Interagency Eligible Family Member Employment … Probationary Periods …..100 5.7 Misconduct and Discipline .…101 6. Separture/Departure ..... . ... (FS), Civil Service (CS), or

February 2015 Family Member Employment Policy Guidebook Page 1

Interagency

Eligible Family Member

Employment Guidebook

Office of Overseas Employment

Bureau of Human Resources

US Department of State


1. Introduction .......................................................................................................................

1.1 Policy Statement and Authority .................................................................................5

1.2 Purpose .....................................................................................................................6

1.3 Coverage ...................................................................................................................7

2. Mission Employment ..........................................................................................................

2.1 Employee Types and Employment Mechanisms ........................................................ 10

2.2 Employee Types ...................................................................................................... 11

2.3 Employment Mechanisms ........................................................................................ 13

2.4 Special EFM Employment Programs ......................................................................... 17

2.5 Employment Scenarios ............................................................................................ 20

2.6 Domestic Partners (DPs) as EFMs ............................................................................. 22

3. Recruitment .......................................................................................................................

3.1 The Classification Process ........................................................................................ 25

3.2 The Vacancy Announcement (VA) ............................................................................ 26

3.3 Screening Applications ............................................................................................. 29

3.4 Documentation and Testing ..................................................................................... 38

3.5 The Interview .......................................................................................................... 41

3.6 The Selection ........................................................................................................... 46

4. Employment .......................................................................................................................

4.1 Hiring ...................................................................................................................... 50

4.2 Determining Residency ............................................................................................ 55

4.3 Determining the Pay Scale ....................................................................................... 58

4.4 Nepotism ................................................................................................................ 59

http://hr.m.state.sbu/Office/OE/PC/Documents/Family%20Member%20Employment/Policy%20Guidebook%20for%20EFM%20Emplymt%20-%203-1-13.docx#_Toc353200370
























4.5 Security Clearance ................................................................................................... 62

4.6 Compensation ......................................................................................................... 64

4.7 Benefits Available to FMA Employees ...................................................................... 66

4.8 Benefits Available to NOR PSA Employees ................................................................ 68

4.9 Work Schedules ....................................................................................................... 69

4.10 Leave for FMA Employees ...................................................................................... 71

4.11 Leave for NOR PSA Employees ............................................................................... 74

5. Performance Management:…………………………………………………………………………………………………

5.1 Overview…………………………………………………………………………………………………………………79

5.2 Reporting Periods…………………………………………………………………………………………………..79

5.3 Participants…………………………………………………………………………………………………………….81

5.4 Employee Performance Report (JF-57)……………………………………………………………………89

5.5 Performance Improvement Plan (JF-57 PIP).…………………………………………………………..99

5.6 Probationary Periods …………………………………………………………………………………………..100

5.7 Misconduct and Discipline ……………………………………………………………………………….…101

6. Separture/Departure ........................................................................................................ .

6.1 Ways to Leave a Position ...................................................................................... 103

6.2 Non-Competitive Eligibility under Executive Order 12721 (E.O. 12721) ................... 105

6.3 Mission Support for Departing EFMs ..................................................................... 105

7. Training and Professional Development .............................................................................. 108

Endnotes ........................................................................................................................... 110















1. Introduction

1.1 Policy Statement and Authority ........................................................................................ 5

1.1.1 Policy Statement ..................................................................................................... 5

1.1.2 Legal Authority ........................................................................................................ 5

1.2 Purpose............................................................................................................................ 6

1.3 Coverage .......................................................................................................................... 7

1.3.1 Family Member Appointment (FMA) ........................................................................ 7

1.3.2 Personal Services Agreement (PSA) .......................................................................... 7

1.3.3 Other Agencies ........................................................................................................ 7


1.1 Policy Statement and Authority

1.1.1 Policy Statement

Family member employment is one of the most important morale issues for Foreign Service families posted abroad. The US Department of State (DOS) remains committed to enhancing the professional job opportunities available to our Eligible Family Members (EFMs) and Members of Household (MOHs) whose talents provide invaluable service to our overseas Missions. This guidebook addresses employment issues related to our EFMs and MOHs who accompany US direct-hire Foreign Service, Civil Service, and uniformed service members under Chief of Mission (COM) authority, and also other US citizens who are Not Ordinarily (NOR) host country residents (for example, DoD family members not under COM authority, contractors, etc.).

1.1.2 Legal Authority

Two hiring authorities provide an equitable hiring system for our family member employees abroad:

1. The Foreign Service Act of 1980 (the FS Act), as amended: a. Confers the Family Member Appointment (FMA) when employed by the DOS; and b. Provides a hiring preference under Sections 309 and 311 for our USEFMs abroad who

are under COM authority. 2. Section 2(c) of the State Department Basic Authorities Act of 1956 (codified as 22 USC 2669):

a. Confers the Personal Services Agreement (PSA) when employed by agencies that have signed a Memorandum of Agreement (MOA) with the DOS.


1.2 Purpose

The Bureau of Human Resources’ Office of Overseas Employment (HR/OE) works closely with the Family Liaison Office (FLO) and the regional bureau Family Member Employment Coordinators (FMECs) to ensure EFM employment programs are consistently and equitably managed. We have crafted this comprehensive guidebook to assist you, the HR professional in the field.

This comprehensive guidebook:

Provides technical and policy guidance on EFM employment;

Covers EFM benefits, career development, and available services; and

Consolidates a wide range of policies, reference materials, rules, and practices into a single resource.

The EFM portfolio is dynamic and subject to change. In some cases, you may need to contact your regional bureau’s Family Member Employment Coordinator (FMEC) or HR/OE for additional guidance.


1.3 Coverage

1.3.1 Family Member Appointment (FMA)

The DOS, as the employing agency, is authorized to use this direct-hire limited, non-career appointment mechanism to fill full-time or part-time locally recruited positions at US Foreign Service posts and establishments under COM authority. The FMA has a term of more than one year but not more than five years for employment within the Mission. It is offered after a competitive recruitment using the EFM hiring preference. It may be used with military retirees, but not FS or CS annuitants. FMAs are governed by the provisions in 3 FAM 8210 and HR/OE policies.

The procedures set forth in 3 FAM 2290 are not applicable to Family Member Appointments.”

1.3.2 Personal Services Agreement (PSA)

For certain EFMs and MOHs, the PSA, rather than an FMA, is the approved employment mechanism. This employment mechanism does not confer creditable USG service.

The legal authorities for the PSA are:

Section 2(c) of the State Department Basic Authorities Act of 1956, as amended in October 1984 (22 USC 2669); and

Section 205 of the FS Act. Additionally, DOS’s PSA authority is used to hire family members on behalf of other agencies under COM authority1 and non-US citizen family members.

1.3.3 Other Agencies

The United States Agency for International Development (USAID) and the Peace Corps are authorized to employ individuals using a Personal Services Contract (PSC). Under a special exemption, USAID also has the option to use the DOS FMA to employ family members. When USAID is the hiring office only AEFMs whose sponsors are direct-hire employees of either State or USAID will be hired under State’s FMA.2

The material in this guidebook applies to employment policies that are unique to post’s family members and other hiring-preference candidates. The guidance outlined in HR/OE’s other policy guidebooks (for example, Recruitment, Local Employment, Performance Management) should be applied where it does not conflict with family member-specific policy.


2. Mission Employment

2.1 Employee Types and Employment Mechanisms............................................................... 10

2.2 Employee Types ............................................................................................................. 11

2.2.1 Overseas Employee ............................................................................................... 11

2.2.2 Ordinarily Resident (OR) ........................................................................................ 11

2.2.3 Not Ordinarily Resident (NOR) ............................................................................... 11

2.2.4 Eligible Family Member (EFM) ................................................................................ 12

2.2.5 United States EFM (USEFM) ................................................................................... 12

2.2.6 Appointment Eligible Family Member (AEFM) ........................................................ 12

2.2.7 Non-USEFM ........................................................................................................... 13

2.2.8 Member of Household (MOH) ................................................................................ 13

2.2.9 Domestic Partner (DP) ........................................................................................... 13

2.3 Employment Mechanisms ............................................................................................... 13

2.3.1 Family Member Appointment (FMA) ...................................................................... 14

2.3.2 Temporary Appointment (TEMP) ........................................................................... 14

2.3.3 Personal Services Agreement (PSA)………………………………………………………………………..15

2.3.3.1 Hiring for Other Agencies…………………………….…………………………………………… 15

2.3.4 Personal Services Contract (PSC) ............................................................................ 16

2.3.5 Purchase Order (PO) .............................................................................................. 16

2.4 Special EFM Employment Programs ................................................................................ 17

2.4.1 Overseas Seasonal Hire Program (OSHP) ................................................................ 17

2.4.2 Professional Associates Program (PA)..................................................................... 17

2.4.3 Expanded Professional Associates Program (EPAP) ................................................. 18


2.4.4 Consular Associates Program………………………………………………………………………………… 18

2.4.5 Professional Adjudication Specialist……………………………………………………………………….18

2.4.6 Diplomatic Security Regional Security Office (RSO) Office Management Specialist (OMS)……………………………………………………………………………………………………………………………..19

2.4.7 Employment Opportunities for the Foreign Service Employee While on Leave Without Pay (LWOP)……………………………………………………………………………………………………………………..19

2.5 Employment Scenarios ................................................................................................... 20

2.6 Domestic Partners (DPs) as EFMs .................................................................................... 22


2.1 Employee Types and Employment Mechanisms

The Department of State (DOS) uses several different employee types and employment mechanisms to hire family members abroad:

Employee Types

Overseas Employee

Ordinarily Resident (OR)

Not Ordinarily Resident (NOR)

Eligible Family Member (EFM)

US citizen Eligible Family Member (USEFM)

Appointment Eligible Family Member (AEFM)

Non-US citizen EFM

Member of Household (MOH)

Domestic partner

Employment Mechanisms

Direct-Hire Appointment (DH)

Family Member Appointment (FMA)

Personal Services Agreement (PSA)

Temporary Appointment (TEMP) HR’s determination of the proper employment mechanism for a particular family member is based on:

Residency;

Citizenship;

Status under Chief of Mission (COM)authority;

Status as a USG annuitant from a career in the FS or CS; and

Employing agency.


2.2 Employee Types

This section provides a listing of employee types from 3 FAM 7120.

2.2.1 Overseas Employee

The term used for all employees regardless of citizenship, legal residency, and family status, who are recruited and employed under a direct-hire appointment, personal services agreement (PSA), or personal services contract (PSC) at a U.S. mission, or at an office of the American Institute in Taiwan, and who are under chief of mission authority. This does not include individuals sent to post from recruitment actions, contracts, and/or agreements conducted in the United States. Employees abroad may include locally employed staff, eligible family members, or members of household employees. For USAID, overseas employees also include personal services contractors who are recruited in the United States to work abroad at a USAID mission.

2.2.2 Ordinarily Resident (OR)

For the purposes of Mission employment, an Ordinarily Resident (OR) is a foreign national or a US citizen who: (1) Is locally resident in the host country; and (2) Has legal, permanent resident status within the host country; and (3) Is subject to host-country employment and tax laws. For purposes of locally recruited positions at the US Mission, ORs are hired under a Personal Services Agreement (PSA) and are paid under the Local Compensation Plan (LCP).

Most Members of Household (MOH) are ORs unless exempt from local labor law. EFMs without a US Social Security number (SSN) are also employed and paid as ORs. Regardless of the compensation plan, US citizens are required to pay US taxes, FICA, and Medicare. Further details can be found in 3 FAM 7120.

2.2.3 Not Ordinarily Resident (NOR)

A Not Ordinarily Residents (NORs) is an individual who;

(1) Is not a citizen of the host country; and (2) Does not ordinarily reside(see definition of ordinarily resident in 3 FAM 7200) in the host

country; and (3) Is not subject to host-country employment and tax laws; and (4) Has a Social Security Number (SSN).

US citizen EFMs (USEFMs) are always NORs. Typically, these applicants are on the travel orders of

Foreign Service (FS), Civil Service (CS), or uniformed service members officially assigned to the Mission.

NORs are generally eligible for employment on the Foreign Pay/Foreign Service (FP/FS) pay plan if they have a US SSN. This category may also include MOHs who do not need a work permit and do not fall under host country law, but who may legally work in country.


