. Additional requirements, with their effective date, can be found in Addendum 3.

Effective January 1, 2005 for generalists and January 1, 2006 for specialists, the Career Development Program established requirements that employees must fulfill before they are eligible for consideration for promotion into the Senior Foreign Service. Those requirements, including the phased-in implementation schedule, can be found in Addendum 4.

FS-01 Members Who Choose not to Compete for Senior Foreign Service Promotion

The Senior Generalist and Specialist Threshold Boards will review the files of FS-01 members with primary skill codes in the occupational categories under review who were eligible to apply for promotion consideration but did not, to identify those who should be low ranked and/or referred to a Performance Standards Board. No negative implication shall be drawn from the fact that a member eligible to request promotion consideration chose not to do so.

B. PERFORMANCE PAY AND PRESIDENTIAL AWARDS FOR SENIOR FOREIGN SERVICE MEMBERS

The Performance Folders of employees eligible for consideration for performance pay and Presidential Awards, with the exception of those for Career Ambassadors (FE-CA) and Career Ministers (FE-CM) for performance pay, will be subject to a preliminary review by the appropriate generalist or specialist Board. Those Boards may recommend up to 60% of eligible employees in alphabetical order for final review for performance pay by Senior Foreign Service Performance Pay Boards, one for generalists and one for specialists. Senior Foreign Service Performance Pay Boards then will consider for performance pay the Performance Folders of all eligible Career Ambassadors (FE-CA) and all eligible Career Ministers (FE-CM) as well as members serving in the classes of Minister-Counselor (FE-MC) and Counselor (FE-OC) who have been designated for consideration by the appropriate Senior Board. The Under Secretary for Management will determine the number and amounts of performance pay awards authorized. Senior Foreign Service Performance Pay Boards will be advised of the number of awards available and will review the files for performance pay. Both the preliminary and the final reviews will consist of the 2007-2008 rating period only.

Decisions regarding pay for performance have an impact beyond a possible performance pay award. Those recommended for performance pay will also receive a salary adjustment above the minimum pay adjustment. The actual size of a pay for performance salary adjustment is subject to the Departments budgetary situation.

An award of performance pay, unlike promotion, is based solely on performance during the most recent rating period. A member of the Senior Foreign Service is not eligible for consideration if the Official Performance File does not contain a rating covering 120 days of performance of senior level duties for the most recently concluded rating year.

The 12 criteria for performance pay are as follows:

(1) The relative value of the members achievement to the accomplishment of the Departments overall mission and strategic goals, regardless of post or position of assignment;

(2) The degree of difficulty inherent in successful achievement by the members;

(3) The extent to which achievement was characterized by strong executive leadership and significant contributions to the formulation of agency policies and programming;

(4) Effective supervision and development of subordinates;

(5) Participation in outreach or community service activities that contribute to employee welfare and strengthen the Department as an institution, such as recruiting (duty on the Board of Examiners or as a Diplomat-in-Residence), mentoring and Selection Board work;

(6) Evidence that the employee actively promotes leadership and management training at the organizational unit level, enhances the training and applies the principles of leadership and management training to foster organizational improvement;

(7) The extent of demonstrated, highly-developed, and functional foreign language, public advocacy and area expertise;

(8) Achievements in the areas of cost reduction, efficiency, quality of work, productivity, and timeliness to the end of improving Foreign Service managerial flexibility and effectiveness;

(9) Meeting affirmative action goals and achievement of equal opportunity;

(10) Achievements in the identification, correction and control of waste, fraud, and mismanagement;

(11) Failure to manage classified materials and information properly should be regarded as a serious impediment to the recommendation of performance pay;

(12) Evidence of effective performance management and evaluation as demonstrated by timely submission of Employee Evaluation Reports.

Additionally, Section 405 of the Foreign Service Act, as amended (22 U.S.C. 3965(d)), provides that especially meritorious or distinguished servicein the promotion of internationally recognized human rights, including the right to freedom of religion, shall serve as a basis for granting of awards under this section. The ADVANCE Democracy Act of 2007 encourages similar consideration for those carrying out democracy promotion in an outstanding manner.

1. Denial of FE Salary Increases

A Selection Board may also recommend that a member under review receive no pay for performance salary adjustment if, in the Boards judgment, the member has not met established standards of individual performance. The Board may take into account the evaluation material related to the period in question which is in the performance file, and any relevant, secondary material relating to performance during the rating cycle such as letters of reprimand, suspension, security incident reports or OIG evaluations. Whenever a Selection Board recommends a denial of pay for performance salary adjustment, it will prepare a statement citing the reason(s) for its recommendation, a copy of which will be sent to the SFS member concerned.

Criteria that may form the basis of a recommendation to deny a pay for performance salary adjustment will include, but are not limited to:

Direct referral to a Performance Standards Board;

Performance that is low ranked and, in the judgment of the Board, sufficient to warrant a denial of salary adjustment;

A finding of misconduct that negatively impacted the employees performance (in line with the competencies outlined in the core precepts) at the conclusion of a formal investigation or administrative action;

Failure to provide effective management of performance evaluations, as demonstrated, for example, by untimely submission of employee evaluation reports;

Failure to manage classified material and information properly;

In addition, a candidate may not be eligible for a pay for performance salary adjustment if any of the following factors are found. These factors are determined through an administrative process and are not reviewed by Selection Boards. The responsible administrative official will notify a candidate in writing if he or she is found to be ineligible for pay for performance on the basis of any of these factors:

Lack of an Employee Evaluation Report or alternative form of performance evaluation for the most recent rating cycle, unless the member made reasonable efforts to submit the evaluation in a timely fashion and the delay was not attributable to the member; or

Failure to submit required financial disclosure reports in a timely manner without good cause; or

Pending administrative actions, including open investigations that may result in disciplinary measures in accordance with 3 FAM 2350.

For Presidential Awards, the review will encompass the last three annual rating cycles while the member was in the Senior Foreign Service or equivalent grades.

SFS Selection Boards will recommend Presidential Award candidates to the Departments Senior Review Board (DSRB). SFS Selection Boards may nominate up to 15 percent of eligible SFS employees for consideration by the DSRB. The DSRB then will nominate candidates for the Presidential Distinguished Service and Meritorious Service Awards to the Interagency Selection Board, which will nominate candidates to the Secretary.

Any employee responsible for a delinquent Employee Evaluation Report (EER) will not be eligible to receive a Presidential award or performance pay during the 12 months following the due date of the delinquent EER (3 FAH-1 H-2819).

Decision criteria for performance pay and Presidential Award nominations are attached as an addendum (1) to these Precepts.

C. SPECIAL DIRECTIVES

1. Selection Boards that determine promotions, performance pay, Presidential Awards, and low ranking will be utilized to make the base pay adjustments authorized under the senior pay reform legislation.

2. Minister-Counselor Board (SFS-II)

The Minister-Counselor Board will review on a class-wide basis the files of all eligible members of the class of Minister-Counselor. The Board should bear in mind that relatively few members demonstrate the exceptional qualifications warranting advancement to the class of Career Minister. No member should be recommended for consideration who has not already clearly demonstrated, through superior achievement in positions demanding broad leadership, policy direction, program and resource management and public outreach abroad based on policy objectives that the officer is fully qualified to fill the most senior and responsible positions in the Service. In making its determinations, the Board should give particular weight to outstanding performance as Chief of Mission or in positions of comparable importance, such as Deputy Assistant Secretary and above, as well as to the member's ability to continue to perform at this level of responsibility.

