Foreign Service/Senior Foreign Service Employee Evaluation Program (EEP)

1. Foreign Service/Senior Foreign Service Employee Evaluation Program (EEP) Office of Human Resources Employee and Labor Relations Division Performance Management Staff

2. FS/SFS Annual Evaluation ProcessAuthority: ADS 461 Employee Evaluation Program (EEP) FS/SFS and EEP FS/SFS Guidebook Learning Objectives: • FS/SFS Performance Evaluation System • Roles and Responsibilities • Evaluation Cycle Timeline – • – Performance Plan Establishment • – Mandatory Progress Review • – End-of-Cycle Assessment • – Required documents: • – Appraisal Input Forms (AIFs), if applicable • – FS Skills Matrix/SFS Skills Model • – Employee Self-Assessment • – 360 Degree Sources • – Diversity Checklist (from rated supervisors Direct Reports) • – Skills Feedback Worksheet (SFW) • – Role of the Appraisal Committee (AC) • Resources and References (Primarily ADS 461 and the HR Employee Evaluation Program (EEP) website @ http://inside.usaid.gov/HR/eep_fs-sfs.cfm)

3. Substantive Change Effective with the 2011/12 FS Rating Cycle ADS 461.3.6.1 was amended to eliminate the requirement that a Subskill at the next higher level be addressed. Performance Evaluation System Change

4. FS/SFS Perf. Evaluation Roles & Responsibilities

5. FS/SFS Performance Evaluation Cycle Timeline *Please note Foreign Service Limited (FSL) Appointees are subject to the EEP Program as described in ADS 461.

6. PLANNING STAGE Performance Plans FS/SFS AEF Performance Plans established by mid-May or within 45 days of reassignment to new FS/SFS position.

7. Position Context Responsibilities Role in Organization • Relate position to Agency/Country/ Bureau objectives and broader mission • Present the context (crisis, conflict, new government, staffing gaps, etc.) • Lay-out Continuing Responsibilities • Note AEF, Section 4 – Role in the Organization (see ADS 461.3.1.5).

8. Establishing Work Objectives (WOs) • See FS Skills Matrix or SFS Skills Model, as appropriate, to formulate WOs: FS Skills Matrix - http://www.usaid.gov/policy/ads/400/updates/iu4-0704e.pdf SFS Skills Model - http://www.usaid.gov/policy/ads/400/updates/iu4-0704d.pdf • WOs must equate to the employee’s personal grade, and not the grade of the employee’s position • Establish up to three WOs • Write WOs with specific, quantifiable Performance Measures (PMs) with no more than two PMs per WO • Communicate through the WOs the acceptable level of performance the employee must achieve in order to “meet the standards of their class” (as defined by the FS Skills Matrix/SFS Skills Model, as appropriate) See p.6 of the FS/SFS EEP Guidebook for additional information on WOs and PMs.

9. No more than two PMs per WO Communicate through the PMs the acceptable level of performance the employee must achieve in order to “meet the standards of their class” (as defined by the FS Skills Matrix/SFS Skills Model, as appropriate) PMs should be clear and measurable Quantity, quality, timeliness, and cost-effectiveness Avoid negative standards and absolutes Establishing Performance Measures (PMs) See p. 6 of the FS/SFS EEP Guidebookfor additional information on WOs and PMs.

10. Performance Plan Review and Signatures • Performance Plan is officially in effect the date employee signs the Plan • Employee has the option of declining to sign the Plan* • Appraisal Committee (AC) review of Performance Plan is optional unless employee declines to sign • HR strongly encourages FS/SFS employees who report to non-FS/SFS raters to take advantage of the option of having their AEF reviewed by the AC at the Performance Plan and Progress Review stages of the rating cycle. * NOTE: If the employee declines to sign AEF, the rater will annotate the AEF with an “X” in the appropriate box and date it. An Appraisal Committee (AC) representative will also sign. The date the RO and AC annotate the AEF is the date the performance plan is in effect. See p. 6 of the FS/SFS EEP Guidebook for additional information on Performance Plans.

11. Individual Learning and Training Plan (ILTP) Requirement • Annually, FS/SFS employees are required to discuss their career development goals with their supervisors/raters. • Completion of an ILTP in conjunction with establishment of FS/SFS Performance Plans is required (see ADS 458). (See 08/14/2011 Agency notice @ http://notices.usaid.gov/notice/21411.) • Use ILTP Form, AID 400-21 (http://inside.usaid.gov/forms/forms.html) Note: Training completed by USAID employees is tracked through the USAID University Learning Management System (LMS) @ http://inside.usaid.gov/M/HR/lsd/lms_Frequently_Asked_Questions_FAQs.htm. Employees are responsible for ensuring that certification of all external training completed is provided to the Office of Human Resources’ Training and Education Division (HR/TE) for inclusion in the employee’s training record and Evaluation file. (The employee’s Evaluation file is what the annual FS/SFS Performance Boards review.)