2.2.4 Eligible Family Member (EFM)

For employment purposes, an EFM is a spouse, domestic partner (DP- as defined in 3 FAM 1610), or unmarried child and under 21 years if age, or regardless of age, are unmarried and incapable of self support of a US direct-hire FS, CS, or uniformed service member who is:

A. Listed on the travel orders or approved OF-126 of a direct-hire FS, CS, or uniformed service member assigned to the Mission under COM authority; and,

B. Residing at the sponsoring employee’s post of assignment abroad. See complete definition in 14 FAM 511.3

2.2.5 US citizen EFM (USEFM)

For purposes of receiving a preference in hiring for a qualified position, a USEFM is an individual who meets the following criteria: 1. US citizen; and 2. The spouse or domestic partner (as defined in 3 FAM 1610) of the sponsoring employee, or

a child of the sponsoring employee, who is an unmarried child at least 18 years old; and 3. Listed on the travel orders or approved Form OF-126 , of the sponsoring employee, (i.e., a

direct-hire FS, CS, or uniformed service member who is permanently assigned to or stationed abroad at a US mission, or at an office of the American Institute in Taiwan; and is under COM authority) and either : a) Resides at the sponsoring employee’s post of assignment abroad or, as appropriate, at

an office of the American Institute in Taiwan; or b) Resides at an involuntary separate maintenance allowance (ISMA) location. (The

individual will not be listed on the sponsoring officer’s travel orders, but will have a Form SF-1190, processed authorizing ISMA.)

Other family members or dependents on direct-hire FS, CS, or uniformed service member’s travel orders who do not meet all of these criteria are not USEFMs or AEFMs for purposes of 3 FAM 8200.

2.2.6 Appointment Eligible Family Member (AEFM);

To be eligible for a Family Member Appointment or a TEMP appointment, an AEFM is:

1. US citizen; and 2. The spouse or a domestic partner (as defined 3 FAM 1610) of the sponsoring employee, or a

child of the sponsoring employee who is an unmarried and at least 18years old; and 3. Listed on the travel orders or approved Form OF-126 of the sponsoring employee, i.e. , a 4. Direct-hire FS, CS, or uniformed service member who is permanently assigned to or

stationed abroad at a US mission or at an office of the American Institute in Taiwan (AIT) who is under COM authority and

5. Residing at the sponsoring employee’s post of assignment abroad or, as appropriate at an, office of the American Institute in Taiwan ; and

6. Does not receive a USG retirement annuity or pension from a career in the Foreign Service or Civil Service.


US citizen military annuitant EFMs are FMA eligible. Other family members or dependents on direct-hire FS, CS, or uniformed service member’s travel orders or approved Form OF-126 who do not meet all of the criteria are not AEFMs or US citizen EFMs for purposes of 3 FAM 7120.

Generally, AEFMs in DOS positions must be employed on an FMA or Temp appointment in accordance with the regulations in 3 FAM 8200.

Under a special exemption, USAID also has the option to use the DOS FMA to employ family members.1

2.2.7 Non-US citizen EFM

The DOS employs non-USEFMs under a PSA agreement. To receive compensation under the FP/ FS base pay plan, a non-USEFM must have a US SSN before employment. Otherwise, compensation for the PSA must be under the Local Compensation Plan (LCP).

2.2.8 Member of Household (MOH)

An MOH is an individual:

A) Who resides at post with a direct-hire American FS, CS, or uniformed service member permanently assigned to or stationed at a FS post or establishment abroad and under COM authority; and

B) Who is not on the sponsoring employee’s travel orders; and, C) Has been officially declared by the sponsoring employee to the COM to be part of his/her

household The DOS employs MOHs as ORs under PSAs regardless of their citizenship. MOHs must be legally eligible to work in the host country, which often means having a work permit, residency permit, or both work and residency permits.

MOHs do not receive the USEFM hiring preference. Most MOHs are compensated under the LCP.

2.2.9 Domestic Partner (DP)

A domestic partner is an individual who meets all of the criteria listed in, and who has been declared to be, a domestic partner of an employee in accordance with 3 FAM 1610. A domestic partner who meets the requirements of 3 FAM 1610 and the definition of an AEFM is eligible to receive the hiring preference.

2.3 Employment Mechanisms

The DOS and other agencies may use one of three different employment mechanisms to employ EFMs:

1. Family Member Appointment (FMA); 2. Personal Services Agreement (PSA); and

http://arpsdir.a.state.gov/fam/03fam/03fam1610.html#M1612


3. Temporary Appointment (TEMP).

(USAID and Peace Corps may use the Personal Services Contract (PSC) to employee EFMs.)

2.3.1 Family Member Appointment (FMA)

An FMA is a type of direct-hire, limited, non-career appointment that:

Is only for DOS qualifying positions (and USAID, under certain circumstances2);

Is valid for at least one year but no more than five years;

Has a regularly scheduled full or part-time work week (40 hours or 16-32 hours, respectively);

Counts toward creditable US government service; and,

Counts toward non-competitive eligibility under Executive Order 12721 (EO) for US-based positions with the USG.

To be hired on an FMA, a family member must meet all of the following criteria:

A US citizen; and (NOTE: For dual nationals, their US Citizenship takes precedence over their other nationality)

Spouse or domestic partner of the sponsoring employee, or a child of the sponsoring employee who is an unmarried child at least 18 years of age; and

Listed on the travel orders or approved OF-126, of a sponsoring employee, (i.e., a direct-hire FS, CS, or uniformed service member who is permanently assigned to or stationed abroad at a US mission, or at an office of the AIT who is under the COM authority) and

Resident at post of assignment with the sponsoring employee.

NOTE: While waiting for bureau authorization, post may not use the PSA hiring mechanism to expedite the employment of an Appointment Eligible Family Member, or use a PSA to hire an AEFM when post certifies funds cannot support the FP/FS Overseas pay scale. If an improper hiring mechanism is used, there are no provisions to allow retroactive pay or benefits to the EFM.

2.3.2 Temporary Appointment (TEMP)

TEMP appointments are direct-hire, non-career appointments for positions established for one year or less. They may be used with a full-time, part-time, or intermittent work schedule/when actually employed (IWS/WAE). They convey creditable USG service and non-competitive eligibility under Executive Order 12721 (EOE), but only Temp employees qualify for EOE benefits if they have worked 2087 hours.

EFM employment does not entitle an individual to a certain position or level of compensation.

Retroactive hiring actions are prohibited. There are no exceptions.


2.3.3 Personal Services Agreement (PSA)

The PSA hiring mechanism is used to hire:

EFMs receiving a non-military USG annuity;

Non-US EFMs;

MOHs;

Locally resident US Citizens (OR);

US NORs residing in country but not under COM authority(e.g., spouse of a foreign diplomat); US and non-US citizen spouses of USG contractors; and

EFMs who are not eligible for a Family Member Appointment.

While the PSA hiring mechanism affords benefits that vary depending on the individual’s residency status, it does not provide:

Creditable service for future USG employment;

Overseas comparability pay3; or

Non-competitive eligibility under Executive Order Eligibility 12721 (EOE).

Employees hired on a PSA shall not:

Enter into any agreement on the USG’s behalf;

Make decisions involving governmental functions such as planning, budgeting, programming, or personnel selections (although making recommendations in these areas is permitted where the final decision-making authority is reserved for authorized DOS or other agency direct-hire employees);

Supervise direct-hire employees; or

Hold accountable officer positions to manage or certify funds.

EFM employment does not entitle an individual to a certain position or level of compensation.

Retroactive hiring actions are prohibited. There are no exceptions.

2.3.3.1 Hiring for Other Agencies

The DOS uses its PSA hiring authority to hire individuals overseas on behalf of another agency, but only after the agency’s headquarters has signed a Memorandum of Agreement (MOA) with HR/OE. This decision is made at the headquarters level, not on a case-by-case basis by post management. Without a signed PSA MOA with DOS, an agency’s ability to hire may be limited to submitting a formal request (NSDD-38) for a full-time equivalent (FTE) for a direct-hire employee.

A current list of signatory agencies is available on the HR/OE intranet website at: http://intranet.hr.state.sbu/offices/oe/Pages/LESInteragencyHRActivities.aspx.

Additional considerations in other-agency hiring include:

http://intranet.hr.state.sbu/offices/oe/Pages/LESInteragencyHRActivities.aspx


A participating agency must subscribe for LE Staff HR services under ICASS;

HR manages individuals hired under the PSA authority according to: o 3 FAM 7000 and 3 FAM 8000; o The LE Staff Recruitment Policy; o The Local Employment Policy (LEP); o The Local Employment Performance Management Policy; o The Interagency Mission Awards Policy (IMAP); and o Other DOS policies, procedures, regulations, and guidance that may evolve over time.

A department or agency that uses this authority must allow EFMs, MOHs, and LE Staff of all agencies under COM authority to compete equitably for its employment opportunities; and

For each vacancy, the participating post agency head must certify availability of funds from both the FP/FS base pay plan and Local Compensation Plan (LCP).

HR is not permitted to retroactively process a PSA on behalf of a participating department or agency.

2.3.4 Personal Services Contract (PSC)

DOS use of the PSC is generally subject to procurement statutes and regulations, and also subject to Procurement Executive (A/OPE) approval.

The following DOS bureaus have statutory authority to use contracts to employ US Citizens for personal service abroad:

Foreign Service Institute (FSI);

International Narcotics and Law Enforcement Affairs (INL);

International Organization Affairs (IO);

Overseas Building Operations (OBO);

Population, Refugees, and Migration (PRM); and,

US Mission to the United Nations; USAID and Peace Corps have PSC authorities for local hiring.

2.3.5 Purchase Order (PO)

Posts do not have authority to “employ” US Citizens or foreign nationals on POs even for brief periods of time. Department policy on this matter was issued in ALDAC 98 STATE 184657. A PO or other “non-personal service” contract is a procurement mechanism. It is not a personnel action and must never be treated as such. Persons engaged in this manner are not USG employees. They are not covered under US Worker Compensation (OWCP) or other benefits, including leave, awards, health plan, or medevac or death gratuity.

POs and other non-personal services contracts must be awarded following procurement rules (FAR and DOSAR). Any individual must be selected, at least partially, on the basis of the price that the individual offers to perform the agreed upon task. In other words, the person offers a price to the USG; the USG does not offer a salary. Additionally, the individual must be paid only on delivery of the agreed upon services, for which an invoice is submitted.

Use the following questions to determine whether your case may be an appropriate use of a PO:


Does a direct-hire employee normally do this job?

Will the individual selected for the job use USG equipment and perform the function on USG property?

Will a USG direct-hire employee supervise the individual?

Is it a regular and recurring job? If the answer to any of these questions is yes, an HR hiring mechanism is most likely more appropriate.

Any contract or PO that involves any of the following activities cancels the non-personal nature of the contract or PO:

Announced through personnel channels as a position vacancy or “employment opportunity”;

Classified according to personnel standards or assigned a grade;

Selected by a personnel employment process or dependent employment committee; and/or,

Given a position description. HR officers should ensure that personnel and procurement actions remain separate and distinct administrative systems and processes.

For additional information, contact A/OPE.

2.4 Special EFM Employment Programs

2.4.1 Overseas Seasonal Hire Program (OSHP)

The OSHP is an employment program for EFM students at posts abroad during seasonal employment periods i.e. winter, spring, summer or fall. While responsibility for OSHP is under the purview of HR/OE/HRM International HRM Manager, post management administers the program based on the Mission-specific need for clerical and administrative support and in consideration of available funding. Advertising for seasonal hires is mandatory and applicants must be US citizen family members who are part-time or full-time students between the ages of 16 and 24 and registered for the upcoming school term. Details are available on the HR/OE website at:

http://intranet.hr.state.sbu/RecruitmentStaffingEmployment/OverseasEmployment/Pages/EmployeeTypes.aspx

2.4.2 Professional Associates Program (PA)

Invariably, the regular FS assignments process leaves some overseas positions without sufficient qualified FS bidders. The Professional Associates program presents an opportunity for AEFMs to compete with DOS CS employees for these hard-to-fill (HTF) vacancies. Positions that need to be filled are announced by cable, usually in the late spring.

For questions concerning this program consult: http://diplopedia.state.gov/index.php?title=Professional_Associates_Program



http://diplopedia.state.gov/index.php?title=Professional_Associates_Program


2.4.3 Expanded Professional Associates Program (EPAP)

This program gives AEFMs an opportunity to work in FS entry-level positions in cones and disciplines throughout the Mission: Political, Economic, Public Diplomacy, Management as well as General Services, Human Resources, Financial Management, Information Management, and Medical.

These positions are created specifically for AEFMs by the regional bureaus. An EPAP AEFM may only be employed at the same city as his/her sponsoring employee. All applicants must commit to serve a minimum of one year in the position for which they are applying.

While direct-hire Foreign Service (FS) employees on Leave Without Pay (LWOP) may hold dual appointments, they will not be given preference over AEFMs. This is consistent with State Department policy, effective 10/12/11. FS employees on LWOP will only be considered and interviewed for family member positions, including EPAP positions, when all AEFM applicants not on LWOP have been given first consideration.

For questions concerning the application process, eligibility, etc., e-mail [email protected].

2.4.4 Consular Associates Program

The Consular Associates Program was developed to assist consular sections to meet their staffing needs abroad. It involves a special employment category and, as such, does not follow the Local Employment Recruitment or Employment policies.

To be eligible for Consular Associate positions, consular training from the Foreign Service Institute is required. An EFM must:

Be a US citizen;

Pass a 75-minute reading comprehension test aimed at consular terminology with an 80% or higher score; and

Be listed on the OF-126 travel orders as an accompanying family member.