3. Counselor Board (SFS-III)

The Counselor Board will review the files of all eligible members in the class of Counselor (Class FE-OC) who have generalist primary skill codes. Files will be reviewed both on a class-wide and a functional (by cone) basis, unless the members are reached for promotion on the class-wide rank-order list.

4. Senior Specialist and Specialist Threshold Board (SFS-IV)

The Senior Specialist Board and Specialist Threshold Board will review the files of all eligible members in the class of Counselor and in class FS-01, who have primary skill codes in the following specialist occupational categories:

Category Skill Codes

Financial Management Officer 2101

Human Resources Officer 2201

General Services Officer 2301

Security Officer 2501

Security Engineering Officer 2550

Diplomatic Courier 2580

Information Technology Manager 2884

Printing 4100

Information Resource 4200

English Language Programs 4300

Medical Officer 6110

Health Practitioner 6115

Psychiatrist 6125

Facilities Maintenance Specialist 6217

Construction Engineer 6218

In making recommendations for promotion and in discharging its other responsibilities, the Board will consider officers within each class (Counselor and FS-01) by occupational category. There are two exceptions at the OC level: 1) Security Officers and Security Engineering Officers will compete together for promotion and 2) former Information Management Specialists and Information Management Technical Specialists are competing together for promotion (at the OC and FS-01 level) as Information Technology Managers with the new 2884 skill code.

5. Senior Foreign Service Performance Pay Boards

Senior Foreign Service Performance Pay Boards, one for generalists and one for specialists, will consider for performance pay the Performance Folders of all eligible Career Ambassadors (FE-CAs) and all eligible Career Ministers (FE-CMs) as well as members serving in the classes of Minister-Counselor (FE-MC) and Counselor (FE-OC) who have been designated for consideration by the appropriate Senior Board. Senior Foreign Service Performance Pay Boards review generalists and specialists as follows. The Senior Foreign Service Performance Pay Board for generalists considers all SFS generalists (FE-OC, FE-MC, FE-CM, and FE-CA) together for performance pay as a group regardless of class and prepares a rank order list. The Senior Foreign Service Performance Pay Board for specialists considers all SFS specialists (FE-OC and FE-MC) together for performance pay as a group regardless of class and prepares a rank order list.

6. Senior Threshold Board (Generalists) (SFS-V)

a. Promotion

The Senior Threshold Board will review the files of all eligible members of class FS-01 with generalist primary skill codes who have requested consideration for promotion into the Senior Foreign Service. The Performance Folders of members will be reviewed first on a classwide and then on a functional basis (by cone), unless the members are reached for promotion classwide. The Department continues to need officers with strong competency in their primary skill code. Members requesting promotion across the senior threshold may be considered by no more than six consecutive annual selection boards and must leave the Service if not promoted within that period.

Generalists seeking to cross the senior threshold must have an S-3/R-3 professional level of proficiency in at least one foreign language before consideration for promotion. Those who opened their window for consideration in 2007 or before are grandfathered under the provisions of 3 FAM 2324.4 which state that a board may recommend a Class 1 employee for promotion conditionally upon subsequent achievement of the prescribed proficiency level in at least one foreign language prior to the convening of the next Senior Threshold Selection Board. Once the language requirement is satisfied, action will be initiated to have the employees name confirmed by the Senate and attested by the President. The employees promotion will generally be effective the beginning of the first pay period following attestation. Specialists are currently exempt from any language proficiency for promotion across the threshold. Additional requirements, with their effective date, can be found in Addendum 3.

Effective January 1, 2005, the Career Development Program establishes requirements that generalists must fulfill before they are eligible for consideration for promotion into the Senior Foreign Service. Those requirements, including the phased-in implementation schedule, can be found in Addendum 4.

b. Classwide Promotions

With the 2005 Selection Boards, classwide competition replaced multifunctionality. The Department's goal in instituting classwide competition is to assist the Department in expanding the pool of officers with broad vision and deep experience who are prepared to assume leadership positions in the future. Diplomacy in the 21st Century engages issues that are increasingly global in nature and/or scope, rapid changes in technology which are changing the way we do business, crises requiring effective and rapid response, the continuing need to promote actively democracy and respect for human rights, and threats to our safety and security that continue to surface. It needs broad-based and flexible officers, with leadership skills and the demonstrated ability to plan, organize, administer, and evaluate programs in both the members primary career field and across functional lines, who can transform resources and policy into results, while managing people effectively. While conal competition recognizes potential and competency in the primary career field, classwide competition builds on conal expertise by recognizing potential and competency across functional lines. The Board is asked to rate each employee in the classwide competition based on the relative strength of that members Performance Folder and demonstrated ability to perform effectively at the next higher level.

In considering officers for promotion on a classwide basis, Boards are encouraged to keep in mind the goal of classwide competition as stated above, including the need for officers to have demonstrated competency in their primary functional cone. Members recommended for promotion should demonstrate full proficiency across the six core competencies in a breadth of positions. Boards should also weigh positively service demonstrating competence in:

(1) Cross-functional work (e.g., resource management vs. policy);

(2) Assignments in positions in other than their primary functional cone;

(3) Advancing the achievement of the Departments seven strategic goals (per addendum 5), including public outreach and democracy building;

(4) The conduct of transnational issues, as illustrated in eight of the Departments seven strategic goals (per addendum 5) and defense-related issues;

(5) Working with multilateral organizations, Congress, NGOs, academia, interagency and/or the private sector, including through secondment/details/fellowships;

(6) The management of people;

(7) The active development of the skills of others; and

(8) The professional use of foreign language(s), including in public outreach.

c. Conal Promotions

Conal competition recognizes potential and competency in the primary career field. Members recommended for functional promotions should demonstrate full proficiency across the six core competencies in a breadth of positions in their primary functional field (cone). They may have deepened their functional expertise through training or other assignments.

PART V - INTERMEDIATE BOARDS

A. INTERMEDIATE GENERALIST BOARDS

Intermediate Generalist Boards will review the Performance Folders of Foreign Service members with generalist skill codes in classes FS-02 through FS-04. The Performance Folders of members in classes FS-02 and FS-03 will be reviewed first on a classwide and then on a functional basis (by cone), unless the members are reached for promotion classwide. The Department continues to need officers with strong competency in their primary skill code. Boards should carefully review Part III A entitled Major Responsibilities on page 7.

1. Classwide Boards G-II A and B, Classwide G-II and Classwide G-III: Promotions FS-02 to FS-01 and FS-03 to FS-02

The Classwide Boards will be organized as follows: the Classwide G-II A and B Boards will each review approximately 50% of the eligible members, randomly divided between the two Boards. Each Board will recommend between 35 and 50 percent of eligible employees in alphabetical order for consideration for promotion by the Classwide G-II Board. (Note: in the case of an odd number of eligible members to be reviewed, the Classwide G-II A and B Boards will round up to determine the 50 percent of eligible employees to be recommended for consideration by the Classwide G-II Board.) The Classwide G-III Board will review all eligible members.

When making their decisions, all Classwide Boards should closely consider the following:

With the 2005 Selection Boards, classwide competition replaced multifunctionality. The Department's goal in instituting classwide competition is to assist the Department in expanding the pool of broad gauged officers prepared to assume leadership positions and meet the challenges of diplomacy in the 21st Century where issues are increasingly global in nature and/or scope, rapid changes in technology are changing the way we do business, crises require effective and rapid response, and threats to our safety and security continue to rise. It needs broad-based and flexible officers, with leadership skills and the demonstrated ability to plan, organize, administer, and evaluate programs in both the members primary career field and across functional lines, who can transform resources and policy into results. While the conal competition recognizes potential and competency in the primary career field, classwide competition builds on conal expertise by recognizing potential and competency across functional lines. The Board is asked to rate each employee in the classwide competition based on the relative strength of that members Performance Folder and demonstrated ability to perform effectively at the next higher level.

