MAKING SENSE OF THE NEW AEF FOR FS EMPLOYEES

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MAKING SENSE OF THE NEW AEF FOR FS EMPLOYEES
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MAIN SECTIONS OF THIS BRIEFING

• Performance planning work objectives and
  performance measures
• The New Mid-Cycle Review Procedures
• The New AEF Review Process
• Addressing performance problems and misconduct

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FOR THE 2004-05 RATING CYCLE

• A new Employee Evaluation system has come to town
  with many differences from its predecessor

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OBJECTIVES OF THE BRIEFING

• After this training, participants will
• Understand the changes in 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 Needed
Each participant in this briefing should have in
their hands now

• The new AEF form (AID 461-1 04/04)
• The EEP Guidebook (FS) 4/01/04
• Hard copies of a set of these slides (in handout
  format)

• AID 461-1
• EEP Book
• Handouts

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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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Major Changes in the Performance Evaluation
Process

• Changes in the evaluation/review process
• Appraisal Committees role at the beginning of
  evaluation cycle and at mid-cycle review is at
  the employees or Raters request, but mandatory
  at the end
• New Employee Statement form (AID-461-2)

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Major Changes in the USAID Performance Evaluation
Process

• Revisions during the performance period
• May be made with discussion/clarification between
  rating official and employee
• No need for concurrence of Appraisal Committee
  unless requested by the Rating Official or the
  employee

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Implementation Dates and Duration

• Rating period April 1, 2004 March 31, 2005
• Performance plan to be established by May 15
  (within 45 calendar days)
• Performance plan in effect on the day after the
  date signed by employee

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In Search of Great Work Objectives
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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)
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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

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Putting the Pieces TogetherTips for
Establishing Work Objectives

• Formulate Work Objectives (WOs) commensurate with
  employees personal grade, not the grade of the
  position held by the employee
• (NEW) Establish up to three work objectives
  (special or unusual assignments) that are fair,
  within the employees control, applicable,
  attainable, clear, and challenging
• Consult the Foreign Service Skills Matrix to
  determine grade level expectations

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Tips for Performance Measures (PMs)

• (NEW) 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

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Performance Planning Review and Signatures

• (NEW) Appraisal Committee (AC) reviews
  performance plan only if requested by either the
  Rating Official or the Employee
• Performance Plan takes effect the day after the
  date it is signed by the Rating Official and the
  employee

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A FORMAL, MID-CYCLE PROGRESS REVIEW
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Preparing for Mid-Cycle Review

• (NEW) 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

• Employee chooses 360 sources
• Provide several points of view on the employees
  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 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

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Completing the Mid-cycle Review

• Rating official documents mid-cycle progress in
  Section 6 on the AEF form
• (NEW) Rater must notify employee in writing both
  of any deficiencies and the means to correct
• (NEW) 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 drafts AEF 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 to AC
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Only ONE page of narrative!!!

• (NEW) Mandatory statements (met WOs, met
  standards of class) are replaced by checked boxes
• (NEW) Discuss all WOs and all skill areas
• (NEW) Make no recommendations for promotion or
  tenure

• Note willingness to take on non-traditional or
  hardship assignments, be innovative, or take
  calculated risks
• (NEW) Highlight 1 sub-skill from the next higher
  grade as an area of excellence or potential

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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 360-degree sources
  from employees list
• If a supervisor, rater contacts at least two
  additional 360-degree sources who are
  subordinates

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Drafting the AEF (contd)

• The Rating Official drafts the AEF and Skills
  Feedback Worksheet (SFW) (AID-461-3) based on
• The 360-degree sources
• The employees 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 employees 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 employees abilities to make an impact
  broader than the operating units SOs
• Address the employees 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 NEW 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
• Not part of the official rating of record

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First, the draft AEF is discussed with the
Employee

• (NEW) The Rater reviews the draft AEF and SFW
  with the employee in a face-to-face meeting
• (NEW) Employee can propose changes and has five
  work days to comment on the draft AEF and SFW
• (NEW) 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
• (NEW) 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

• (NEW) If differences between the AC and the
  Rater cannot be resolved, the Principal Officer
  will mediate

• (NEW) If differences are still 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

• (NEW) 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
• (NEW) 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)

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Submission to USAID/W

• AEFs due by May 15
• Actual date for submission set each year by
  M/HR/Executive Management Staff
• 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)
• AC must have no fewer than three members
• Bureau supervisors, managers, and other tenured
  USDH officers in regional platforms or USAID/W
  can also serve on the AC for a Mission

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Composition of the AC, cont.

• The AC must reflect the Agencys commitment to
  diversity
• At least one of the AC members must be personally
  familiar with the employees work

• (NEW) If an AC member is absent, only the
  Mission Director (Principal Officer) or Deputy
  may designate a substitute

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Addressing Performance Problems

• (NEW) The revised 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

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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/LERB in USAID/W

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Questions?
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Go Forth and Evaluate!