Once the above requirements are met, the EFM’s name goes on a waiting list and is assigned to a Consular Course on a space available basis. AEFMs can enroll in the course on a space-available basis before actually having a position. For questions concerning this training process, email FLOAskTraining@ state.gov.

CA/EX is the DOS office responsible for answering questions on recruiting and staffing positions under the Consular Associates program. For additional information, go to http://intranet.ca.state.gov/management/staffing/associates/6277.aspx

2.4.5 Professional Adjudication Specialist (PAS) Program

The Bureau of Consular Affairs (CA) established, funds, and manages the Professional Adjudication Specialist (PAS) program.

mailto:[email protected]

http://diplopedia.state.gov/index.php?title=Foreign_Service_Institute

http://intranet.ca.state.gov/management/staffing/associates/6277.aspx


Selectees perform consular functions to include visa and passport adjudication services. Program administration is the responsibility of CA/EX. For further guidance please consult the PAS Program page at http://intranet.ca.state.gov/management/staffing/Professional%20Adjudication%20Specialist/22643.

2.4.6 Diplomatic Security Regional Security Office (RSO) Office Management Specialist (OMS)

During periods of transition, there may be times when the RSO does not have an adequate level of office support. In those instances, DS may be able to assist post with a temporary support position. This assistance by DS is intended to be temporary and clerical in nature – to provide an RSO with at least a minimum level of office support.

The criteria for temporary office support positions are:

A) Owned and funded by DS- not by Post; B) Established at the FP-8 level; C) Limited to 30 hours per week; D) Can only be filled by a USEFM; E) USEFM must be able to obtain and hold a security clearance; F) Can only perform duties 100% devoted to RSO office support; and G) Must NOT be utilized for Leahy vetting or any other non-RSO function.

For questions on this program, contact the Family Member Employment Coordinator for Diplomatic

Security or the DS/IP program manager.

2.4.7 Employment Opportunities for the Foreign Service Employee While on Leave Without Pay (LWOP)

Refer to the HR/OE website Reference Library

http://intranet.ca.state.gov/management/staffing/Professional%20Adjudication%20Specialist/22643


2.5 Employment Scenarios

Once a supervisor selects a family member for a position, HR must determine the candidate’s appropriate hiring mechanism and pay plan. The following list of employment scenarios can assist in this process.

EFM Hiring Hiring Pay Type Preference Mechanism Plan

(when a US citizen)

AEFM working for DOS Yes FMA/Temp FP/FS Overseas

EFM working for another agency that has signed a MOA with DOS

Yes PSA FP/FS Base

Non-US citizen EFM w/ SSN working for DOS or other agency that has signed a MOA with DOS

No PSA FP/FS Base

Federal annuitant (CS or FS) Yes PSA FP/FS Base

USEFM USG military annuitant Yes FMA/Temp FP/FS Overseas

Irregular work week – Intermittent/WAE Yes TEMP FP/FS Overseas

Parent/in-law residing at post with employee but not on orders

No PSA Depends on residency status

USEFM 19-year-old dependent residing with sponsoring employee

Yes FMA/Temp FP/FS Overseas

22-year-old college graduate residing with sponsoring employee but not on orders


Parent/in-law residing at post on sponsoring employee’s on orders



The scenarios below illustrate how to handle the hiring of EFMs at your post. If a situation arises that is not addressed in this guidebook, contact either your regional bureau’s Family Member Employment Coordinator (FMEC) or HR/OE/HRM International HR Manager.

Situation Action

An AEFM is selected for a DOS position in the Mission.

Hire under FMA/Temp.

An EFM is not a US Citizen. Hire under PSA (for participating agencies).

An AEFM is selected for another agency position. Hire under PSA (for participating agencies).

An AEFM and a non-US EFM apply for the same position.

As a US citizen, the AEFM receives a statutory hiring preference so long as s/he is qualified for the position.

The EFM’s sponsoring employee is not under COM authority (for example, an FSO “seconded” to an international organization such as NATO or the World Health Organization).

Hire under PSA; the EFM is not eligible for an FMA or for the hiring preference.

An EFM leaves post temporarily and is expected to return to the same position.

The EFM must request LWOP, AL or SL as appropriate.

An AEFM departs post permanently and wants to retain his/her FMA.

Notify your regional bureau FMEC and payroll to place the AEFM into Intermittent Non-Work Status (INWS).

A US citizen EFM daughter or son, who is a part-time or full-time student enrolled in an educational program within past 12 months and registered to re-enroll in immediate regular school term in the US or elsewhere, applies for an OSHP position.

Hire in accordance with OSHP hiring methods and

compensation.


2.6 Domestic Partners (DPs) as EFMs

The DOS has extended to domestic partners of US Foreign Service officers (when posted at a US Mission) many of the same benefits and allowances provided to opposite-sex spouses of employees. Once a sponsoring employee files an “Affidavit Pursuant to Declaring Domestic Partner Relationship” (form DS-7669), his/her DP is eligible to receive the full range of Mission employment benefits that are available under US law. The benefits conferred to DPs include the USEFM hiring preference and Family Member Appointment.

Both of these benefits are confirmed to DPs if they meet all the criteria required of EFMs for the hiring preference or the FMA.


3. Recruitment

3.1 The Classification Process ............................................................................................... 25

3.2 The Vacancy Announcement (VA)……………………………………………………………………………………26

3.2.1 Languages ............................................................................................................. 27

3.2.2 Sensitive Positions Requiring a Security Clearance .................................................. 28

3.2.3 Probationary Periods & Eligibility to Apply for Other Mission Positions ................... 28

3.3 Screening Applications ................................................................................................... 29

3.3.1 Applying the Hiring Preferences ............................................................................. 30

3.3.2 Family Member Hiring Preference .......................................................................... 32

3.3.3 Veterans’ Hiring Preference ................................................................................... 33

3.3.4 Internal Applicants ................................................................................................ 35

3.3.5 Members of Household (MOHs) ............................................................................. 35

3.3.6 Applicants not at Post ............................................................................................ 36

3.3.7 Applicants Whose Qualifications Exceed the Advertised Requirements ................... 36

3.3.8 DoD Family Members Not Under Chief of Mission .................................................. 37

3.3.9 Second Review of Applications............................................................................... 37

3.4 Documentation and Testing…………………………………………………………………………………………… 38

3.4.1 Required Documentation ....................................................................................... 38

3.4.1.1 Eligibility Documentation…………………………………………………………………………..38

3.4.1.2 Qualification Documentation……………………………………………………………………..38

3.4.2 Testing .................................................................................................................. 39

3.5 The Interview ................................................................................................................. 41

3.5.1 Role of the Post Employment Committee (PEC) ...................................................... 41


3.5.2 Role of the Community Liaison Officer (CLO)…………………………………………………………43

3.5.3 Legal and Illegal Interview Questions…………………………………………………………………….44

3.5.1.1 Birthplace…………………………………………………………………………………………………..44

3.5.1.2 Age…………………………………………………………………………………………………………….44

3.5.1.3 National Origin…………………………………………………………………………………………..44

3.6 The Selection .………………………………………………………………………………………………………………….46


3.1 The Classification Process

When establishing a job, the supervisor develops the Position Description (PD: DS-298) and the Job Discussion Help Sheet (JDHS) and submits them to the HR Office on paper or through the Mission Classification (MClass) system. MClass is a computer-based position classification tool, customized for DOS to help analyze and grade US government (USG) overseas positions. The classification process classifies positions, not the individuals holding the positions. The resulting grade establishes the position’s level of compensation.

The analysis process evaluates five factors of each job:

1. Responsibility; 2. Knowledge; 3. Intellectual skills; 4. Communication; and 5. Environment.

For detailed information on MClass operations, refer to the Interagency Local Employment Position Classification Guidebook.

Regarding eligible family members (EFMs) and locally employed staff (LE Staff), post HR should keep in mind that there are no “EFM positions” or “LE Staff positions.” A position is a position is a position. While some position qualifications may eliminate certain applicants from consideration (for example, requirement for a security clearance, or fluency in host country language), post should not hold any position exclusively for one particular applicant group or another, unless the position requires a clearance. (For further information, see “3.2.2 Sensitive Positions Requiring a Security Clearance.”)


3.2 The Vacancy Announcement (VA)

In a Vacancy Announcement’s “Area of Consideration,” posts may advertise a position in one of the following ways:

A. US Citizen Eligible Family Members (USEFMs)

When using this advertising strategy, posts should restrict the announcement to Mission Notices, Community Liaison Officer (CLO) Newsletter, and CLO-directed distribution lists.

B. In-house Applicants

Applicants who may apply in this area of consideration include:

Current Employees of the US Mission

Eligible Family Members (EFMs), whether or not currently employed at post.

Members of Household (MOH), whether or not currently employed at post.

C. All Interested Applicants/All Sources

Open recruitment to all sources. Use this external advertising strategy when Areas A or B have not been successful.

D. All Sources - US Citizens only

Used for sensitive positions after a first advertisement to US EFMs only has been unsuccessful in identifying a candidate

USEFMs can never be excluded from consideration for any position as they fall into each of these four categories.

When in doubt, we recommend that you advertise vacancies first at the “B” level (In-house Applicants). This selection helps limit the often overwhelming number of external applications for Mission vacancies and supports career advancement of current employees and family members.

If the start date is an important factor, ensure the VA clearly says so. For an urgent need to fill a position, the VA should include the following language:

Pending agency approval, the selected candidate must be able to report to work by [insert date].


Important tips:

The salary is not required on the VA. If listed, however, HR should list Step 1 of the Foreign Service National (FSN) grade and Step 1 of the Foreign Service (FP/FS) base pay schedule. For AEFMs, the final Grade and step are determined by Washington

HR must advertise only the job requirements as listed in Block 15 of the PD: o Each requirement must be stated as either “is required,” “is essential,” or “must.” o HR may not include “desired” or “preferred” criteria on the VA or in the PD.

HR may test only the requirements advertised on the VA. o After the advertised requirement on the VA, HR should include the statement “This will

be tested” so that candidates will know which particular skill(s) or area(s) will be assessed.

The supervisor and HR must ensure a position’s required qualifications on the VA are not so restrictive as to appear designed for a predetermined candidate. HR may also ask the supervisor to justify any requirement that seems excessive, examples of which include but are not limited to:

o A master’s degree for a position that is mostly administrative in scope and function; o Prior work experience of more than five years:

For most Mission positions, incumbents with the appropriate education and language skills can learn and perform a job effectively within 1-3 years.

o A language requirement for the host country language when the position’s duties require little or no use of that language.

3.2.1 Languages

The language levels used in classifying and recruiting for overseas locally hired positions are in

accordance with 3 FAH-2 H-400, Appendix C. (These standards are not the same as those used by the

Foreign Service and outlined in 13 FAH-1 H-242.) Overseas employment language levels are as follows:

Level 1 Level 2 Level 3 Level 4 Level 5

Rudimentary knowledge

Limited knowledge

Good working knowledge

Fluent Professional translator/interpreter or equivalent

Advertising language requirements on a VA must be specific.

Correct: Level 3 (good working knowledge) speaking/reading/writing English is required.

Incorrect: English language is required.

Correct: Level 4 (fluent) speaking/reading/writing English is required.

Incorrect: Working-level English is required.


3.2.2 Sensitive Positions Requiring a Security Clearance

DOS policy holds that a qualified USEFM must staff any locally recruited position that requires a security clearance, except in exigent circumstances. For positions that the Regional Security Office (RSO) and HRO have designated as “sensitive” and requiring a security clearance must first have recruitment restricted to USEFMs.

If no USEFM applies, or if none are fully qualified after the HR eligibility and qualifications review and interview with the supervisor, HR may staff the position with a US Member of Household (MOH) or other Ordinarily Resident (OR) US Citizen eligible to obtain the required security clearance (Area of Consideration- D). HR staffs the position for a fixed-term of two years, or the maximum amount of time local labor law allows for termination without cause (that is, without reason) whichever is less. Where permitted by local labor law, the offer letter and Personal Services Agreement (PSA) must indicate this limitation.

At the end of the fixed-term, HR must re-advertise the position as open only to USEFMs (so long as doing so does not conflict with local labor law). Re-advertising sensitive positions will result in increased employment opportunities for a family member which, in turn, builds Mission morale and supports retention of direct-hire Foreign Service employees.

The VA for sensitive positions must include the following language:

Candidates must be able to obtain and hold a (insert appropriate level) security clearance.

Posts may NOT advertise that a candidate must already have a security clearance to be eligible for consideration, nor can post state that a clearance must be obtained within ‘X” number of months.

3.2.3 Probationary Periods & Eligibility to Apply for Other Mission Positions

Unlike our LE Staff colleagues, whose continued employment is based on a successful evaluation during the probationary period (as determined by local labor law), EFMs do not serve performance probationary periods. Post may terminate the employment of EFM NORs at any time based on post’s needs. 1 Any performance issues that arise during EFM employment, however, should first be addressed via the performance management process before termination.