In considering officers for promotion on a classwide basis, Boards are encouraged to keep in mind the goal of the classwide competition as stated above, including the need for offices to have demonstrated competency in their primary functional cone. Members recommended for promotion should demonstrate full proficiency across the six core competencies in a breadth of positions. They should also weigh positively service demonstrating competence in:

(1) Cross-functional work (e.g., resource management vs. policy);

(2) Assignments in positions in other than their primary functional cone;

(3) Advancing the achievement of the Departments seven strategic goals (per addendum 5), including public outreach;

(4) The conduct of transnational issues, which represent eight of the Departments seven strategic goals (per addendum 5) and defense-related issues;

(5) Working with multilateral organizations, Congress, NGOs, academia, interagency and/or the private sector, including through secondment/details/fellowships;

(6) The management of people;

(7) The active development of the skills of others; and

(8) The professional use of foreign language(s), including in public outreach.

2. Conal Boards G-II (A and B) FS-02 to FS-01 and G-III (A and B) FS-03 to FS-02

Boards G-II and G-III will review by functional category (cone) the Performance Folders of all eligible members in classes FS-02 and FS-03 in the FO/FP pay plans with generalist skill codes and FO members in the management subfunctions of finance, human resources, and general services. Boards are reminded that work in labor, human rights and narcotics is part of the political cone while work in environment, science and technology work is part of the economic cone. In 2008, the cones will be distributed among the Boards as follows:

G-IIA FS-02 Political/Management

G-IIB FS-02 Economic/Consular/Public Diplomacy

G-IIIA FS-03 Political/Management

G-IIIB FS-03 Economic/Consular/Public Diplomacy

Conal competition recognizes potential and competency in the primary career field. Members recommended for functional promotions should demonstrate full proficiency across the six core competencies in positions in their primary functional field (cone). They may have deepened their functional expertise through training or other assignments.

3. Board G-IV

Board G-IV will review in classwide competition the Performance Folders of tenured members in class FS-04 who were in the FSO Career Candidate and Mustang Programs, plus the Performance Folders of career candidates in class FS-04 who have been recommended for tenure but who have not satisfied the language requirement.

B. INTERMEDIATE SPECIALIST BOARDS

Intermediate Specialist Boards will review by occupational category the Performance Folders of eligible Foreign Service members in classes FS-02 through FS-06 with primary skill codes in the specialist occupational categories listed below, except that the Performance Folders of those members in the FO pay plan with skill codes in the administrative subfunctions of finance, human resources, and general services will be reviewed by Boards G-II and G-III. Boards should also carefully review Part III A entitled Major Responsibilities. The Intermediate Specialist Boards will be organized as follows:

Occupational Category

Board Skill Code Pay Plan/Class

S-I Construction Engineer (6218) FS 2-4

Facilities Maintenance Specialist (6217) FS 2-4

Medical Technologist (6145) FS 2-4

Health Practitioner (6115) FS 2-4

Finance (2101) FS 2-4

Human Resources (2201) FS 2-4

General Services (2301) FS 2-4

Printing (4100) FS 2-4

Information Resource (4200) FS 2-4

English Language Program (4300) FS 2-4

S-II Security Officer (2501) FS 2-4

S-III Security Engineering Officer (2550) FS 2-4

Security Technician (2560) FS 3-4

Diplomatic Courier (2580) FS 2-4

S-IV Information Technology Manager (2884) FS 2

Information Management Specialist (2880) FS 3-4

Information Management Technical Specialist (2882) FS 3-4

S-V Office Management Specialist (9017) FS 3-5

S-VI Office Management Specialist (9017) FS 6

Specialists are members of the Foreign Service whose primary skills involve such specialized professional and technical qualifications that their performance is difficult to compare with generalists or other specialists of the same class. The Boards will evaluate specialist members in accordance with the Criteria for Promotion in the Foreign Service, with emphasis on demonstrated performance and potential in the member's specialty.

Boards are reminded that some specialists serve in positions outside their specialist categories. Such assignments serve the interests of the Department as well as the developmental interests of the specialist. Evidence that a specialist has used such an assignment to enhance his/her value to the Department should be afforded the same weight as evidence in this regard with respect to assignments in his/her own specialty.

Boards will be informed when some members under their review have reached the top grade within their career field and cannot be further promoted. Boards should give particular attention to recommendations they are authorized to make concerning training and assignments, and a member's potential to serve in other functions.

1. Board S-I

(Finance, GSO, Printing, Information Resource, English Language, Human Resources, Health Practitioners, Facilities Maintenance Specialists, Construction Engineers, Medical Technologists)

Board S-I will evaluate members with emphasis on demonstrated performance and potential in the members' function or occupational category.

Promotion eligibility from FP-03 to FP-02 and from FP-02 to FP-01 within the Facilities Maintenance Specialist skill code is dependent upon HR/CDAs verification of fulfillment of certification and training requirements: promotion to FP-02 BOMI Facilities Management Administrator certification and fully successful performance in a Facilities Maintenance position; promotion to FP-01 successful completion of a required 40 hour management training course approved by OBO/CSFM/FAC and certification as a Certified Plant Engineer by the American Institute of Plant Engineers. Facilities Maintenance Specialists who are not eligible for promotion consideration, however, will still be reviewed to identify those who should be low ranked and/or referred to a Performance Standards Board.

2. Board S-II

(Security Officers)

Board S-II should ensure that no officer is disadvantaged because of the lack of an assignment abroad since a preponderance of the positions in the Security Officer category are located in the United States.

3. Board S-III

(Security Engineers, Security Technicians, Diplomatic Couriers)

Board S-III will evaluate members with emphasis on demonstrated performance and potential in the members function or occupational category.

4. Board S-IV

(Information Management Specialists and Information Management Technical Specialists)

Board S-IV should be aware that the Information Management Specialist (2880) skill code was created in March 1992. The skill code consists of former Systems Managers and former Operational Communications personnel. The two former categories have been considered jointly for promotion since 1993. Board S-IV should also be aware that at the Class 2 level, former Information Management Specialists and Information Management Technical Specialists are now competing together for promotion as Information Technology Managers with the new 2884 skill code.

The Board will evaluate members placing emphasis on those individuals who have shown initiative to the extent opportunities exist, in acquiring, through formal or informal means, the skills of the new, broad based, Information Management Specialist (IMS) category. The Board shall place priority consideration on those members who have demonstrated skills, performance, and potential in multiple disciplines (the former computer systems and telecommunications skills of the 2880 group). Because the skill codes have been combined since March 1992, every 2880 skill code individual has had ample opportunity to demonstrate skills, or at a minimum potential for acquiring skills, in multiple areas and the Board should rate accordingly. In considering FS-03s for promotion, the Board should consider whether employees in skill codes 2880 and 2882 have gained leadership, management, and supervisory experience by serving in 2880 or 2882 management positions.

Eligible members of classes FS-03 and FS-04 in the Information Management Technical Specialist (IMTS) 2882 category, formerly known as Communications Officer-Technical (2442), will also be considered for promotion by the S-IV Board. The Board shall give particular credit to those individuals who have shown initiative (through either formal or informal means) in the skill areas of computer systems, telecommunication, radio, telephone, and software operating systems to meet the changing information technology needs of the Department.