12. Progress Review Stage Mandatory Progress Review FS/SFS AEF Mandatory Progress Review - mid-way thru rating cycle, but will vary depending upon officer’s assignment arrival/start dates.

13. Rater requests 360 degree sources from employee (at least three sources) (ADS 461.3.4) Conduct a private meeting with the employee Compare performance with continuing responsibilities, WOs, and PMs Discuss performance gaps and the means to overcome them Note: Consult with HR/ELR and notify the AC if performance is at the “not met” level Conducting the Progress Review

14. Documenting the Progress Review • Rater/Employee/AC Chair (if AC review requested) sign Section 1-A of the AEF • Rater must communicate to employee in writing any deficiencies and means to correct in Section 6 of the AEF

15. END-OF-CYCLE STAGE Draft the Final AEF Draft of Final FS/SFS AEFs due* to bureau/mission AC for its mandatory review by mid-April (*Due date established by bureau/mission AMS/EXO in order to meet HR due date).

16. Web Links for Required Documents for Drafting FS/SFS End-of-Cycle AEFs FS/SFS AEF (AID 461-1) (http://inside.usaid.gov/forms/a461-1.doc) Appraisal Input Form (AIF) (AID 400-1B) (http://inside.usaid.gov/forms/a400-1B.doc) Diversity Checklist (AID 400-27) (http://inside.usaid.gov/forms/a400-27.doc) Employee Statement – FS (AID 461-2) (http://inside.usaid.gov/forms/a461-2.doc) Skills Feedback Worksheet(AID 461-3) (http://inside.usaid.gov/forms/a461-3.doc) Employee Self-Assessment - (narrative self-appraisal of Work Objectives/Performance Measures employee submits to rater prior to preparation of draft AEF) 360 degree Sources – (see ADS 461.3.5.2) FS Skills Matrix (AID Form 461-4) (http://inside.usaid.gov/forms/a461-4.doc) SFS Skills Model (AID Form 461-5) (http://inside.usaid.gov/forms/a461-5.doc)

17. The Appraisal Input Form (AIF) for FS/SFS (AID 400-1B) documents a specific period of performance for incorporation in the employee’s final AEF (i.e., in the employee’s “end-of-cycle assessment”). When an AIF is needed: At least two weeks before either the employee or the rater changes jobs; At least five days prior to the rater/employee performance feedback meeting; rater holds a mandatory meeting with the employee to review the AIF; rater forwards AIF, with optional employee response, to the employee’s next rater (and AMS/EXO) within two days after completion If an employee is on TDY or Detailed for 30 days or more the TDY/Detail supervisor must prepare an AIF on the employee’s performance (for the employee’s rater-of-record to incorporate in the employee’s AEF). AIFs are not: Submitted to HR Part of/attached to the AEF (but are to be incorporated into the AEF as the “AEF rater-of-record” deems appropriate) Reviewed by the AC Filed in the Employee’s Evaluation File Appraisal Input Form (AIF)

18. FS Skills Matrixand SFS Skills Model • FS Skills Matrix - http://www.usaid.gov/policy/ads/400/updates/iu4-0704e.pdf • Consists of (4) Skills and (17) Sub-skills • used for developing expectations/assessing performance against FS WOs/PMs (for non-SFS officers) • SFS Skills Model - http://www.usaid.gov/policy/ads/400/updates/iu4-0704d.pdf • Consists of (3) Skills and (13) Sub-skills • used for developing and assessing performance against SFS WOs/PMs • End of cycle AEF must address all Skills and one Sub-skill from each Skill.

19. Throughout the evaluation period, record accomplishments and potential 360 Degree Sources with contact information Explain how you accomplished WOs/PMs Address at least one Subskill for each Skill area At the end of the appraisal period, employees must include on self-assessment all comments received from AIFs, from other Bureaus/Independent Offices (ADS 461.3.5.1) Required Employee Self-Assessment

20. Supervisors, Peers Customers Others 360 Degree Sources • 360 Degree Sources provide several points of view on the employee’s performance • Employee chooses at least three 360 Degree Sources • Appropriate 360 Degree Sources include: • Supervisor, Peers, Subordinates • Customers • Other managers in and outside operating unit Note: If employee being rated is a supervisor the rater must contact no fewer than two of the rated supervisor’s subordinates for information regarding the supervisor’s human resource management skills. (ADS 461.3.5.2)

21. Diversity Checklist Diversity Checklist (AID 400-27) (http://inside.usaid.gov/forms/a400-27.doc) • Required for FS/SFS supervisors • Used by raters of FS/SFS supervisors to solicit 360 Degree feedback (in addition to the 360 Degree Sources described on previous page) • Provides feedback on the rated supervisor’s performance with respect to two core Agency values: • Valuing diversity • Ensuring that employees are treated with dignity and respect • Used to solicit feedback from: • A rated supervisor’s Direct Reports • Responses are voluntary and anonymous • Checklist must be provided to all of the rated supervisor's Direct Reports