Current FMA-employed and PSA-employed NOR applicants must wait 90 calendar days before applying for other jobs in the Mission. Applicants who are within the first 90 calendar days of an FMA appointment or PSA shall not be considered for any advertised vacancies. They are deemed “Not Eligible,” regardless of their qualifications or skills.

Two exceptions to this rule: Employee-applicants are eligible to apply for positions within the first 90 calendar days of their employment if they are:

A) Current FMA-employed applicants hired on temporary appointments; or B) Current PSA-employed NORs hired on intermittent /WAE work schedule.


3.3 Screening Applications

Any applicant for employment at a post is entitled to the “right of consideration.” Thus, HR must:

A) Accept the application; B) Review it for eligibility criteria and qualifications;

HR accepts applications from all applicants who apply through the postal service, Internet, intranet, fax, in person, or any other application method that HR determines is an acceptable means of applying for positions.

While screening applications, the HR screener must remove him/herself from the process if s/he believes there is a possibility of a perceived or actual conflict of interest. The Post HR or Management Officer must then assign someone else to conduct the application review.

The application screening process has three steps:

1) Eligibility:

All applicants must meet the “Area of Consideration” (or “Who May Apply”) criteria. If an applicant is outside the “Area of Consideration,” the HR screener must find the applicant “Not Eligible,” regardless of the applicant’s qualifications or skills.

Other applicants who must be found “Not Eligible” include:

NOR EFM employees within the first 90 calendar days of employment at post;

OR employees currently serving a probationary period;

Current OR employees with an Overall Summary Rating (Section 3) of “Unsatisfactory” in their most recent Employee Performance Reports (EPRs);

Employees who are currently on a Performance Improvement Plan (PIP);

Current NORs with a summary rating of “Not Successful”; and/or

Non-host country citizen ORs who did not attach a copy of the required residency and/or work permit, or did not provide the official documentation to HR by the VA’s closing date.

Applications received in HR after the closing date (including those from in-house applicants) are deemed “Not Eligible” and shall not be considered under any circumstance, regardless of the applicant’s qualifications or skills, or being an in-house applicant working in the same section or agency as the position vacancy.

2) Qualifications:

HR compares each application package with the advertised job requirement. If an applicant does not meet the advertised job requirements, the applicant is deemed “Not Qualified.”


IMPORTANT: To be qualified for a position, the applicant must meet all advertised requirements. For example, if the position requires three years of specialized experience, the applicant must have at least three years of work experience in that area. An applicant who has two years and ten months prior work experience does not meet the requirement and is deemed “Not Qualified.”

3) Hiring Preference:

Section 311 of the Foreign Service Act of 1980 (the FS Act), as amended, gives USEFMs and preference-eligible US veterans a hiring preference. If a USEFM or a preference-eligible US veteran:

Meets the Area of Consideration;

Is qualified at the full performance level;

Completes a successful interview; AND

Meets additional selection criteria;

s/he and all other qualified USEFMs and preference-eligible US veterans are considered for the vacancy to the exclusion of all other, non-preference candidates. Non-preference candidates are not considered until all USEFMs and US veterans are eliminated from consideration.

Each preference applicant is responsible for informing HR via Question 18 on the DS-174 Universal Application for Employment that s/he is eligible for one of the following hiring preferences:

USEFM who is also a veteran;

USEFM who is not also a veteran; or

US veteran who is not also a USEFM.

Any USEFM or US veteran applicant who does not meet all job requirements as advertised must be deemed “Not Qualified” and may not be referred for an interview under any circumstance.

3.3.1 Applying the Hiring Preferences

A “hiring preference” means fully qualified, preference-eligible candidates receive first consideration over non-preference candidates.

Two applicant categories receive a USG hiring preference:

Family members, as required by Section 311 (b) of the FS Act; and

Preference-eligible US veterans, as required by 301 (c). The hiring preference categories, in descending order of application, are:

A) A qualified preference-eligible US veteran who is also a USEFM; B) A qualified USEFM OR a preference-eligible US veteran; C) FS employee on LWOP; and D) All other qualified candidates.


When at least one person in the first category (A) above is qualified and is preference-eligible that person (or persons) is (are) considered to the exclusion of all other candidates.

USEFMs who are not US veterans and US veterans who are not USEFMs have EQUAL preference when both are qualified to apply for a vacancy.

NOTE: Non-US EFMs, MOHs, EFMs not under COM authority, US dependents of contractors, and US Citizen ORs do not receive a hiring preference.

IMPORTANT: Agencies under COM authority that have signed the Memorandum of Agreement (MOA) delegating State to use its PSA authority for staffing locally recruited positions follow the DOS recruitment process, including application of the US citizen EFM and US veterans hiring preferences.

“Fully qualified” means the USEFM or US Veteran:

A) Meets the criteria under the “Area of Consideration” (or the “Who May Apply”) section in the job VA; AND

B) Meets all the job requirements as advertised on the VA; AND C) Completes a successful interview. (A successful interview is one in which nothing is discovered

that would disqualify the applicant from further consideration.)

For example, suppose an AEFM, an OR US Citizen, and an FSN apply to the same position with the following education and qualifications:

Requirement AEFM OR US Citizen FSN

High school diploma or host country equivalent

High school diploma Bachelor’s degree Master’s degree

In this example, all applicants meet the minimum requirement. In fact, the OR US Citizen and FSN exceed the education requirement. However, the job requires only a high school diploma. HR must base the qualification screening on the job requirements, not what is desired or preferred. The supervisor and HR must follow this approach for all job requirements that can be screened and confirmed during the interview (such as education, prior work experience, language, etc.).

This approach meets the intent of the USEFM and US veterans’ hiring preferences, which is to give an advantage in hiring to individuals in those preference categories.

The second component for consideration are those skills and abilities that cannot be confirmed or measured on paper, such as interpersonal skills, managerial ability, technical expertise, etc. These skills and abilities are observed and judged during the interview. Again, for the USEFM or US veteran applicant to receive a hiring preference, s/he must be fully qualified. Thus, the preference candidate need not have the best interview, just a successful one. That is, the supervisor must not discover anything negative about the USEFM or US Veteran applicant that disqualifies the candidate from further consideration.


IMPORTANT: All preference-eligible US Citizen EFM and US veteran applicants who meet the advertised requirements after the HR application review and screening are referred to the supervisor or selecting official for an interview, regardless of the number. The supervisor and HR must interview all qualified preference candidates. HR may not refer applications from persons who are neither US Citizen EFM applicants nor US veteran applicants at this point in the recruitment process.

Other selection criteria or factors that may affect post’s final hiring decision include, but are not limited to, proficiency tests (such as required language or computer skills), nepotism, continuity in the position, or staffing gaps. These additional selection criteria are considered only at the end of the recruitment process as part of the preference candidate’s right to “first consideration” under the hiring preference.

HR refers only qualified applicants, in the order of hiring preference, to the selecting official and sets aside all other qualified applications. If no preference eligible applicant is selected, and the Post Employment Committee (PEC) and the Front Office support the decision, HR may then submit non-preference candidate applications to the selecting official for consideration.

3.3.2 Family Member Hiring Preference

In accordance with 3FAM 7120, USEFMs are:

1. US citizens; and 2. The spouse or domestic partner (as defined in 3 FAM 1610) of the sponsoring employee, or a child

of the sponsoring employee, who is an unmarried child at least 18 years old; and 3. Listed on the travel orders or approved Form OF-126 , of the sponsoring employee, (i.e., a direct-

hire FS, CS, or uniformed service member who is permanently assigned to or stationed abroad at a US mission, or at an office of the American Institute in Taiwan; and is under COM authority) and either :

a. Resides at the sponsoring employee’s post of assignment abroad or, as appropriate, at an office of the American Institute in Taiwan; or b. Resides at an involuntary separate maintenance allowance (ISMA) location. (The individual will not be listed on the sponsoring officer’s travel orders, but will have a Form SF-1190, processed authorizing ISMA.) Other family members or dependents on direct-hire FS, CS, or uniformed service member’s travel orders who do not meet all of these criteria are not USEFMs or AEFMs for purposes of 3 FAM 8200.

Family members of USG personnel assigned abroad to organizations not attached to a FS post, such as a military base or an international organization may be considered for Mission vacancies but are not eligible for the Family Member Hiring Preference. They may be considered for locally recruited vacancies if they have the legal status to work at post and meet the qualification requirements.

Family members should be considered for all locally recruited positions so long as the family member applicant is fully qualified for the job as advertised. Whenever a locally recruited position at post becomes vacant, whether the prior incumbent was a family member or LE Staff employee, qualified family members must be permitted to apply and will be considered for the job. The same applies when a new position is first established.


All applicants for a position must meet all required qualifications as specified in the VA to be considered for employment. Post VAs must accurately reflect the qualifications required for effective performance of the advertised position. Qualifications should neither be waived nor embellished to include or exclude any applicant, nor should a VA be tailored to a particular applicant.

An applicant who is not fully qualified for a position as advertised, whether or not the applicant is a family member, may not be referred by the HR Office to the selecting official for further consideration. A job may be advertised at the full-performance and training levels at the same time.

If eligible and qualified, USEFMs receive the preference each time they submit an application in response to a Mission VA.

While MOHs do not receive the EFM hiring preference, they are considered internal applicants and may apply for “B. Internal Applicants” announcements.

3.3.3 Veterans’ Hiring Preference

When hiring abroad, the Department must strike a balance between the hiring preference for eligible US veterans and the hiring preference afforded to US Eligible Family Members (US EFMs). Under Section 206 of the Foreign Service Act of 1980 as amended (the FS Act), Congress has granted the Secretary of State the authority to establish and administer a personnel system within the Excepted Service that is separate and distinct from that which governs the Civil Service. Positions designated under the FS Act are “excepted” from the USG personnel regulations governing the Competitive Service. Accordingly, in overseas employment, the Department complies with OPM Veterans’ Preference policy as far as legally practicable and administratively feasible.

In overseas hiring, the customary “points” system for applying the Veterans’ Preference is not administratively feasible and is not used. The Veterans’ Hiring Preference also does not apply to merit (i.e., internal) promotions, reassignments, changes to a lower grade, reduction-in-force, or transfers.

As of April 1, 2014, any U.S. veteran who accepts a locally recruited position abroad may not invoke this preference again with the same agency at the same post. (EXCEPTION: Any preference-eligible veteran employed before April 1, 2014 may invoke the Veterans’ Hiring Preference once more with the same agency.)


How to Determine US Veterans’ Hiring Preference Eligibility

Not all active duty service qualifies a US veteran for the Veterans’ Hiring Preference (5 USC2108).

Every applicant who claims the US Veterans’ Hiring Preference must submit a copy of his/her most recent Certificate of Release or Discharge from Active Duty (DD-214) with all other required application materials. The DD-214 by itself does not identify a US veteran as being “preference eligible.” Rather, the DD-214 provides information for HR to determine whether a US veteran meets the preference eligibility criteria.

When applying the Veterans’ Hiring Preference for local Mission employment opportunities, a “preference-eligible” veteran candidate is a US citizen or non-citizen who holds a DD-214; has been discharged or released from active duty in the armed forces under honorable conditions, and meets the criteria of one of these categories:

(1) An individual who served on active duty in the armed forces: o For a period of more than 180 consecutive days, as defined by section 101 (21) of title

38, any part of which occurred beginning 9/11/01; OR, o During the period 8/2/90 – 1/2/92; OR, o For a period of more than 180 consecutive days any part of which occurred between

1/31/55 and 10/15/76 (not including as a Reserve for service in the Army National Guard or the Air National Guard or as a Reserve for service in the Army Reserve, Navy Reserve, Air Force Reserve, Marine Corps Reserve, or Coast Guard Reserve); OR,

o During the period 4/28/52 – 7/1/55; OR, o In a campaign or expedition for which a campaign badge has been authorized (as

indicated on official documentation).

(2) A disabled US veteran who has: o Served on active duty in the armed forces; AND, o Established the present existence of a service-connected disability or is receiving

compensation, disability retirement benefits, or pension because of a public statute administered by the Department of Veterans Affairs or a military department.

(3) A retired member of the armed forces who is entitled, under statute, to retired, retirement,

or retainer pay on account of service and is: o Disabled; OR, o Retired below the rank of O-4 (major or its equivalent).

(4) A recipient of a derived preference (e.g., certain spouses, unmarried widows and widowers,

and mothers of veterans) as defined in 5 USC 2108(3)(A) – (H)).