5. Boards S-V and S-VI (Office Management Specialists)

The growth of office automation and diminishing resources have led to a more multifaceted role for Office Management Specialists (OMS) and to expanding duties in the area of office management and systems administration. These duties include substantive tasks related to the work of the office and can involve use of foreign languages. The Department views the Foreign Service Office Management Specialist as an employee who has the potential to perform a variety of functions. These include administrative work (human resources, communications, systems administration, security, general services, etc.), consular work, managing information, public affairs responsibilities and staff assistant assignments, among others.

Many Office Management Specialists continue to handle traditional duties and to function as executive assistants to senior officials. Historically, the Department has considered these Office Management Specialists to be at the top of the career ladder, as were office management specialists in Staff Assistant and Personal Assistant positions. But with the assignment of Office Management Specialists to other specialist and interfunctional positions and with the need to make maximum use of the abilities of all personnel in this time of diminishing resources, Office Management Specialists should be evaluated against the Precepts for their initiative, management skills, leadership, and interpersonal and intellectual skills regardless of the nature of the position they hold.

Board members are reminded that some of the OMS files being reviewed will, because of the consolidation of the U.S. Information Agency with the Department of State on October 1, 1999, contain performance evaluations written on different forms and in response to different core precepts and criteria, with different work goals and responsibilities. Some may lack reviewing statements because no appropriate reviewing official was available. These files and the performance described therein should be given equal weight with the performance documented on Department of State forms since consolidation.

The Boards must not disadvantage any Office Management Specialist who appears interested in or prepared to move to another career field or who has served a substantial part of her/his duties in non-traditional Office Management Specialist functions. At the same time, the Boards shall give full credit to the performance of Office Management Specialists in jobs involving traditional duties. They shall also give full credit to those filling executive Office Management Specialist positions.

ADDENDA

ADDENDUM 1 TO THE 2008 PROCEDURAL PRECEPTS: PRESIDENTIAL AWARD NOMINATIONS (3 FAM 2872.3-2)

Officers under review for nomination for Presidential awards, in addition to being judged by the criteria above, must consistently have demonstrated sustained accomplishment at a superior or extraordinary level as a member of the Senior Foreign Service, or in equivalent grades for at least three annual rating cycles, as well as qualities of integrity and creativity, and have maintained a high degree of public trust. Evidence of significant sustained accomplishment may be found in such areas as the following:

(1) Significant contributions to the national interest in the field of foreign affairs including public diplomacy and international trade and development; or, for SFS members on detail, in areas of foreign or domestic policy;

(2) Managerial accomplishments in cooperative efforts with other foreign affairs agencies, other Federal agencies, other Government entities, and/or with the private sector; and/or

(3) Achievement of agency wide importance in policy, technical, program, and/or human resource terms.

ADDENDUM 2 TO THE 2008 PROCEDURAL PRECEPTS: SECURITY AWARENESS

Security is an inherent, inextricable and indispensable component of all employee positions at the Department of State. Security awareness is so important to a Foreign Service employee that the management of classified material and information is an important part of the core precepts, the decision criteria used by Selection Boards in their decisions on recommending Foreign Service employees for promotion. Foreign Service employees performance includes an assessment of how well they fulfill their security-related responsibilities.

Every employees work requirements include a statement about the proper management of classified material and information. Where an employee has demonstrated a pattern of failure with respect to safeguarding classified material and information, this will be reflected in the evaluation report. Failure to guard classified material and information is one of the areas of weakness, which may be grounds for a Selection Boards decision to low rank an employee.

Foreign Service Selection Boards will be given the security incident record for the five years prior to May 1, 2008 for each employee competing for promotion to FS-01 and above and for each employee competing for performance pay and Presidential awards at FE-OC and above. Employees may request a copy of their security incident record from the Bureau of Diplomatic Security and may submit to HR/PE by June 1, 2008 a response regarding their security incident record for consideration by the appropriate Selection Board.

Selection Boards will use the security incident reports, and any response from employees regarding their own security incident reports, in conjunction with the material in the OPF to determine the competitiveness of those employees for promotions, performance pay, and Presidential awards. Security incident reports also may be used by Selection Boards for other decisions, such as low ranking. State 039371of March 27, 2007 provides details on the subject.

ADDENDUM 3 TO THE 2008 PROCEDURAL PRECEPTS: REQUIREMENTS FOR PROMOTION INTO THE SENIOR FOREIGN SERVICE

In addition to the applicable requirements outlined in Part IV A, and Addendum 4:

(1) Beginning in 2009, generalists and specialists promoted to FS-01 in 2004 or before will be required to serve at least one full tour after tenure at a post with a differential of five percent or greater before consideration for promotion into the Senior Foreign Service;

(2) Generalists and specialists promoted to FS-01 in 2005 or after will be required to serve at least one full tour after tenure at a post with a differential of 15 percent or greater before consideration for promotion into the Senior Foreign Service;

(3) Beginning in 2007, employees must complete required leadership and management training as highlighted in Part II A.1.c.

ADDENDUM 4 TO THE 2008 PROCEDURAL PRECEPTS: PRINCIPLES OF CAREER DEVELOPMENT IN THE FOREIGN SERVICE AND ELIGIBILITY TO BECOME A MEMBER OF THE SENIOR FOREIGN SERVICE: GENERALISTS

In order to be eligible for consideration for promotion into the Senior Foreign Service, the employee must demonstrate over the course of his/her career from entry through tenure and up to consideration for promotion at the Senior threshold:

Operational effectiveness, including a breadth of experience over several regions and functions

Leadership and management effectiveness

Sustained professional language proficiency

Responsiveness to Service needs

Examples of service that would lead to Service readiness and demonstrated competence in accordance with these principles include the following. Those marked with an asterisk (*) are mandatory (4); a combination of the others also would be required (5 of 7).

Operational Effectiveness

Major/minor regional assignments (from entry into service)*

Major: 3 tours or 6 years dealing with one region or with IO and its posts/positions abroad

Minor: 2 tours or 3 years in a second region (EUR, AF, NEA, EAP, SA, WHA) or in the bureaus within one of the following career fields: IO (including USUN and its posts/positions abroad), INR, H, S (including C, P, and D), G, T, M, E or R. Note that CA is part of the M family.

NOTE: Superhard language training held in-region may be counted towards a region. Entry level tours may be counted towards either the major or the minor. Employees may elect to count certain jobs as service in either of two regions, but not both. Examples: an AF watcher in London may be counted as service in either EUR or AF; a WHA-focused job in DRL may be counted towards either a major (or minor) in WHA or a minor in G.

Professional Development: One tour/one academic year, cumulative, after tenure; for example, assignments from the annual Open Assignments lists of training opportunities and details as well as opportunities managed by the Office of Civil Service Personnel (HR/CSP); FSI teaching assignments; active duty in the military performed by activated reservists who are members of the Foreign Service; the pursuit of academic study, including the USDA Graduate School, in a career-related field pursued at the employees or partial USG expense while on or off duty; employment in the non-public sector environment in a career-related field, including while on LWOP.

Cross-functional experience or out-of-cone assignment (one year, after tenure); for example, an assignment in a position with a skill code other than your primary skill code or where a substantial portion of the responsibilities are outside your primary skill code. In addition, experience in management of resources/people for those who generally work in reporting/policy analysis; or experience in reporting/policy analysis for those who generally work in management of resources/people. For example, an economic officer serving in an economic position overseas developing and monitoring a foreign assistance program; a consular officer, either at post or in Washington, developing refugee policy; a management officer developing policy as an INL program officer; a political officer managing a Foreign Military Sales program; a public diplomacy officer at post managing programs and developing policy.

Operational/Crisis Response (six months, cumulative, from entry); for example, Operational Readiness Reserve; Crisis Management; Line/Watches; crisis task forces; service at posts while in evacuation status; service during and in aftermath of armed conflict/major disaster; service (including TDY) in support of a presidential/Secretary of State visit or a major conference; Crisis Support Teams; Consular Management Teams; FEST; etc.