22. FS/SFS Skills Feedback Worksheet (SFW) • Guides rater during the employee feedback session • Mandatory to use at the end of the FS/SFS evaluation period (recommended at the mandatory Progress Review stage) • Keystone to discussion of performance • Submitted to ACs for review if requested by the employee or Rater, AC may review if it chooses • Not part of the official rating of record (i.e., is not submitted to HR)

23. Appraisal Committees (ACs) for FS/SFS • The AC reviews the AEF (and, if requested by the employee, rater, or AC itself, the SFW) • The AC may recommend changes, but the rater is not required to make them • The AC can unilaterally remove any Inadmissible Comments (listed on next page) • The AC Chair must sign AEF (AC member names must be indicated in Section 8, of the AEF) • The AC box (Section 8) - This box is not to be used to expand upon the rater's assessment of the employee. The exclusive purpose of this box is for the AC to use when the rater does not agree to the substantive changes recommended by the AC or fails to adhere to approved AEF-preparation policy and procedures (ADS 461.3.8).

24. References to race, color, religion, sex (including pregnancy and gender identity), national origin, age, disability, sexual orientation, genetic information, marital status, parental status, political affiliation or any other non-merit factor. (NOTE - References to a specific group in the context of promoting diversity are also prohibited.) Retirement, resignation or other separation plans; References to grievances, third party adjudicatory proceedings or decisions, involvement in Equal Employment Opportunity complaints, or opposing discriminatory practices; Method of entry into the Service, e.g., conversion from another personnel system. (Mention of entry as International Development Interns (IDIs), New Entry Professionals (NEPs), and Development Leadership Initiative (DLI) officers is permitted); Reference to private U.S. citizens by name; Negative references to participation or non-participation in union activities, either as a representative of the union or as a bargaining unit member; Examples of Inadmissible Comments

25. Prior evaluations prepared by other Rating Officials; Reluctance to work voluntary overtime; Leave record (except absence without leave (AWOL) (consultation required)). This includes references to FMLA and extensive leave for medical reasons; 10. Decisions concerning disciplinary action; 11. Reference to the use of the dissent channel, which results in an adverse evaluation of performance. However, expressions of dissenting views on policy which are outside the dissent channel and which raise substantive questions of judgment relative to the skills matrix may be discussed in an evaluation, with specific instances cited; 12. Negative or derogatory discussion of another employee’s performance; 13. Reference to or identification of a disability (that is, a physical or mental impairment that substantially limits one or more major life activities, or a record of a physical or mental impairment that substantially limits a major life activity, or the perception that an individual has a physical or mental impairment that substantially limits a major life activity) or other medical condition. Examples of Inadmissible Comments Continue

26. Rater requests/reviews 360 degree sources (and contacts, as appropriate), AIF(s), employee Self-Assessment, and Diversity Checklist (if rated employee is a supervisor) Rater drafts AEF and SFW Rater discusses AEF with employee and revises AEF, if appropriate (ADS 461.3.7) Steps involved in End-of-Cycle FS/SFS AEF Process Employee may sign the AEF and write an optional Employee Statement 461-2 Rater discusses final AEF with employee and gives employee a copy If an employee declines to sign the AEF, the rater annotates the AEF with an “X” in the appropriate box, dates it, and notifies the AC Rater submits AEF and SFW to AC See FS/SFS EEP Guidebook, p. 11 – 12, to get specific information on the entire process.

27. FS/SFS Performance Board Review • FS/SFS annual Performance Boards: • Review evaluation files • Determine Employee’s Rating-of-Record: • “A” (Recommended for Promotion) • “B” (Meets the Standards of Class) • “C” (Does Not Meet the Standards of Class) • FS-04s and above are reviewed by the Performance Boards • FS-06s and 05s are reviewed for performance/promotion by an administrative review panel in HR and do not “compete” for promotion (see ADS 459) 27

28. Policy Directives and Mandatory References for FS/SFS EEP Legal Basis for the FS/SFS Employee Evaluation Process (EEP) • HR's Employee Evaluation Program (EEP) web page (http://inside.usaid.gov/HR/eep_fs-sfs.cfm) • ADS Chapter 461 – Employee Evaluation Program (EEP), Foreign Service and Senior Foreign Service (http://www.usaid.gov/policy/ads/400/461.pdf) • Employee Evaluation Program (EEP) Guidebook Part 1 – Foreign Service (http://www.usaid.gov/policy/ads/400/461maa.pdf) • ADS 463 – Foreign Service Boards (http://www.usaid.gov/policy/ads/400/463.pdf) • Foreign Service Act of 1980, as amended (http://www.usaid.gov/policy/ads/400/fsa.pdf)

29. HR/ELR Contact Information • Darren Shanks, Branch Chief, Performance Management, ext. 2-5685 • Marvol Edmonds, Performance Management Specialist, ext. 2-4884 • Jessica Greeley, Performance ManagementSpecialist, ext. 2-0137

30. Questions