Key points when reviewing an application from a candidate seeking the Veterans’ Hiring Preference:

US veteran applicants must provide a copy of their Form DD-214 along with their application;

A US veteran is not always a US Citizen, and not all active duty service qualifies a US veteran for the Veterans’ Preference;

The DD-214 by itself does not identify a US veteran as being “preference eligible”;

HR/OE can assist post HR in evaluating the US veterans’ preference eligibility official documentation as needed. HR/OE’s determination of eligibility is final;

An applicant claiming a hiring preference based on disabled US Veteran status must also provide a recent (within the past 12 months) letter from the Department of Veterans’ Affairs showing the present existence of a service-connected disability;

A US veteran must be both eligible for the hiring preference and fully qualified for the advertised position – including falling within the “Area of Consideration” (or the “Who May Apply”) section in the VA and having a successful interview (that is, nothing is discovered that would disqualify the applicant from further consideration);

The Veterans’ Preference does not apply to merit (that is, internal) promotions, reassignments, changes to a lower grade, or transfers; and

IMPORTANT: Qualified USEFMs and preference-eligible US veterans (who are not also USEFMs) have EQUAL hiring preference.

3.3.4 Internal Applicants

For employment purposes, internal applicants include USEFMs, non-US citizen EFMs, and MOHs, regardless of whether they are currently employed at post.

Whenever possible, supervisors should consider using current employees who are eligible to apply and are qualified (after reviewing/screening applications in HR and interviewing) to staff vacant positions. Management and employees benefit when vacancies are staffed from within. Internal employees have abilities and potential that have already been assessed on-the-job, and they are familiar with typical post functions and administrative procedures.

3.3.5 Members of Household (MOHs)

An MOH is an individual accompanying a direct-hire Foreign Service, Civil Service, or uniformed service member who is assigned to a post and is under COM authority (or at an office of the American Institute in Taiwan). An MOH may be a parent, unmarried partner, or other relative or adult child who falls outside the DOS’s current legal and statutory definition of family member. An MOH need not be a US Citizen for consideration for post employment.

The USG sponsoring employee must officially declare to the COM that the MOH is:

Part of his/her household;

Not an EFM; and

Not on the sponsoring employee’s travel orders. For employment purposes, the VA’s “B” area of consideration (“Internal Applicants”) includes non-US citizen EFMs and MOHs, regardless of whether they are currently working at post.


Section 4.2.2 of this guidebook provides information on obtaining residency permits for MOHs.

NOTE: Because MOHs are not EFMs and are often considered ORs under local law, the recruitment and employment policies of this guidebook do not apply to them. The Local Employment Policy Guidebook provides guidance on employing staff on a PSA.

3.3.6 Applicants not at Post

EFMs officially assigned to post and listed on their sponsoring officer’s OF-126 or assignment notification may apply for Mission-advertised vacancies even before they arrive at post. They are considered “Internal Candidates” once HR receives a Travel Message One (TM ONE) or other official notification of the direct-hire employee’s assignment. An EFM on a direct-hire employee’s orders is considered a Not Ordinarily Resident (NOR) and is generally compensated on the FP/FS pay plan.

A USEFM is responsible, at the time of applying for a position, for ensuring that HR is aware of his/her status as a USEFM, which entitles him/her to the hiring preference.

HR must accept applications from any candidates who currently reside outside of the host country, because any applicant for employment at a post is entitled to the “right of consideration.” This right means that HR must:

A) Accept the application; and B) Review it for eligibility criteria and qualifications.

Although an applicant not yet at post is entitled to the “right of consideration,” the supervisor may determine how long a position can be held vacant for an incoming EFM or MOH. The supervisor should weigh their decision in consideration of the affect the vacancy will have on the section and/or Mission, and on post morale.

For example it may be reasonable for a supervisor to accept applications from individuals who are expected to arrive at post within 60-90 days of the closing date of the vacancy announcement. In another instance, a supervisor may grant a longer time to arrive at post when a family member will require or benefit from specialized training at FSI prior to arriving at post. Post employment opportunities for family members greatly affect post morale so the hiring supervisor should carefully consider his/her options.

3.3.7 Applicants Whose Qualifications Exceed the Advertised Requirements

Generally, hiring decisions are based upon the job’s full-performance level requirements as advertised. However, the supervisor or selecting official may also want to consider the qualifications and skills/abilities that an applicant has beyond what was advertised.

Are such considerations appropriate? Yes, but only when comparing the same category of applicant. A supervisor or selecting official may consider excessive qualifications, or other factors that exceed the position’s advertised requirements as contained in the VA, only when considering two or more of the same category of applicant.


The descending order according to hiring preferences, are:

A) USEFMs who are also US veterans; B) USEFM who are not US veterans, and US veterans who are not USEFMs; C) FS employees on LWOP; and D) All other candidates.

When an applicant category has only one candidate, the supervisor or selecting official must consider only the position requirements as stated on the VA. In other instances, when there are two or more candidates in the same category, the supervisor or selecting official may consider qualifications and skills/abilities of the candidates beyond what was advertised.

For example, if both John and Jane are US veteran EFMs (in the same preference category), the hiring official may factor in Jane’s MA degree in her selection for the position.

If John is a US veteran and a USEFM (with two categories of preference), and Jane is only a USEFM (with one hiring preference), John must be assessed for the position in his own right and without any consideration for Jane’s degree that exceeds what is required for the position.

A preference candidate may not be declined because s/he is considered “over qualified” for a particular vacancy.

3.3.8 DoD Family Members Not Under COM Authority

DoD deploys a large number of personnel and family members to military bases overseas. In such situations, the personnel and their families fall under the DoD’s official authority, not under the COM’s. In cases of these DoD family member, who are typically NOR applicants:

They are not considered USEFMs for purposes of: o Receiving a hiring preference; or o Being appointed under an FMA or temporary appointment if selected for a DOS

position.

Post HR hires DoD employee family members who are NORs under a PSA with compensation under the FP/FS Base pay plan.

Depending on the area of consideration (for example All Interested Candidates) a NOR DoD employee family member may be a US veteran and may be entitled to the US Veteran hiring preference. However, he/she will be hired under a PSA.

3.3.9 Second Review of Applications

The supervisor, agency head, deputy chief of mission (DCM), or ambassador may request a second screening of all applications if there is a perception that the DOS’s Equal Employment Opportunity (EEO) policy has been violated.


3.4 Documentation and Testing

3.4.1 Required Documentation

Proper and complete documentation is required to determine eligibility and qualifications of an applicant. There are two types of application documentation: that which supports a candidate’s eligibility, and that which supports a candidate’s qualifications. All applicants must apply for Mission positions using the Universal Application for Employment (DS-174)

3.4.1.1 Eligibility Documentation

Eligibility documentation includes such things as proof of residence or a visa that allows for employment. The actual documentation required for local employment applications will vary from country to country. Eligibility documents must be submitted with the original DS-174 Universal Application for Employment.

Non-resident applicants must provide appropriate, verifiable documentation with their applications that prove they have the right to live and work in the country where the recruiting post is located. Required documents may include, but are not limited to, a work permit, residency permit, and/or visa. If a non-resident applicant does not provide such documentation, or the documentation does not prove the applicant is authorized to live and work in the country of hire, HR may not screen the application. Instead, post must consider the applicant as “Not Eligible,” regardless of the applicant’s qualifications, skills or hiring preference.

On occasion, a post has waived this procedure and proceeded with an interview. In some cases, a post has even continued through to the selection, only to find their final candidate still has not delivered the eligibility documentation on the day work is set to begin. This practice of interviewing someone who cannot establish their eligibility is fraught with potential for wasting the time of busy USG employees and creating undue hiring delays. Additionally, a candidate who fails to provide such documentation during the recruitment process should raise serious questions. HR should place the application of any candidate, no matter how well qualified on paper, in the “Not Eligible” stack if that person does not submit the required eligibility documentation by the VA’s closing date.

Some posts have implemented policies to assist applicants who are non-nationals of the host country to obtain the required permits to work lawfully in the host country (such as residency and/or work permits). Those post policies must be published and applied equally to all selected candidates.

3.4.1.2 Qualifications Documentation

Qualifications documentation includes such documents as skill certifications and school transcripts. To those candidates deemed qualified on paper, HR should give clear instructions regarding the required qualifications documentation and the submission deadline. HR should make every reasonable effort to obtain qualifications documentation before the interview. If that is not possible, the candidate may provide this material on the interview date. If the candidate does not provide HR with the required qualifications paperwork, the scheduled interview does not happen. Together, HR and the supervisor or selecting official must decide whether to postpone the interview or cancel it.


Candidates are responsible for submitting evidence of academic credentials as requested by HR. Receipt of educational transcripts may take several days to several weeks. In rare cases, a candidate may find it impossible to provide a transcript. HR offices should consider local circumstances when deciding whether to extend, or even waive, the deadline for submission of required paperwork.

3.4.2 Testing

Tests assess a candidate’s skills and may help predict a candidate’s effectiveness in a particular job. Tests must be relevant to a position’s duties, and posts may test only the requirements advertised on the VA. HR includes the statement “This will be tested” after an advertised requirement on the VA so candidates will know that a particular skill or area will be assessed.

Testing must be conducted equitably – that is, the test (whether for language or keyboard skills or safe driving) is standardized and administered in the same way to all applicants for the particular recruitment.

The results of improperly administered tests may be challenged. Therefore, before giving any test, HR should ensure:

There is a suitable testing site and all needed supplies and equipment are available;

Office or other equipment for test use is in good working condition; and

Instructions are clear and concise:

o Before beginning a test, HR or the subject matter expert (SME) conducting the test must confirm that the applicant completely understands the instructions.

HR is responsible for all testing, except in specialized areas. HR should not ask supervisors or selecting officials to test candidates in any area other than a specialized area of expertise (such as information management, medical, financial management, firearms/weapons, etc.). The test results become a part of the candidate’s application package.

Post HR should conduct language, keyboard, and other required testing before the interview. A candidate who does not pass one or more of the required tests is not interviewed, because the test results established that the candidate is not qualified. This policy has no exceptions!

If many candidates are being considered, HR should consider testing on one day and interviewing on another. If the two-day procedure is used, HR must tell candidates in advance, whenever possible, so candidates can arrange for two separate visits to the post compound.

Generally, post-conducted test results administered by HR or the appropriate SME in an office or agency under COM authority are valid for one year from the date the test was administered. Licensing, certification, or other agency or host country requirements, however, may require new testing in less than the year.

All post-conducted test results are considered valid for all applications that the applicant submits during the one year validity period. However, in consultation with the supervisor or selecting official as appropriate, HR may consider an applicant’s request for re-testing during the one year validity period.


HR is authorized to test applicants within the one year so long as the re-testing process is conducted equitably without the appearance or perception of favoritism or pre-selection of any candidate.

HR is not required to conduct additional testing, even if the candidate is an USEFM or US Veteran who receives an official hiring preference. HR’s decision to conduct or not conduct additional tests is final.


3.5 The Interview

The supervisor or selecting official must interview every qualified USEFM and every qualified US veteran in the order of the hiring preference. HR forwards to the supervisor or selecting official the applications according to the order of preference (for example, first and only those applications of USEFMs who are also eligible for the US veterans’ hiring preference; if none, then first and only those applications of preference-eligible US veterans and USEFMs.)

The supervisor and HR must conduct interviews – in person, by telephone, or via digital video conference (DVC) – before filling any position, even if there is only one qualified candidate. There are no exceptions to this requirement to conduct interviews.

The hiring preference is granted to all qualified applicants even if they do not currently reside in-country. As such, the supervisor and HR must interview all qualified non-resident applicants who have a hiring preference. The applicant may either travel to the interview at his/her own expense, or HR and the supervisor or selecting official may conduct a telephone or DVC interview. For telephone or DVC interviews, HR may choose to verify original documents confirming qualifications at the time of hire, with the understanding to the candidate that if the documents cannot be produced at the time of hire, the hiring cannot take place

3.5.1 Role of the Post Employment Committee (PEC)

The Post Employment Committee (PEC), among other things, ensures that the USEFM and US Veterans’ hiring preferences are properly and equitably applied. The PEC:

Directs the CLO (representing the PEC) to attend as an observer (except in cases where the CLO is the selecting official; e.g. CLO Assistant, or Newsletter Editor) all interviews conducted with preference-eligible EFMs or Veterans; (In the CLO’s absence, the PEC requests another of its members to attend as an observer on all interviews for the position)

If non-preference candidates are being considered for the recruitment due to non-selection of a preference candidate, the CLO attends those interviews as well;

The CLO or designated substitute may take notes but may not ask any interview questions;

Two AEFMs working as co-CLOs may alternate on the PEC;

An AEFM CLO Assistant serving as an Acting CLO may substitute for the CLO on the PEC.