Leadership Effectiveness

Leadership and management training at each grade*

NOTE: All who were recommended for tenure after January 1, 2005, will be required to complete the following FSI courses or their equivalents:

FS-01 PT210 Advanced Leadership Skills

FS-02 PT207 Intermediate Leadership Skills

FS-03 PK245 Basic Leadership Skills

(Please note that in accordance with the Procedural Precepts, beginning in 2008 FS-03s must complete Basic Leadership skills for promotion to FS-02; FS-02s must complete Intermediate Leadership Skills for promotion to FS-01; FS-01s must complete Advanced Leadership Skills; and FE-OCs must complete Senior Executive Threshold Seminar.)

Significant and substantial supervisory responsibility (one tour, after tenure); for example, assigns work, develops and sets priorities, counsels employees and evaluates performances, resolves disputes, effects minor disciplinary measures, interviews and recommends candidates for positions within a unit; AND/OR supervises those that do (i.e., a DCM or management counselor)

Language Proficiency

One language at 3/3 (tested within seven years before opening the window for consideration for promotion into the Senior Foreign Service)*

One additional language at 3/3 (tested after tenure), or

One FSI-designated superhard language at 3/3 (tested after tenure), or

One language at 4/4.

(NOTE: Proficiency in one language can fulfill both the mandatory and elective language requirements if it is a 3/3 in one FSI-designated superhard language (tested within 7 years of opening the window) or a 4/4 in one foreign language.)

Service Needs

Service at a 15% or greater post (hardship) differential/danger pay post (one tour, after tenure (except as noted below))*

(NOTE: The qualifying percentage can be a combination of post (hardship) differential and danger pay. If the qualifying percentage is lowered after an employee has been assigned or arrives at post, the assignment will still fulfill the requirement for service as long as the employee completes the tour as assigned. Negotiated tours of twelve-month duration in Historically Difficult to Staff posts do not meet the criteria of a qualifying assignment. The completion of two directed entry-level assignments to 15% or greater differential posts will also fulfill this requirement.)

Service in an officially designated critical needs position (one tour, after tenure)

(NOTE: Positions will be identified by the Director General in consultation with the Bureaus at the beginning of each assignments cycle based on previous bidding history and an evaluation of a critical need to fill the position. The designation of critical needs positions began with the 2006 Open Assignments cycle.)

Service at an unaccompanied post (one tour, from entry)

* Required

Implementation, effective January 1, 2005, as follows:

(1) All who are recommended for tenure after January 1, 2005 will be required to fulfill all 4 mandatory requirements and 5 of the 7 elective requirements to be considered for promotion into the Senior Foreign Service;

(2) All who are tenured FS-04s or FS-03s as of January 1, 2005 will be required to fulfill 3 of the 4 mandatory requirements and 4 of the 7 elective requirements. The 3 mandatory requirements must include: leadership and management training; service at a 15% or greater hardship post;

(3) All who are FS-02s as of January 1, 2005 will be required to fulfill 2 of the 4 mandatory requirements and 3 of the 7 elective requirements. The 2 mandatory requirements are: leadership and management training; service at a 15% or greater hardship post; and

(4) All who were FS-01s as of January 1, 2005 will continue to be governed by previous requirements (see Addendum 3).

ADDENDUM 5 TO THE PROCEDURAL PRECEPTS: PRINCIPLES OF CAREER DEVELOPMENT IN THE FOREIGN SERVICE AND ELIGIBILITY TO BECOME A MEMBER OF THE SENIOR FOREIGN SERVICE: SPECIALISTS

The Career Development Program for Specialists was launched on January 1, 2006. With slight modifications to emphasize building on the skill of the specialist in lieu of developing regional expertise, it draws on the same four principles that the generalist program does. The Specialist Career Development Principles are:

(1) Operational effectiveness, including a breadth of experience over several functions;

(2) Leadership and management effectiveness;

(3) Sustained professional technical knowledge and language proficiency; and

(4) Responsiveness to Service needs.

Perhaps the most important difference among the 17 separate specialist career paths lies in the fact that the Career Development Programs pinnacle is not always the grade of FE-OC, as it is for generalists. The pinnacle for specialists may be FS-04 as it is for the Office Management Specialists, FS-01 for the Facilities Management Specialists, or FE-MC for Physicians. Selection Boards considering specialists will want to become familiar with the individual skill codes career path to grasp both the ultimate goal for each skill code group and the specific mandatory and elective requirements needed to get to that goal over the course of a career. A copy of the appropriate Career Development Program career path or paths will be furnished to each member of the Selection Board considering the performance of specialists.

The rules pertaining to Career Development and promotions will take effect for the other specialist competition groups in succeeding years.

THE DEPARTMENTS STRATEGIC GOALS: FISCAL YEARS 2007-2012

1. Achieving Peace and Security

Counterrorism

Weapons of mass destruction and destabilizing conventional weapons

Security cooperation and security sector reform

Conflict prevention, mitigation, and response

Transnational crime

Homeland security

2. Governing Justly and Democratically

Rule of law and human rights

Good governance

Political competition and consensus building

Civil society

3. Investing in People

Health

Education

Social services and protection for especially vulnerable populations

4. Promoting Economic Growth and Prosperity

Private markets

Trade and investment

Energy security

Environment

Agriculture

Providing humanitarian assistance

Protection, assistance, and solutions

Disaster prevention and mitigation

Orderly and humane means for migration management

5. Promoting International Understanding

Offer a positive vision

Marginalize extremism

Nurture common interests and values

6. Strengthening Consular and Management Capabilities

Consular services (visas, passports, American Citizen Services)

Major management functions


3 FAH-1 Exhibit H-2321.1B
Decision Criteria for Tenure and Promotion in the Foreign Service

(CT:POH-206; 06-29-2018)
(Applies to State Foreign Service Only)
(Efffective o4-16-2013)

DECISION CRITERIA FOR TENURE AND PROMOTION

IN THE FOREIGN SERVICE

(edits to the 2010 version of this document are indicated below in bold italicized font)

The Core Precepts provide the guidelines by which Selection Boards determine the tenure and promotability of U.S. Foreign Service employees. These Precepts will be in effect for the 2013-2014, 2014-2015 and 2015-2016 rating cycles. The precepts include themes from the Quadrennial Diplomacy and Development Review (QDDR )such as interagency leadership, outreach across all sectors of society abroad, innovation and connection technology, and developing the skills needed for 21st century diplomacy. The precepts also reflect the Career Development Program (CDP), with its emphasis on operational effectiveness, leadership and management effectiveness, sustained professional language and/or technical proficiency, and responsiveness to customer and service needs.

The Precepts enlarge upon the headings found in existing Employee Evaluation Report (EER) forms, defining the specific skills to be considered and the level of accomplishment expected at different grades. They distinguish between apprentice, journeyman and master level the entry-level, mid-level and senior-level ranks, respectively.

The Precepts are the collection of competencies determined to be essential to successful performance in the Foreign Service. Competencies are the skills, knowledge, and abilities that an employee applies to the job. The Precepts are described in terms of observable behavior that model employees exhibit in the accomplishment of the job, in getting results, and achieving goals and objectives. In preparing Foreign Service work requirements, the supervisor and employee should define performance expectations early in the evaluation period. By focusing first on results and expectations, the supervisor and employee can more readily identify the specific training and development needs of any of the required skills the employee does not possess.

