MAKING SENSE OF THE AEF
FOR FS EMPLOYEES
1
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
2
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
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Documents Referenced
 The AEF form (a461-1)
•ADS 461
•EEP Book
http://inside.usaid.gov/forms/form
s.html
 The EEP Guidebook
http://www.usaid.gov/policy/ads
/400/461maa.pdf
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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
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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
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In Search of Great Work
Objectives
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Performance Planning
Rating Official
and Employee
Discuss Plan
Rating Official
establishes
plan
Rating Official
presents plan
to employee
for signature
Appraisal
Committee
Input (if
requested)
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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
Position
Country Context
Responsibilities
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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
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Tips for Performance Measures
(PMs)
 No more than two
performance measures
(PMs) per work
objective (WO)
 PMs should be
observable, clear,
measurable
 Avoid negative
 PMs for objectives
should be written at the
“met” level
standards and
absolutes
 Use measures of
quantity, quality,
timeliness, and cost
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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
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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.
13
MANDATORY PROGRESS
REVIEW
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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
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Tips on 360 Degree Sources
Supervisors, Peers
Others
Customers
 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
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Conducting the Mid-cycle Review
 Hold a face-to-face
 Discuss ways to
meeting
 Have a private, frank
and open discussion
 Encourage employee
input
 Compare performance
with continuing
responsibilities, WOs
and PMs
overcome performance
gaps
 Consult with HR (Labor
and Employee
Relations) and notify
the AC if performance is
at the “not met” level
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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
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Appraisal Input Forms (AIFs)
 Appraisal Input Forms (AIFs) are
filled out for departing employees
and supervisors (for periods of 30
days or more)
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Drafting the AEF
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Preparing the Final AEF
Rating
Official
requests and
reviews 360
degree
sources
Rating
Official
gives AEF
and SFW
(optional)
to AC
Rating Official
drafts AEF,
shares SFW
and discusses
with employee
Rating
Official
discusses
AEF with
employee
Employee
reviews AEF
and writes
461-2 (not
mandatory)
Revise AEF if
appropriate
AEF signed
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Only ONE page of narrative!!!
 Mandatory statements
 Note willingness to take
(met WOs, met
standards of class) are
checked boxes
 Discuss all WOs and all
skill areas
 Make no
recommendations for
promotion or tenure
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)
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Drafting the AEF
 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 360degree sources from
employee’s list
 Raters of
supervisors must
send the Agency’s
Diversity Checklist
to those they
supervise
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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
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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
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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
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THE AEF REVIEW PROCESS
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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
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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
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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
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Things to Remember
 If differences between If differences are still
the AC and the Rater
cannot be resolved,
the Principal Officer
will mediate
not resolved, the
evaluation stands,
but the AC uses
Section 8b of the
AEF form to
document its
recommendations
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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
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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).
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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
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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
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Composition of the AC, cont.
 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
36
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
37
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
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