MAKING SENSE OF THE AEF FOR FS EMPLOYEES

1. MAKING SENSE OF THE AEF FOR FS EMPLOYEES

2. MAIN SECTIONS OF THIS BRIEFING • Performance planning – work objectives and performance measures • The Mid-Cycle Review Procedures • The AEF Review Process • Addressing performance problems and misconduct

3. OBJECTIVES OF THE BRIEFING After this training, participants will: • Understand the AEF form and the steps involved in the entire Annual Evaluation process • Carry out their responsibilities in completing AEF forms, using 360-degree sources, and involving the Appraisal Committee • Arrive at a fair and balanced evaluation

4. Documents Referenced • The AEF form (a461-1) http://inside.usaid.gov/forms/forms.html • The EEP Guidebook http://www.usaid.gov/policy/ads/400/461maa.pdf • ADS 461 • EEP Book

5. The Legal Basis for the Employee Evaluation Process • Sections 601-605 of the Foreign Service Act of 1980, as amended • ADS Chapter 461 – Employee Evaluation Program • Employee Evaluation Program (EEP) Guidebook Part 1 – Foreign Service • ADS 463 – Foreign Service Boards

6. Implementation Dates and Duration • Rating period: April 1 to March 31 • Performance plan to be established by May 15 (within 45 calendar days) • Performance plan in effect the rater and employee have signed

7. In Search of Great Work Objectives

8. Performance Planning Rating Official establishes plan Rating Official presents plan to employee for signature Rating Official and Employee Discuss Plan Appraisal Committee Input (if requested)

9. USING SECTION 4 OF THE AEF FORM -- ROLE IN ORGANIZATION • Lay out continuing responsibilities here • Present the country context (i.e., crisis, conflict, new government, staffing gaps) • Relate your position to Agency objectives and broader mission

10. Putting the Pieces Together:Tips for Establishing Work Objectives • Formulate Work Objectives (WOs) commensurate with employee’s personal grade, not the grade of the position held by the employee • Establish up to three work objectives (special or unusual assignments) that are fair, within the employee’s control, applicable, attainable, clear, and challenging • Consult the Foreign Service Skills Matrix or the Senior Foreign Skills Model to determine grade level expectations

11. No more than two performance measures (PMs) per work objective (WO) PMs for objectives should be written at the “met” level PMs should be observable, clear, measurable Avoid negative standards and absolutes Use measures of quantity, quality, timeliness, and cost Tips for Performance Measures (PMs)

12. Example of a Good Work Objective and Performance Measures • W.O.: Establish a new national disease surveillance system for Country X in the Ministry of Health. • P.M.: • 1) The National Epidemiology Team will have 10 trained epidemiologists working from a newly renovated and equipped office and be fully functioning nationwide by February 2012. • 2) All medical school graduates in Country X receive communicable diseases epidemiology training by June 2012.

13. Performance Planning – Review and Signatures • Appraisal Committee (AC) reviews performance plan only if requested by either the Rating Official or the Employee • Performance Plan takes effect when the Rating Official and the employee have signed • It is recommended that FS/SFS officers who have non- FS/SFS raters take advantage of the option of having the AC review, and provide input on, their Work Objectives at the time the WOs are established/revised.

14. MANDATORY PROGRESS REVIEW

15. Preparing for Mid-Cycle Review • Rater requests 360 degree sources from the employee (minimum 3 sources) • Both Rater and Employee separately review continuing responsibilities, work objectives and performance measures • Rater contacts at least three 360 degree sources; prepares an outline for the review

16. Tips on 360 Degree Sources • Employee chooses 360 sources • Provide several points of view on the employee’s performance • 360 degree sources include: • Supervisor, Peers, Subordinates • Customers • Other managers in and outside operating unit

17. Hold a face-to-face meeting Have a private, frank and open discussion Encourage employee input Compare performance with continuing responsibilities, WOs and PMs Discuss ways to overcome performance gaps Consult with HR (Labor and Employee Relations) and notify the AC if performance is at the “not met” level Conducting the Mid-cycle Review

18. Completing the Mid-cycle Review • Rating official documents mid-cycle progress in Section 6 on the AEF form • Rater must notify employee in writing both of any deficiencies and the means to correct • Rater shares comments in Section 6 with employee • Rating Official, AC (if requested), and employee sign section 6b

19. Appraisal Input Forms (AIFs) are filled out for departing employees and supervisors (for periods of 30 days or more) Appraisal Input Forms (AIFs)