“FAUX CLO” administrative assistants shall not serve as the CLO’s substitute in serving as the PEC representative at interviews (the PEC must assign another member to serve in this capacity.) This policy serves the objective of including the family member advocate in Mission’s hiring. When feasible, an HR professional should also attend all interviews of USEFMs and US Veterans. If the supervisor or selecting official is not a US direct-hire employee, the US HR officer/assistant must attend the interview. A HR official is present for all interviews of USEFMs and US Veterans to:


A) Offer expert guidance on 3 FAM, host country law, and other recruiting guidelines;

B) Provide a witness to prevent subsequent claims that an applicant was asked illegal questions (thereby reducing the chance of litigation action against the USG); C) Ensure that neither the supervisor nor the selecting official makes unauthorized commitments (for example, a “promise” or “guarantee” of salary, benefits, leave, working conditions, work schedules, etc.); D) Make an interview record in case an unsuccessful candidate challenges post management over an unfavorable hiring decision.

The PEC:

Meets virtually or in-person with the selecting official and the CLO after all interviews are conducted to discuss the selecting official’s choice. Factors for the PEC to consider are any Mission-wide management considerations such as, conflicts of interest, post morale issues, continuity in certain section or agency positions, etc.;

Sustains the selection or non-selection of a USEFM or US Veteran as proposed by the supervisor or selecting official in cases of disagreement, the PEC and supervisor cooperate to reach a mutually agreeable decision. They may consider, among other options:

Further discussion of the qualified candidates and/or a joint review of the application materials;

A second round of interviews by HR, the supervisor/selecting official, and the CLO (representing the PEC) or other designated PEC member; or

A second round of interviews by HR, the supervisor/selecting official, and the entire PEC.

Documents every hiring decision that impacts a preference-eligible candidate in a memorandum to the Front Office.

o HR provides the memorandum’s format and may be designated by the PEC Chair to compose the memoranda.

In any cases of perceived or actual conflicts of interest (for example, nepotism), that PEC member must remove him/herself from the interview and selection process, and the POST HR or Management Officer must assign someone else to participate in his/her stead. (For example, a CLO who is a selecting official’s dependent must remove him/herself to avoid the perceived or actual conflict of interest.)

With respect to filling a post’s vacant CLO position, the PEC also:

• Interviews collectively and per 2 FAM 113.7-3(C), family members (including the incumbent CLO) may be added to the PEC for the selection process; and;

• Selects the candidate for the CLO position; and • Conveys that selection to the Front Office for concurrence. Note: The sitting Co-CLO, should sit in on the interviews for a new Co-CLO as an observer, and should be included/consulted on discussions regarding the candidates.


The PEC should not support a supervisor or selecting official’s decision of non-selection based on a candidate who is deemed to be over-qualified for a position. If the candidate meets the qualifications, the candidate should be interviewed and, as appropriate, selected for the position. All committee

deliberations are CONFIDENTIAL.

Individuals required to attend an interview with preference candidate applicants include the following:

Applicant;

Supervisor or selecting official;

US HR Officer senior LE Staff HR Specialist, or HR Assistant responsible for EFM employment;

Community Liaison Office (CLO) representing the PEC*; and,

Optionally, another impartial US direct-hire employee from a different office or agency.

*NOTE: The CLO is designated to represent the PEC at all interviews involving family members with a hiring preference or US Veteran preference candidates. The CLO may take notes but may not ask any interview questions. During staffing gaps between CLOs, a rotating PEC member is present at all interviews. (“FAUX CLO” administrative assistants may not fill in for the CLO position as the PEC representative at interviews.)

In instances when a post interviews a combination of preference and non-preference candidates for a position (for example, the sole preference candidate is found in the interview to be unsuitable for the position), the CLO (or in the CLO’s absence, a rotating PEC member) must attend all remaining interviews for that position, including those with non-preference candidates. Before interviews with any non-preference applicant can take place, the PEC must sign off on the non-selection of a preference candidate with a memo which provides the reason for non-selection.

If no preference candidates are being interviewed for a job, the CLO does not participate in the interview process.

At the outset of the interview, the HR representative should explain to all candidates the PEC’s role and the CLO’s purpose in attending the interview.

3.5.2 Role of the Community Liaison Officer (CLO)

The CLO advocates for family member employment at post. This involves:

Providing information on employment opportunities within the Mission and on the local economy to family members.

Working independently and with HR to cultivate employment opportunities inside the Mission for family members;

Working closely with HR to ensure all Mission vacancies are advertised as widely as possible within the post community and ensuring family members are aware of current vacancies;

Providing feedback to HR and management regarding the effectiveness of family member employment and recommending policy initiatives and solutions to improve family member employment opportunities;

Encouraging and facilitating alternative employment options such as telework and home-based businesses for family members;


With HR, coordinating career planning and employment workshops and seminars for family members;

With HR, coordinating the Overseas Seasonal Hire Program (OSHP);

Educating family members on Department of State employment programs and resources;

Working with the post or regional Global Employment Advisor (GEA) to help family members explore meaningful career development opportunities;

Encouraging and assisting family members to apply for training opportunities;

Updating and submitting the post’s Family Member Employment Report (FAMER) with input from HR by April 15 and October 15 of each year; and

Serving as a non-voting Post Employment Committee (PEC) member.

3.5.3 Legal and Illegal Interview Questions

Included below are typical family member interview topics with examples of legal and illegal questions. A more comprehensive list of questions can be found in the Local Employment Recruitment Policy Guidebook.

3.5.1.1 Birthplace

Legal: Illegal:

“Are you legally eligible to work in (insert country)?”

“Are you able to provide proof of employment eligibility if hired?”

“Where were you born?”

“Where were your parents or spouse born?”

3.5.1.2 Age

Legal: Illegal:

“Are you 18 years of age? If hired can you provide proof of your age?

“How old are you?”

3.5.1.3 National Origin

Legal: Illegal:

“What language(s) do you speak, read, or write fluently?”

Any questions about candidate’s lineage, ancestry, national origin, lack of facility with English, accent, parentage, nationality, or nationality of his/her parents or spouse


3.5.1.4 Marital Status and Relatives

Legal: Illegal:

“What are the names of relatives already employed by the US Government?”

“What is your marital status?”

“How many children do you have? What are their ages?”

3.5.1.5 Leave/Availability

Legal: Illegal:

“Is there anything that would prevent you from starting work on or about [insert appropriate date]?”

“Our office is currently understaffed. Is there anything that would prevent you from working over the next [insert 1-3 month period]?”

“Do you have any (annual/sick leave or LWOP) plans for the future?”

“Do you plan on taking any time off after being hired?”

“Will you be going on home leave? Rest and recuperation leave?”

“How many (annual/sick leave) days did you take during the [insert timeframe, such as previous year or previous six months]?”

3.5.1.6 Citizenship/Residency

Legal: Illegal:

“Are you a US Citizen?”

“Are you a legal US resident (that is, a ‘green card holder’)?”

“Do you have a legal right to reside in this country?”

“What is your country of citizenship?”

“Are you a naturalized or native-born citizen?”


3.6 The Selection

After all interviews are conducted, the supervisor or selecting official considers each candidate interviewed, reviews his/her own interview notes, and notes from HR. The supervisor also reviews the application packages again and the overall impressions of each interview. The supervisor or selecting official then makes a decision on the best candidate for the job, and informs HR in writing with a short justification.

PEC’s Review of the Supervisor’s Selection

If only one USEFM or US Veteran applies for the position and is interviewed, and the supervisor or selecting official selects that USEFM or US Veteran, then the PEC does not have to meet. HR uses the standard formatted memorandum, enters the required information, and provides it to the PEC Chairperson for signature. The memorandum is then sent to the Front Office indicating that only one US EFM (or US Veteran) applied for the job, was interviewed, and was selected.

If more than one USEFM or US Veteran candidate has been interviewed, the supervisor or selecting official informs the PEC of the USEFM or US Veteran selection.

--If the PEC concurs, the Chairperson sends a memorandum to the Front Office requesting concurrence in hiring.

--If the PEC questions or does not concur with the selection of the supervisor or selecting official, a meeting of the PEC is convened. The supervisor or selecting official (with input from the CLO who attended the interviews, as needed) should provide justification or an explanation for the selection of one USEFM or US Veteran over another. The discussion continues until the supervisor and majority of the PEC agree on the selection. The final selection is documented in writing in a memorandum from the PEC Chairperson to the Front Office requesting concurrence in hiring.

--If the PEC and the supervisor or selecting official cannot reach a shared conclusion, the PEC may request that HR and the supervisor or selecting official interview the candidates again with the CLO and one or more members of the PEC present.

-- After the second round of interviews, if the PEC and the supervisor or selecting official still cannot reach a shared conclusion, the COM or DCM adjudicates the arguments and makes the hiring decision. (This responsibility may be delegated to the Management Officer or HRO, barring any nepotism conflict.) The HR staff then prepares a memorandum outlining the steps taken in this selection and provides it to the selecting official and the PEC Chairperson for their signatures. The original memo is kept in a file in the HR office until one year after the departure of the selected employee from post.


4. Employment

4.1 Hiring………………………………………………………………………………………………………………………….….51

4.1.1 Hiring on a Family Member Appointment ………………………………………………...............50

4.1.1.1 Highest Previous Rate (HPR)…………………………………………….……………………….…51

4.1.1.2 Superior Qualifications Rate (SQR)…………………………………………………………….. 52

4.1.2 Hiring on a Personal Services Agreement………………………………………………………………..54

4.2 Determining Residency………………………………………………………………………………….………………..55

4.2.1 Dual Nationals ....................................................................................................... 56

4.2.2 Residency and Work Permits for MOHs .................................................................. 56

4.2.3 Loss of EFM Employment Status ............................................................................. 57

4.3 Determining the Pay Scale .............................................................................................. 58

4.4 Nepotism ....................................................................................................................... 59

4.4.2 New Relationships After Hire………………………………….………………………………………………61

4.5 Security Clearance .......................................................................................................... 62

4.5.1 Interim Security Clearance ..................................................................................... 62

4.5.2 Security Clearance Revalidation Guidelines………………………………………………………….. 62

4.5.3 Security Clearance Reciprocity Guidelines……………………………………………………………. 63

4.5.4 Security Clearance Conversion Guidelines………………….…………………………………………. 63

4.6 Compensation ………………………………………………………………………………………………………………. 64

4.6.1 Earnings and Leave Statements and W-2s ............................................................... 63

4.6.2 Allowances ............................................................................................................ 63

4.6.3 Within-Grade Increase (WGI) ................................................................................. 64

4.7 Benefits Available to FMA Employees ............................................................................. 65


4.7.1 Federal Employees Group Life Insurance (FEGLI) ..................................................... 66

4.7.2 Federal Employee Health Benefits (FEHB) ............................................................... 66

4.7.3 Federal Employees Retirement System (FERS) ........................................................ 66

4.7.4 Thrift Savings Plan (TSP) ........................................................................................ 66

4.7.5 Executive Order Eligibility and Non-Competitive Appointments .............................. 67

4.7.6 Benefits Available to Domestic Partner FMA Employees ......................................... 67

4.8 Benefits Available to USEFM PSA Employees ................................................................... 68

4.9 Work Schedules .............................................................................................................. 69

4.9.1 Temporary Appointments (TEMP) .......................................................................... 69

4.9.2 Intermittent/When Actually Employed (WAE) Work Schedule ................................ 70

4.10 Leave for FMA Employees ............................................................................................. 71

4.10.1 Annual Leave (AL) ……………………………………………………………………………..…………………71

4.10.2 Sick Leave (SL) ..................................................................................................... 72

4.10.3 Pack-Out and Unpacking ...................................................................................... 72

4.10.4 Home Leave ......................................................................................................... 72

4.10.5 Leave Without Pay (LWOP) .................................................................................. 72

4.10.6 Military Leave ...................................................................................................... 73

4.10.7 Voluntary Leave Transfer Program (VLTP) ............................................................. 73

4.10.8 Family Medical Leave Act (FMLA) ......................................................................... 73

4.10.9 Domestic Partners and Leave ............................................................................... 74

4.11 Leave for NOR PSA Employees ...................................................................................... 74

4.11.1 Annual Leave (AL) ………………………………………………………………………………………………..74

4.11.2 Sick Leave (SL)………………………………………………………………………………………………………75

4.11.3 Pack-Out and Unpacking………………………………………………………………………………………75


4.11.4 Home Leave ......................................................................................................... 75


4.1 Hiring

Whenever an EFM is selected for a Mission position, several steps must be taken before an offer letter can be sent.

4.1.1 Hiring on a Family Member Appointment (FMA)

Before the Offer:

Post HR addresses any perceived or actual nepotism conflicts with post’s HR/OE/HRM International HR Manager;

The PEC convenes (virtually or in-person), the Chair submits the decision memo to the Front Office, and post HR files a copy (for Office of Inspector General (OIG) purposes, all hiring decisions must be documented).

Once the Front Office concurrence has been received, post HR contacts the selected candidate to confirm his/her continued interest in the position.

Post HR prepares and extends a written provisional offer of employment to the selected candidate which includes a salary range which is subject to bureau or agency authorization.

Post HR completes the Local Compensation Pay Plan Worksheet (LCWS) (with candidate, as necessary) and confirms the correct hiring mechanism (FMA or PSA).