Organizationally, the Precepts are arranged in a grid--the left column defines the skill, and the progressive possession and exercise of that skill are captured in boxes from left to right. The skills are cumulative; the descriptions for each level assume the employee has mastered those at the lower level(s). The rating employee should review descriptions at lower levels before making an evaluation. For instance, in rating a mid-level employee, the rating employee should review the descriptions for both Mid-Level and for Entry-Level.

Because progression in some specialist skill codes is capped at the mid-levels, the Senior-Level column does not apply to those specialists.

The Department has consulted with AFSA regarding the content and form of these Precepts.

DS-1829cp

04/16/2013

LEADERSHIP SKILLS

Entry-Level

Mid-Level

Senior-Level

Innovation

Takes initiative to go beyond assigned tasks; identifies problems and proposes creative solutions; seeks to improve job and organization performance.

Develops insights into situations and applies them in the workplace; devises innovative solutions to make organizational improvements and policy adjustments; engages staff in process of developing new and effective solutions.

Creates an organization-wide environment which encourages innovation; takes a long-term view and acts as a catalyst for constructive change; conceives and institutes organization-wide policy and program initiatives; anticipates and prepares for the future.

Decision Making and Judgment

Identifies issues within context of own job which require decisions or other action; arrives at recommendations in a logical, orderly manner; acts confidently and decisively within own purview, consulting others as appropriate; is sensitive to needs and opinions of others. Displays good judgment by discerning what is appropriate, practical, and realistic in the performance of official duties.

Makes reasoned, effective, and timely decisions after considering all relevant factors and options, even when data are limited or conflicting or will produce unpleasant consequences; implements decisions and evaluates their impact and implications, making adjustments as needed. Determines whether and how to make decisions or take action without senior-level review displaying good judgment in making those decisions.

Integrates policy and administrative factors into problem solving and decision making in a manner enhancing the entire organization; actively works to achieve Departments goals and objectives; encourages staff to accept responsibility. Demonstrates good judgment in all decisions.

Team Building

Applies what he/she learns about team building to be an effective team member. Is open to views of others; works in collaborative, inclusive, outcome-oriented manner with U.S. and foreign colleagues; accepts team consensus.

Is an effective team leader, who creates an environment that facilitates full participation and an open exchange of ideas; fosters cooperation and collaboration among U.S. and foreign colleagues; motivates and guides team members toward a common goal. Actively develops the skills of subordinates, counsels them, and makes optimum use of their talents.

Is an effective team motivator and leader, who inspires staff to participate and contribute; encourages and develops a sense of pride and cohesiveness among staff; resolves work-related problems by mobilizing team skills and resources; develops and implements strategies to improve the workplace, morale, skills and achievements of team members and the effectiveness of the overall organization.

Openness to Dissent

Demonstrates the intellectual integrity to speak openly within channels and a willingness to risk criticism in order to voice sensible dissent. Publicly supports official decisions, even when disagreeing with them.

Discerns when well-founded dissent is justified; engages in constructive advocacy of policy alternatives; guides staff to do the same.

Accords importance to well-founded dissent and defends its appropriate expression.

Community Service and Institution Building

Participates actively in outreach or community service activities that contribute to employee welfare. For example, volunteers for Post or Department programs, initiatives, ceremonies, special events, blood and fund drives, and other activities.

Participates actively in performance evaluation decision making and resource allocation activities, e.g., serves on Selection Boards or on post EER Review Panel; works on resource allocation committees, e.g., Housing Board; counsels/mentors personnel more junior in grade.

Participates actively in institution building activities that strengthen the Department as an organization. For example, recruits for the Department, e.g., serves as Diplomat-in-Residence or on the Board of Examiners; works on the Selection Boards; participates in Department mentoring program.

MANAGERIAL SKILLS

Entry-Level

Mid-Level

Senior-Level

Operational Effectiveness

Plans, organizes and directs operations and strategies within areas of responsibility effectively; ensures that projects within area of responsibility are completed in a timely, high quality and efficient manner; accepts supervision and guidance, and supports the projects of others; provides feedback to supervisors. Demonstrates commitment and moral courage by making difficult choices, by working with a sense of purpose, and by caring about the results.

Completes projects and produces results in most effective manner while balancing the Departments goals and objectives and constraints of time and resources; critically analyzes the organizations strengths and weaknesses, and takes appropriate action.

Establishes effective procedures and controls to manage the work activities of subordinates; encourages, develops and rewards efforts of staff to enhance their effectiveness, including their ability to contribute to the achievement of the Departments goals and objectives; foresees challenges to, and opportunities for, the organization and takes steps in advance to deal with them.

Directing and Developing Performance

Participates in preparation of work requirements for self and works with staff in preparing their work requirements; develops plans to accomplish work requirements; gives staff both formal and informal feedback on performance and potential; completes employee evaluations in accordance with standards and deadlines.

Establishes and clearly communicates broad performance expectations for unit; manages staff effectively to meet those performance expectations; monitors plans to accomplish work requirements; delegates appropriately; creates a productive work environment in which employees contributions are valued and encouraged; works to prevent and resolve personnel problems in a timely manner; ensures that the evaluation process is properly conducted and that counseling occurs throughout the rating year; effectively selects, trains, develops and supervises employees; ensures that staff is appropriately utilized, appraised, and rewarded; develops these same skills in others.

Establishes and clearly communicates organization-wide performance expectations in accordance with the Departments goals and objectives; inspires a high level of performance in staff; ensures the professional development and mentoring of staff; oversees possible improvements in human resource processes; ensures that the evaluation and counseling process is conducted effectively and in accordance with standards and deadlines.

Management of Resources

Utilizes internal controls to protect the integrity of the organization and prevent waste, fraud, and mismanagement, reporting any instances where such problems occur; uses material and financial resources prudently; strives to produce highest return with lowest cost.

Ensures that effective internal controls are in place and work correctly; allocates resources efficiently, equitably, and in conformity with policy and regulatory guidelines; makes every effort to ensure that employees have the tools needed to work effectively.

Evaluates adequacy of internal controls and ensures implementation of improvements as warranted; holds managers accountable for the consequences of their resource policy decisions; seeks resource adjustments as needed.

Customer Service

Responds professionally, courteously and competently to both internal and external customers.

Balances competing and sometimes conflicting interests of a variety of customers; anticipates and responds appropriately to customer needs.

At the organization level, encourages customer-oriented focus; maintains or improves services organization-wide.

Support for Equal Employment Opportunity and Merit Principles

Takes diversity training and applies its principles to the workplace; treats all individuals with respect and without regard to race, color, gender, religion, national origin, age, disability, marital status, or sexual orientation; acts in compliance with USG and Department EEO policies.

Manages diversity by recruiting diverse staff at all levels and ensuring staff diversity training and awareness. Promotes diversity awareness through training; ensures by example and instruction, and verifies through monitoring and follow-up, that all employees are treated with fairness and respect; applies EEO and merit principles consistently; identifies and addresses situations giving rise to complaints and grievances based on issues of fairness in the workplace.

Fosters an organization-wide environment in which diversity is valued and respected; encourages the organization to realize the full potential of a diverse staff; provides personal leadership and vigorous support for EEO, merit principles, and fair employment practices; recognizes that diversity within the workplace is a strategic advantage and acts accordingly.

Security, including Management of Sensitive and Classified Material, Information and Infrastructure

Practices good personal, information, and physical security. Takes full responsibility for handling and safeguarding sensitive and classified material, information, and infrastructure properly. Has knowledge of security threats, responsibilities, procedures, regulations and issues.

Encourages the practice of good personal, information, and physical security measures and serves as a model for others. Takes full responsibility for handling and safeguarding sensitive and classified material, information, and infrastructure properly; ensures that effective procedures are in place to protect sensitive and classified material, information and infrastructure and that established security regulations are being followed.