20. Drafting the AEF

21. Preparing the Final AEF Rating Official requests and reviews 360 degree sources Rating Official drafts AEF, shares SFW and discusses with employee Revise AEF if appropriate Rating Official discusses AEF with employee Employee reviews AEF and writes 461-2 (not mandatory) AEF signed Rating Official gives AEF and SFW (optional) to AC

22. Mandatory statements (met WOs, met standards of class) are checked boxes Discuss all WOs and all skill areas Make no recommendations for promotion or tenure Note willingness to take on non-traditional or hardship assignments, be innovative, or take calculated risks Highlight 1 sub-skill from the next higher grade as an area of excellence or potential (not applicable to SFS officers) Only ONE page of narrative!!!

23. Employee supplies 360 sources and contacts Previous Rater provides any Appraisal Input Form (AIF) from previous position to next Rater Rater solicits an employee self -assessment Rater contacts at least three 360-degree sources from employee’s list Raters of supervisors must send the Agency’s Diversity Checklist to those they supervise Drafting the AEF

24. Drafting the AEF (cont’d) • The Rating Official drafts the AEF and Skills Feedback Worksheet (SFW) (AID-461-3) based on: • The 360-degree sources • The employee’s self-assessment • Any AIFs • His/her observations of the employee during the rating period • Other notes, information, & measurement

25. Drafting the AEF – Skill Standards • Address at least one sub-skill under each skill area in relation to the employee’s grade • Of the sub-skills discussed, highlight one from the next higher level as an area of excellence or potential

26. Drafting the AEF – Tips for Discussing Potential • Discuss employee’s abilities to make an impact broader than the operating unit’s SOs • Address the employee’s willingness/actions to be innovative, accept non-traditional or hardship assignments, or take calculated risks • Indicate where the employee has mastered skill areas and competencies at levels above their current grade

27. THE AEF REVIEW PROCESS

28. SKILLS FEEDBACK WORKSHEET • Keystone to discussion of performance and potential • Mandatory to use at the end of the FS evaluation period • Submitted to AC at the end of the rating cycle (optional) • Not part of the official rating of record

29. First, the draft AEF is discussed with the Employee • The Rater reviews the draft AEF and SFW with the employee in a face-to-face meeting • Employee can propose changes and has five work days to comment on the draft AEF and SFW • Then the Rating Official has two work days to revise the AEF and/or SFW

30. Next, the draft AEF is reviewed by the Appraisal Committee (AC) • The AC reviews the AEF and the SFW • The AC may recommend changes, but the Rater is not required to make them • The AC can unilaterally remove any inadmissible comments

31. If differences between the AC and the Rater cannot be resolved, the Principal Officer will mediate If differences are still not resolved, the evaluation stands, but the AC uses Section 8b of the AEF form to document its recommendations Things to Remember

32. Then, back to the Rater to finalize • The Rater and the Chairperson of the AC sign the AEF. In Section 5b of the AEF form, a check box is used to denote cases in which the Employee declines to sign the AEF • The Rater and Employee meet to review the final AEF

33. Employee Statement • The Employee has five work days to review the AEF, sign the original, and submit an Employee Statement (optional) to the Executive Officer (in a Mission) or to AMS (if assigned to AID/W).

34. Submission to USAID/W • This year AEFs due by May 9 • Actual date for submission set each year by HR/ELR • Rating Officials are responsible for submission of all final AEFs by the due date

35. Appraisal Committee Composition • AC Members must be tenured USAID direct hire officers (FS or CS) or Career candidates and FS employees appointed under the Recall authority • FSL and probationary Civil Service employees are not eligible to serve in AC • Bureau supervisors, managers, and other tenured USDH officers in regional platforms or USAID/W can also serve on the AC for a Mission • AC must have no fewer than three members

36. The AC must reflect the Agency’s commitment to diversity At least one of the AC members must be personally familiar with the employees’ work If an AC member is absent, only the Mission Director (Principal Officer) or Deputy may designate a substitute Composition of the AC, cont.

37. Addressing Performance Problems • The EEP Guidebook and ADS 461 both contain expanded discussion on addressing performance issues: • Steps to be taken in cases of poor performance • Counseling and documentation

38. Misconduct • Guidance is provided on dealing with cases of misconduct (breaking written and unwritten workplace rules) • Cases of misconduct are NOT handled through the Employee Evaluation system but should be referred to HR/ELR in USAID/W

39. Go Forth and Evaluate!