For existing positions, post must use the position number under the US staffing pattern or contact the regional bureau’s Family Member Employment Coordinator (FMEC) to obtain a position number. For newly created positions, the FMEC must have approved the MClass evaluation.

An AEFM selected for a DOS position must be hired under an FMA or temporary appointment. There are no exceptions to this policy.

Post HR may not use a Personal Services Agreement (PSA) to expedite the hiring of an AEFM while waiting for bureau authorization.

Extending the offer:

The FMEC determines the step of the grade, and authorizes hiring and start dates.

Upon receipt of authorization cable from the bureau FMEC, post HR mails/ emails the candidate a conditional (i.e. security clearance, etc.) offer of employment indicating the salary and a completed Local Compensation Pay Plan Worksheet (LCWS); and

HR receives two signed documents from the candidate: offer of employment and LCWS.

Upon the candidate’s acceptance, post HR:

Notifies the non-selected applicant(s) in writing that a candidate has been selected;

If applicable, includes Highest Previous Rate (HPR) or Special Qualifications Rate (SQR) requests on the SF-52;


For sensitive positions, initiates a DS-1143 online through e-QIP to validate or initiate the security clearance;

Completes the SF-52 (request to hire)cable to the bureau;

Before entry on duty:

If requested, FMEC has authorized HPR or SQR;

For sensitive positions, an interim or full clearance has been granted by DS;

For non-sensitive positions, results of the Name Agency Check have been reviewed by the RSO and HRO to be used to factor to determine suitability for employment;

Has the candidate complete the hiring documents; and

For Pay Intake, scans a memo (copy to FMEC) with the candidate’s: o Name; o Social security number; o Date of birth; o Fiscal data; o Direct deposit form with a voided check; and o W-4’s (State and Federal).

Per FMEC SF-52 or email authorization to hire, notifies post timekeeper of the candidate’s start date;

Scans and mails the candidate’s original benefits selection forms to the bureau. All FMA employees must begin work at the beginning of a pay period.

4.1.1.1 Highest Previous Rate (HPR)

In an effort to support competitive compensation for Appointment Eligible Family Members (AEFM) employed on an FMA, Highest Previous Rate (HPR) provides the maximum payable rate based on the candidate’s rate of basic pay earned in prior federal service while on a regular tour of duty on one or more federal appointments of at least 90 calendar days without a break in service. HPR is not an entitlement nor can it be authorized based on non-federal government pay scales. HPR is requested at post management discretion before the candidate’s entry-on-duty (EOD).

An AEFM is eligible for HPR if s/he:

Will be employed under a Family Member Appointment (FMA); AND

Has prior federal service of at least 90 consecutive days. Note: HPR is not earned on WAE appointments for positions established for less than one year. HPR is not automatic; Post HR must request HPR via the SF- 52 cable to the regional or functional bureau’s FMEC. The HPR authorization is based on available funds and is applied only at the time of hire. If funds are not available, the employee will be placed at Step 1 of the grade of the position or in accordance with post/bureau policy.


If funds become available after the time of hire, there is no provision to permit a waiver or exception to approve HPR on a retroactive basis.

HPR authorization is not guaranteed for all requests. All bureau determinations on HPR are final.

If the candidate’s previous federal salary is more than the highest step of the position’s grade, HPR may be set at the highest step within the grade range.

The successful candidate submits a copy of the SF-50 documenting HPR to post’s HR. The post HR will request HPR via cable (SF-52) to the regional or functional bureau’s FMEC. If the SF-50 is not available post must use “Remark P03: Pay rate subject to upward retroactive adjustment upon verification of prior USG direct hire service.”

When requesting HPR, the post HR must:

Indicate “HPR Requested” in theSF-52 cable; and

Fax the SF-50 (Personnel Action) to the bureau FMEC.

All eligible and prior USG service is creditable for HPR regardless of agency. The FMEC will review the application and notify post’s HR of the bureau’s decision.

A similar rate, Prior Federal Rate (PFR) is available for employees hired on a PSA. Further information can be found in the Local Employment Policy Guidebook.

4.1.1.2 Superior Qualifications Rate (SQR)

Superior Qualifications Rate (SQR) is a higher rate of pay granted in recognition of an AEFM’s “unusually high and unique” qualifications. SQR is not an entitlement. SQR must be requested at post management’s discretion before the candidate’s entry on duty (EOD). It can be applied for any Family Member Appointment (FMA) position at grade levels FP-1 and below.

An AEFM is eligible for SQR if he/she:

Is a first-time appointee under a FMA or TEMP appointment; OR

Is reappointed with a break-in-service of at least 90 days from the last federal appointment.

SQR is not automatic; post’s HR must request SQR via the SF-52 cable, to the regional or functional bureau’s FMEC. The FMEC forwards the application packet to post’s HR/OE/HRM International HR Manager for review and authorization. HR/OE will authorize the SQR if the candidate has a relevant combination of work experience, compensation history, education and training of such quality that the Mission may reasonably expect a higher level of performance beyond the requirements of the job, and is clearly superior to what would be expected from a well-qualified candidate for the job being recruited (e.g. advanced degrees, publications, or recognition by professional organizations).


The HR/OE/HRM International HR Manager confirms the position grade and provides a maximum salary rate (step) that post may offer the candidate. Given post’s consideration of available funds at the time of hire, the Mission may hire the candidate at any step of grade not to exceed the HR/OE/HRM International HRM Manager established ceiling.

SQRs cannot be granted or paid to an employee after EOD. Post HR must request and HR/OE/HRM International HR Manager must authorize the SQR before the AEFM starts working in the position. There is no provision to permit a waiver or exception to approve SQR on a retroactive basis.

Requests for SQR authorization are not guaranteed. HR/OE/HRM determinations on SQR are final.

When requesting SQR, the application packet must contain the following documents:

A cover memo/e-mail supporting the request based on the candidate’s prior work experience that directly relates to the position requirements;

Job application or resume with each job described in the work history section to include: o Start and end dates (month and year); o Summary of responsibilities; o Assigned percentages of relevant work performed; and o Salary and work schedule.

Copies of relevant professional certifications and licenses, if required by the VA;

List of relevant training, awards, achievements and accomplishments; and

Job description for the position to be filled.

A similar rate, Advanced In-Hire Rate (AIR), is available for employees hired on a PSA. Further information can be found in the Local Employment Policy Guidebook.


4.1.2 Hiring on a Personal Services Agreement (PSA)

The PSA hiring mechanism is used to hire:

EFMs receiving a non-military USG annuity;

Non-US EFMs;

MOHs;

Locally resident US Citizens (OR);

FSN/LE Staff (OR)

US NORs residing in country but not under COM authority(e.g., spouse of a foreign diplomat); US and non-US citizen spouses of USG contractors;

EFMs who are not eligible for a Family Member Appointment; and

USEFMs who are on approved ISMA.

An AEFM selected for a DOS position must be hired under an FMA or temporary appointment. There are no exceptions to this policy.

HR may not use a Personal Services Agreement (PSA) to expedite the hiring of an AEFM while waiting for bureau authorization.

Before the offer:

Post HR addresses any perceived or actual nepotism conflicts with post’s HR/OE/HRM International HR Manager;

The PEC convenes (virtually or in-person), the Chair submits the decision memo to the Front Office, and HR files a copy. All hiring decisions must be documented.

Once Front Office concurrence has been received, HR contacts the selected candidate to confirm his/her continued interest in the position and makes a verbal, provisional offer; and

HR completes the Local Compensation Pay Plan Worksheet (LCWS) (with candidate, as necessary) and confirms the correct hiring mechanism (FMA or PSA).

Extending the offer:

For non-DOS agencies, HR obtains authorization from the hiring agency;

HR mails or emails the candidate a conditional offer of employment indicating the salary range and a completed Local Compensation Pay Plan Worksheet (LCWS);

Post HR receives two signed documents from the candidate: offer of employment and LCWS.

Upon the candidate’s acceptance, post HR:

Notifies the non-selected applicant(s) in writing that a candidate has been selected;

If applicable, requests the Advance in Hire rate (AIR) or Prior Federal Rate (PFR) through post’s HR/OE/HRM International HR Manager;

Prepares the Personal Services Agreement Personnel Action (JF-62A);

For Pay Intake, prepares and scans a memo with the candidate’s: o Name;


o Social security number; o Date of birth; o Fiscal data; o Direct deposit form with a voided check; and o W-4’s (State and Federal).

Before entry on duty:

Determination of any salary beyond step one (1) of the grade must be made by HR/OE/HRM International HR Manager and if applicable the hiring agency before the EFM’s EOD.

Notifies post timekeeper of the candidate’s start date.

4.2 Determining Residency

The Human Resources Officer (post HR) (or, absent the post HR, the Management Officer, in consultation with HR/OE as needed), uses the Local Compensation Pay Plan Worksheet (LCWS) to determine the residency status of all individuals selected for local employment at post. HR must carefully determine and document the candidate’s residency status since once an individual officially enters on duty, HR may not change the residency status. This policy has no exceptions.

Incorrect residency determinations may result in a candidate being under paid, which may or may not be paid to the employee retroactively. Conversely, employees will be required to repay any mistaken excess compensation.

HR can usually easily determine the residency status of a family member candidate. The most important question is: Does the candidate fall under local labor law for purposes of employment (regardless of whether the host country actively enforces the law)? In most cases, the answer to this question for an EFM will be “no” and they will be considered a Not Ordinarily Resident (NOR). If the answer to this question is “yes” (a rare case for EFMs), the Ordinarily Resident (OR) status is the right selection.

A Not Ordinarily Resident (NOR) applicant is an EFM on Form OF-126 or travel orders of a direct-hire Foreign Service, Civil Service, or uniformed service member permanently assigned to the post and under COM authority, or at the Office of the American Institute of Taiwan (AIT).

A NOR may also be a person who holds a diplomatic visa and does not come under local labor law and thus does not need a work permit. NORs with a SSN are generally paid under an FP/FS pay plan.

All NORs must have a US Social Security Number (SSN) for compensation under an FP/FS pay plan. If an applicant is unable or unwilling to obtain a US SSN, HR may not hire him/her as a NOR. Non-US citizen EFMs must have a US SSN and may not be in their country of citizenship to qualify as a NOR.

NOTE: Individual Taxpayer Identification Numbers (ITINS) are not acceptable for employment as a substitute for a SSN. This policy has no exceptions.


NORs on a DOS FMA are paid on the Foreign Pay/Foreign Service (FP/FS) or Extended FS overseas pay plan (which includes overseas comparability pay), whereas NORs on a PSA are paid on the FP/FS base pay plan (which does not include overseas comparability pay).

MOHs are also considered NORs when they do not need a work permit or visa work stamp to legally work in-country.

An Ordinarily Resident (OR): applicant is in the host country as a legal permanent resident (holding a non-diplomatic residency permit) and holder of a non-diplomatic work visa, or work permit. A person in this category comes under local labor law and is always paid under the post’s Local Compensation Plan (LCP). This category includes most MOHs and all non-US citizen EFMs who are in their country of citizenship.

HR may contact post’s HR/OE/HRM International HR Manager for assistance in determining the appropriate residency of any candidate. HR’s or the HR/OE/HRM International HR Manager’s decision on the residency status is final and is not subject to appeal or formal grievance.

4.2.1 Dual Nationals

An EFM who is a citizen of the host country to which the direct-hire employee/military member is assigned, is generally considered an Ordinarily Resident even when listed on the sponsoring employee’s travel orders.

However, a dual national EFM who is in his/her home country and is also a US Citizen must receive the USEFM hiring preference.

If you have questions, consult your post’s HR/OE/HRM International HR Manager.

4.2.2 Residency and Work Permits for MOHs

With regard to the residence of MOHs, Mission management must assist officially-declared MOHs with obtaining the appropriate residency permits and travel visas required by local law to allow them to live in-country.

With regard to local employment in-country or at the Mission, post management is not required to assist MOHs with obtaining the appropriate work permit, work visa stamp, or other documentation that allows the MOH to legally work in-country.

However, some Missions have determined that it is in their interest to assist MOHs in obtaining these employment permission documents. In those cases, the Mission establishes a Mission-specific policy that directs HR to assist all MOHs in obtaining the documents or visa stamps that allow MOHs to work legally in-country. Unless the Mission-specific policy states otherwise, the MOH is responsible for all costs incurred in obtaining the employment documentation.


4.2.3 Loss of EFM Employment Status

Sometimes, a sponsoring employee officially departs the post for another assignment, while a family member remains in-country. When this happens, the family member immediately loses EFM employment status. In such cases, the EFM:

Must immediately resign from Mission employment; and

Loses eligibility for FMA and TEMP appointments.

HR must then place the family member in INWS status, unless the family member tells HR to process a personnel action to terminate the FMA.

When a sponsoring officer TDYs to another post (e.g., Afghanistan), the family members remaining at the post of assignment continue to enjoy full EFM employment status.