Promotes the practice of good personal, information, and physical security measures by employees. Takes full responsibility for handling and safeguarding sensitive and classified material, information and infrastructure properly; promotes security consciousness on an organization-wide basis; evaluates and monitors procedures to safeguard sensitive and classified material, information, and infrastructure and ensures that necessary changes are made if current procedures are inadequate; holds managers accountable for the consequences of their security policy decisions.

Crisis Management Skills

Possesses appropriate knowledge of short-term (emergency) management and long-term (business continuity) management responses to crises, incidents or other serious situations and when appropriate may participate in the development of plans to respond to such incidents.

Performs crisis management for the area of responsibility, including the development of preventative (risk management) plans; and develops awareness and skill in crisis management among the staff.

Performs crisis management and risk management for the entire organizational unit; sets the tone for the importance of crisis management for the unit; and seeks to reduce the need for crisis management if possible.

INTERPERSONAL SKILLS

Entry-Level

Mid-Level

Senior-Level

Professional Standards

Holds self accountable for rules and responsibilities; is dependable and conscientious; is composed, professional, and productive, even in difficult conditions. Treats all with respect.

Holds others accountable for rules and responsibilities; consistently maintains equanimity and a professional demeanor; maintains own motivation and encourages others to persevere in difficult circumstances.

Sets the standard for integrity and workplace behavior by example and instruction; does not lose composure under stress or in crisis; fosters a climate based on mutual respect and trust

Persuasion and Negotiation

Learns to influence others; gains cooperation while showing, in the spirit of mutual respect, understanding of others positions.

Influences others deftly; fosters understanding of USG/Department views and positions and/or procedures and requirements; develops alliances with others; finds common ground among disparate forces and builds consensus; facilitates win-win situations.

Negotiates effectively on a wide range of issues in internal, bilateral, and multilateral environments; manages and resolves major conflicts and disagreements in an interest-based manner; manifests a faculty for astute compromise without sacrificing ultimate goals.

Workplace Perceptiveness

Demonstrates sensitivity in both domestic and foreign environments to status, protocol, and chain of command; responds considerately to the needs, feelings, and capabilities of others; shows respect for cultural differences.

Understands and deals effectively with relationships and aspirations; anticipates how others will react; and frames own responses to achieve results.

Navigates easily in an environment of shifting relationships; anticipates socially sensitive issues and potential conflicts of interest and takes appropriate action.

Adaptability

Adapts behavior and work methods as needed in response to new information, changing conditions, preferences of other people, or unexpected obstacles; and displays sensitivity to cultural differences.

Guides staff in adjusting to change; models and reinforces flexibility in the staff; manages risk and uncertainty; seeks to reduce any negative impact of change on the organization; and maintains own standards and identity despite change.

Anticipates the need for change; weighs risks; creates proactive plans to deal with change that reduces any negative impact on the unit; uses change to improve the effectiveness of the unit and its members; and exercises sophisticated cultural sensitivity in all circumstances.

Relationship Building and Representational Skills

Establishes and maintains purposeful and productive relationships with domestic and foreign contacts; interacts effectively in official and social encounters; attends and representational events to promote relationships and understanding with host country officials and when appropriate, hosts such events.

Identifies and cultivates professional relationships with key individuals and institutions; advances USG interests through hosting and attending representational events.

Moves with ease at all social settings and levels; cultivates professional relationship with audiences important to U.S. interests; frequently hosts representational events at most senior levels of society.

COMMUNICATION AND FOREIGN LANGUAGE SKILLS

Entry-Level

Mid-Level

Senior-Level

Written Communication

Writes succinctly; produces written materials that are thorough; conveys analysis that highlights essential points and clearly explains essence of subject to the intended audiencewhether mission management or senior Department official.

Writes clearly and persuasively; ensures that policy and operational issues are articulated in ways most helpful to the intended audience; assists staff to develop effective writing skills.

Exhibits full mastery of written communication; shows sophisticated ability to analyze, synthesize, and advocate in a timely manner; edits others texts judiciously.

Oral Communication

Speaks in a concise, effective, and organized manner, tailored to the audience and the situation; speaks convincingly in groups and in individual discussion.

Speaks authoritatively to all audiences, demonstrating comprehensive understanding of issues and options; articulates policy goals persuasively; fosters an atmosphere of open communication and exchange of ideas.

Effectively argues complex policy issues; deals comfortably with the most senior levels of government and society.

Active Listening

Listens attentively; understands and absorbs others messages; correctly reads nonverbal signals; summarizes others views accurately and confirms accuracy of understanding; considers and responds respectfully and appropriately.

Instills trust in others which motivates them to speak openly and candidly; understands and respects cultural sensitivities and constraints in discussing issues and opinions; asks open-ended, incisive questions to ensure accuracy of understanding.

Adeptly discerns the innermost meanings and nuances of messages that others convey.

Public Outreach

Develops public speaking and writing skills by seeking appropriate opportunities to present U.S. views and perspectives.

Seizes and creates opportunities to advocate U.S. perspective to a variety of audiences. Actively develops the skills of subordinates.

Deals comfortably with the media; is active and effective in public diplomacy, both in the U.S. and overseas. Contributes to and implements strategies to encourage a fair hearing for U.S. views and perspectives.

Foreign Language Skill (Generalists; Specialists as Applicable)

Meets language probation requirements; uses foreign language skills to enhance job performance; seeks to improve foreign language skills.

Attains general professional proficiency* in at least one foreign language, strives to acquire advanced level proficiency and/or general professional proficiency in additional languages; uses that skill effectively to communicate USG themes and exercise influence; works to increase foreign language ability.

*Generalists, to cross senior threshold, must attain S/3-R/3 (i.e., general professional proficiency) in one language.

Maintains and/or further develops proficiency in foreign language(s); uses skill to promote U.S. interests with a wide range of audiences, including the media.

INTELLECTUAL SKILLS

Entry-Level

Mid-Level

Senior-Level

Information Gathering and Analysis

Locates, evaluates, and quickly assimilates key information; reorganizes information logically to maximize its practical utility and identify key underlying factors; recognizes when additional information is required and responds accordingly; considers a variety of sources, cross-checking when appropriate.

Has a sophisticated understanding of sources and their reliability; knows what to report and when; accepts that it may not be possible to base recommendations, decisions, or actions on comprehensive information; considers downstream consequences; guides and motivates staff to refine their own analytical skills.

Integrates fully a wide range of information and prior experiences in policy making; ensures that staff search out and evaluate information before making recommendations and decisions; recognizes situations in which information and analysis are incomplete, and responds wisely; accepts accountability for self and insists on it for staff.

Critical Thinking

Identifies key information, central issues, and common themes; identifies the strengths and weaknesses of various approaches; outlines realistic options; distinguishes fact from opinion and relevant from irrelevant information.

Isolates key points, central issues, and common themes in a mass of complex information or procedures; can determine the best solution or action from a range of options; is objective in analyzing problems and judging people.

Analyzes and defines complex policy issues clearly, in terms which permit them to be dealt with in a practical way; encourages staff to analyze situations and propose options, giving constructive and instructive feedback; correctly senses when it is appropriate to take risks, and does so.

Professional Development, including Active Learning

Seeks out new job-related knowledge and readily grasps its implications for the workplace; seeks informal feedback and learns from mistakes; recognizes own strengths and weaknesses and pursues self-development.

Develops own knowledge through broadening experiences, whether work-related, academic studies, or other type of professional development; applies the principles learned on the job and encourages and supports professional development among subordinates; provides informal feedback to colleagues and seeks feedback on own performance.

Anticipates the need for new information or knowledge for self and others; identifies sources of new information; communicates these sources to staff and facilitates access; actively promotes professional development at the organizational unit level; applies principles to foster organizational improvements, and promotes a workplace supportive of continuous professional development.

Leadership and Management Training

Learns basic principles of effective leadership and management. Pursues formal and informal training opportunities.

Uses training opportunities to improve personal leadership and management skills and to keep abreast of current theory and techniques. Applies the principles learned at FSI and other relevant courses on the job, e.g. by developing subordinates.

Actively promotes leadership and management training at the organizational unit level; applies principles of leadership and management training to foster organizational improvements.

SUBSTANTIVE KNOWLEDGE

Entry-Level

Mid-Level

Senior-Level

Job Information

Develops and applies knowledge needed in current assignment; learns factors which impact work; understands how job relates to organizational goals and U.S. policy objectives. Uses FSI and other training to improve individual performance.

Has broad knowledge of job-related processes and practices; remains current on policies, programs, and trends that affect the organization; analyzes the interplay of forces influencing the achievement of policy and program objectives and makes reasonable recommendations. Uses training and other means to improve programs. Supports continuous learning of employees through both training and work opportunities.

Integrates thorough knowledge of issues arising in job to formulate and implement policies and programs; monitors internal and external sources for information and ideas; uses job knowledge to shape outcomes. Utilizes FSI training to raise level of organizational unit performance. Creates an environment and strategies to support professional development both through training and work opportunities.

Institutional Knowledge

Understands the roles and authorities of both the Department and other USG agencies and how they affect the Department. Applies that knowledge and the institutional realities it imposes to develop interagency cooperation to get tasks accomplished.

Proactively applies knowledge of other USG agencies and institutional realities to advance effectively State Department goals; operates on an equal footing with officials in other bureaus, foreign governments, business communities, academia, and media; develops these same skills in subordinates.

Uses sophisticated understanding of other USG Agencies and institutional realities to advance effectively USG foreign policy objectives; develops those same skills in subordinates. Promotes interagency cooperation with a wide variety of senior USG officials to achieve the Departments foreign policy objectives.

Technical Skills

Learns and uses technical skills and technology as appropriate in setting of job; understands the impact of technology on the workplace; seeks ways to use technology to enhance performance.

Continuously enhances own and staffs understanding of work-related technical skills and technology and their applications; advances policy and program goals through the use of available and appropriate technology.

Promotes own and staffs full utilization of technical skills and technology to achieve bureau/mission goals; devises efficient and cost-effective strategies to integrate technology into the workplace.

Professional Expertise

Understands and applies Department of State procedures, requirements, regulations, and policies; assimilates Department of State and Foreign Service milieu; builds knowledge of U.S. and foreign environments; uses developing expertise in work situations.

Strives to deepen understanding of the Department of State and of the Foreign Service as a profession; uses expertise to evaluate policies and programs and to advise and develop others; is able to operate independently to further bureau/mission objectives.

Combines mastery of U.S. policy objectives and knowledge of foreign environments to advance U.S.G. goals; assists staff to develop Foreign Service skills and expertise, promoting a work environment that enhances their professional development.

Knowledge of Foreign Cultures

Develops and demonstrates knowledge of foreign cultures, values, and norms; appropriately applies foreign perspective to domestic assignments and host country perspective to assignments abroad.

Has sophisticated grasp of foreign political, economic, cultural, and information environments; relates knowledge to fulfillment of bureau/mission goals.

Uses thorough knowledge of foreign environments to identify and seize opportunities to advance U.S.G. goals. Develops subordinates understanding of how best to advance U.S. interests in a foreign environment.


3 FAH-1 Exhibit H-2321.1C
Addendum to the 2004 Precedural Precepts

(CT:POH-101; 09-15-2004)
(State Only)
(Applies to Foreign Service Only)

PERFORMANCE PAY AND PRESIDENTIAL AWARDS

PERFORMANCE PAY AWARD

Recommendations of SFS members for Department performance pay awards shall be based on the following criteria:

(1) The relative value of the members achievement to the accomplishment of the Departments mission;

(2) The degree of difficulty inherent in successful achievement by the member;

(3) The extent to which achievement was characterized by strong executive leadership and significant contributions in the formulation of agency policies and programming;

(4) Effective supervision and development of subordinates;

(5) Participation in outreach or community service activities that contribute to employee welfare and strengthen the Department as an institution, such as recruiting (e.g., duty on the Board of Examiners or as Diplomat-in-Residence), mentoring and Selection Board work;

(6) Evidence that an employee actively promotes leadership and management training at the organizational unit level, enhances that training, and applies the principles of leadership and management training to foster organizational improvement;

(7) The extent of demonstrated highly developed functional, foreign language and area expertise;

(8) Achievements in the areas of cost reduction, efficiency, quality of work, productivity, and timeliness to the end of improving Foreign Service managerial flexibility and effectiveness;

(9) Meeting affirmative action goals and achievement of equal opportunity requirement;

(10) Achievements in the identification, correction, and control of waste, fraud, and mismanagement;

(11) Failure to manage classified material and information properly should be regarded as a serious impediment to the recommendation of performance pay; and

(12) Evidence of effective performance management and evaluation as demonstrated by timely submission of employee evaluation reports.

PRESIDENTIAL AWARD

Officers under review for nomination for Presidential awards, in addition to being judged by the criteria above, must consistently have demonstrated sustained accomplishment at a superior or extraordinary level as a member of the Senior Foreign Service, or in equivalent grades for at least three annual rating cycles, as well as qualities of integrity and creativity, and have maintained a high degree of public trust. Evidence of significant sustained accomplishment may be found in such areas as the following:

(1) Significant contributions to the national interest in the field of foreign affairs including public diplomacy and international trade and development; or, for SFS members on detail, in areas of foreign or domestic policy;

(2) Managerial accomplishments in cooperative efforts with other foreign affairs agencies, other Federal agencies, other Government entities, and/or with the private sector; and/or

(3) Achievement of agency wide importance in policy, technical, program, and/or human resource terms.


3 FAH-1 Exhibit H-2321.1D
Addendum 2 to the 2004 Procedural Precepts

(CT:POH-206; 06-29-2018)
(State Only)
(Applies to Foreign Service Only)

SECURITY AWARENESS

Security is an inherent, inextricable, and indispensable component of all employee positions at the Department of State. Security awareness is so important to a Foreign Service employee that the management of classified material and information is an important part of the core precepts, the decision criteria used by Selection Boards in their decisions on recommending Foreign Service employees for promotion. Foreign Service employees performance includes an assessment of how well they fulfill their security-related responsibilities.

Every employees work requirements include a statement about the proper management of classified material and information. Where an employee has demonstrated a pattern of failure with respect to safeguarding classified material and information, this will be reflected in the evaluation report. Failure to guard classified material and information is one of the areas of weakness, which may be grounds for a Selection Boards decision to low rank an employee.

Foreign Service Selection Boards will be given the security incident record for the five years before May 1, 2004 for each employee competing for promotion to FS-01 and above and for each employee competing for performance pay and Presidential awards at FE-OC and above. Employees may request a copy of their security incident record from the Bureau of Diplomatic Security and may submit to HR/PE by June 18, 2004 a response regarding their security incident record for consideration by the appropriate Selection Board.

Selection Boards will use the security incident reports, and any response from employees regarding their own security incident reports, in conjunction with the material in the OPF to determine the competitiveness of those employees for promotions, performance pay, and Presidential awards. Selection Boards also may use security incident reports for other decisions, such as low ranking.

UNCLASSIFIED (U)