These provisions apply to EFMs living at voluntary or involuntary safe havens or on SMA abroad. None of these candidates can be considered USEFMs for purposes of receiving a hiring preference because they:

a) Are not listed on the travel orders of a direct-hire Foreign, Civil, or uniformed service member officially assigned to the post; and

b) Are not living with the sponsoring officer.

A family member who remains in country after the sponsoring employee departs for an onward assignment may still apply for positions advertised at post for “All Interested Applicants.” However, the family member must now be legally eligible to work in country. With the loss of EFM and diplomatic status due to the sponsoring officer’s departure, the family member will, in most cases, need for legal employment:

A work permit;

A residency permit; or

Both work and residency permits;

These requirements put the family member under the jurisdiction of local labor law. Thus, for purposes of new employment, HR must consider the family member an OR, hire under a PSA and compensate under the LCP at the job’s appropriate FSN grade. Saved Pay provisions do not apply.

For situations not addressed above, HR should contact post’s HR/OE/HRM International HR Manager for assistance in determining residency.


4.3 Determining the Pay Scale

A candidate’s residency will determine the pay scale under which they are paid:

a. NOR EFM on an FMA: Use the FP/FS “Overseas” Pay Scale; b. NOR EFM on a PSA with a SSN: Use the FP/FS “Base” Pay Scale c. NOR EFM on a PSA without a SSN: Use the Local Compensation Plan (LCP).

Post HR must use the Local Employment Compensation Pay Plan Worksheet (LCWS) to validate the residency status used to determine the appropriate pay plan.

Compensation under the Family Member Appointment (FMA) is based on the FP/FS “Overseas” pay scale. For an initial FMA, the individual must be brought in at Step 1 of the pay grade, unless HPR or SQR are requested before EOD.

Compensation under a Personal Services Agreement (PSA) is based on the FP/FS “Base” or LCP pay scale.


4.4 Nepotism

The employment of relatives in the same area of an organization can cause conflict, give rise to claims of favoritism, and diminish post morale. In addition to claims of partiality in treatment at work, interpersonal conflicts from outside the work environment can continue into day-to-day working relationships.

For these reasons, post HR must review all hiring decisions with an emphasis on avoiding even the appearance of family influence in employment actions. Hiring decisions that involve family members of principal officers require particularly careful scrutiny. Posts must seek a nepotism review by post’s HR/OE/HRM International HR Manager for any potential nepotism situation.

Nepotism reviews for working family members not only entail chain-of-command issues that include the sponsor-employee, but also recruitment, jurisdiction, and control/working relationship matters. A spouse in the same office or section may be outside of the chain-of-command, yet assigned work that may appear to be within the sponsor’s purview, such as special projects, participating on working groups or committees, and the like. Regarding recruitment, those participating in the selection process may not be rated or reviewed by the sponsor.

Requests for nepotism review go to post’s HR/OE/HRM International HR Manager and may include a proposed alternative supervisory arrangement if needed and feasible. The critical decision is whether the situation can be arranged in a way that avoids actual nepotism or the appearance of nepotism. Sometimes, it is simply not possible.

US law (5 CFR, Part 310.101) outlines USG anti-nepotism regulations and states that no employee may:

Advocate for appointment;

Appoint;

Employ;

Promote; or

Advance;

in or to a DOS position any individual who is a household member of that employee.

For purposes of this policy, an employee is any individual under COM authority who is a:

Foreign Service member;

Civil Service member;

Uniformed service member;

Overseas employee; or

FSN/Locally Employed Staff (LE Staff).


Relatives are:

Immediate family members: spouse, son, daughter, stepson, and stepdaughter;

Close family members: father, mother, brother, sister, stepfather, stepmother, stepbrother, and stepsister;

Extended family members: uncle, aunt, first cousin, nephew, niece, half-brother, and half-sister;

In-laws: father-in-law, mother-in-law, son-in-law, daughter-in-law, brother-in-law, sister-in-law; or

Any person who resides with the employee in US government (USG) provided or subsidized quarters.

Nepotism regulations apply equally to all family members and MOHs, regardless of position or employing agency under COM authority, and regardless of the employment mechanism (PSA or FMA). Posts must ensure compliance with nepotism regulations in all employment matters while promoting a “family friendly” work environment.

3 FAM 8310 provides the implementing regulations for DOS organizations and all agencies under COM authority that have signed the Memorandum of Agreement (MOA) to use DOS’s PSA authority to fill locally recruited positions. Other agencies under COM authority that exercise their own hiring authorities have their own anti-nepotism regulations and guidance on how to avoid nepotism or the appearance of it.

A formal HR/OE nepotism review request by front channel cable is required for EFMs and MOHs being considered for Mission employment according to 3 FAH-1, H-8314 (“Anti-Nepotism Review”).

HR may not hire the applicant until post’s International HR Manager provides the results of its nepotism review.

Documentation is required for every case and must be maintained in a post’s “Nepotism” subject file. If the nepotism review is approved and the applicant is hired, a copy of the documentation is also filed in the employee’s Official Personnel File (OPF).

Management and HR officers are especially reminded to exercise utmost diligence with respect to the nepotism regulations when a recruitment process involves their EFM or MOH family members. Once a case of potential nepotism involving an HR or management officer has been identified, the best practice is to solicit the assistance of another post that will review the position description and vacancy announcement, screen, interview, convene the PEC, and if applicable prepare the case for a nepotism review. Current Mission employees who are in any way related or involved in the recruitment, selection or within the supervisory chain of a family member applicant must recuse themselves from the employment process or oversight of the actual position.

Failure to make alternate arrangements is in violation of nepotism regulations and may be subject to disciplinary actions.


4.4.2 New Relationships After Hire

If a relationship develops between any two Mission employees, they must immediately report their relationship to the post HR, Management Officer, or Deputy COM if:

Both employees are under COM authority; and

The nature of their relationship might lead a reasonable person to believe it involves the appearance of favoritism, or has become nepotistic.


4.5 Security Clearance

The requirement for a security clearance is tied to a position, not to a person.

Employees selected for positions that require a security clearance may not begin working until the interim clearance has been granted or investigation is completed and post receives notification that a security clearance has been issued. The time needed to complete the investigation and issue the clearance depends on several factors, including the clearance level (non-sensitive, secret, or top secret), prior clearance history, and the agency involved.

Security clearance requirements are directly related to the position’s sensitivity. For all positions requiring a security clearance, HR must initiate the online e-QIP security application process, which has replaced the SF-85 and SF-86 paper forms. Details on the security clearance process are available at: https://intranet.ds.state.sbu/DS/SI/PSS/ClearanceProcess/ClearanceProcessMainPage.aspx

HR should ensure that family members understand that there is no specific timeframe for obtaining a security clearance. By correctly setting expectations early, applicants will suffer less anxiety, and you will spend less time answering questions about the status of ongoing security investigations.

4.5.1 Interim Security Clearance

An interim security clearance gives an individual temporary access to classified information. Such a clearance may be granted in exceptional circumstances where the applicant must perform official functions before the full clearance investigation and adjudicative process are completed.

Post HR requests an interim security clearance during the e-QIP application process. The RSO is not permitted to grant an interim security clearance.

4.5.2 Security Clearance Revalidation Guidelines

Revalidation applies to candidates who have previously held a position that required a security

clearance with DOS.

Guidelines:

Has your candidate previously held a position that required security clearance at DOS?

Was the previously granted clearance at the same level or higher than what is now required for

the new position?

Has the applicant been out of the previously held DOS position that required clearance for less

than two years?

Was the applicant’s last background investigation done within the past seven years for Top

Secret level clearance or ten years for Secret level clearance?

If you can answer yes to the above questions then revalidation should apply.

E-QIP is not used since a new security package is not required.

https://intranet.ds.state.sbu/DS/SI/PSS/ClearanceProcess/ClearanceProcessMainPage.aspx


Submit a completed DS-1143 via e-Forms; and SF-86 Certification (SF-86C) to DS/PSS: Scan and email to

DS PSS Intake (in the GAL) or fax to 571-345-3153.

4.5.3 Security Clearance Reciprocity Guidelines

Reciprocity applies if a candidate has held a position that required a current security clearance with

another federal agency.

Guidelines:

Has your candidate previously held a position with a security clearance with another federal

agency?

Is it the same level or higher than the required clearance for the applied position with DOS?

Has the applicant been out of the previously held federal position that required clearance for

less than two years?

Was the applicant’s last background investigation completed within the past seven years for Top

Secret level clearance or ten years for Secret level clearance?

If you can answer yes to all of the above questions, then reciprocity should apply.

E-QIP is not used since a new security package is not required.

Submit a completed DS-1143 to DS/PSS via e-Forms.

DS PSS will notify the requestor upon completion of the action or if reciprocity cannot be completed.

4.5.4 Security Clearance Conversion Guidelines

Conversion applies to any current DOS employee that converts from one position for which DOS holds

the required security clearance to another position for which DOS holds the required security clearance

without a break in service.

A DS-1143 is required and the following information must be included in the Requestor Comments

Section:

CONVERSION from “insert current position title” to “insert future position title”

NO BREAK IN SERVICE

(This will allow both DS/PSS and the HR section submitting the form to pass any audits from outside

agencies.)

Submit the completed DS-1143 in e-Forms.

All questions regarding reciprocity, revalidation and conversion can be submitted via email to

[email protected]



4.6 Compensation

An AEFM’s initial salary is normally set at Step 1 of the position grade on the FP/FS Overseas Salary Table pay plan. The HR/OE/HRM International HR Manager determines the SQR and any initial salary above Step 1 (which is not based on HPR). The FMEC must authorize HPR for AEFMs.

Only HR/OE/HRM International HR managers may authorize the step for FS and CS annuitants who are hired under a PSA.

Because other agencies use the State Department’s PSA hiring authority, post’s International HR Manager and the hiring agency’s HR office must collaborate when making any pay determinations above Step 1. The following scenario illustrates this important principle:

The Centers for Disease Control and Prevention (CDC) has selected an EFM for a position as an HIV studies specialist, and the hiring mechanism will be a PSA. The EFM has eight years of experience deemed directly relevant to the position. If the agency has available funds, it is reasonable for HR to request an Advance- In -Hire rate through the HR/OE/HRM International HR Manager.

4.6.1 Earnings and Leave Statements and W-2s

Employees have access to their Earnings and Leave statements and W-2s through Employee Express:

www.employeeexpress.gov, 24/7 from any Internet-accessible computer. Tax withholding changes are

also made by the employee through Employee Express. Employees with questions about pay should

contact Payroll Customer Support at 1-800-521-2553 or by e-mail at [email protected].

The Office of Global Compensation reminds employees that, per 4 FAH-3 H-512, employees are responsible for verifying the accuracy and correctness of their Earnings and Leave Statement, and for reporting any errors in a timely manner to the timekeeper and/or supervisor. The Office of Global Compensation recommends that each employee:

Regularly review his/her Earnings and Leave Statements; and Review the statements that follow the start of a new position, modifications to benefits, and other

personnel activities that impact earnings.

4.6.2 Allowances

EFM employees are not, in their own right, authorized overseas allowances (i.e. post differential) as described in the Standardized Regulations – Government Civilian Employees.

The only exception is Danger Pay when authorized by post, EFMs are eligible for danger pay in their own right when employed:

On a full-time schedule;

Under an FMA, TEMP appointment, or a PSA; and

At a danger pay post.

http://www.employeeexpress.gov/



4.6.3 Within-Grade Increase (WGI)

4.6.3.1 FMA WGIs

Typically, AEFMs employed under an FMA (full-time or part-time) receive their WGIs automatically, unless action is taken to deny the WGI. Post HR should review each new employee’s SF-50 to ensure a WGI date has been established by the FMEC. In all instances, a performance appraisal report must be submitted to support or deny a WGI.

The WGI rating cycle period can be cumulative if:

The AEFM remains at the same grade; and

The break between positions is less than one year.

The WGI rating cycle begins anew if the AEFM is appointed to a different position or there is a break in service of more than 52 weeks or in non-pay status.

Within grade step increases to the next higher rate are authorized upon completion of satisfactory service of 52 calendar weeks for steps 1-9 and 104 weeks for steps 10-14.

EFMs on a part-time work schedule are eligible for the WGI after 52 weeks and documentation of performance of fully successful or better. The hours of work do not matter as long as the individual has worked 52 weeks.

An AEFM employee on intermittent/WAE work schedule is eligible for a step increase after working 2,087 hours in a pay status. (2,087 hours = 52 weeks, and does not include overtime)

When necessary, with the Management Officer’s concurrence and barring an unsatisfactory performance appraisal, the post HR should direct the FMEC to process an FMA employee’s WGI retroactively.

4.6.3.2 PSA WGIs

EFMs employed using a PSA after 52 work weeks of satisfactory performance supported by a satisfactory performance evaluation, are entitled to a WGI. Because WGIs for EFMs employed on a PSA are not included in the JF-62 mass actions, HR must generate the JF-62 as soon as HR receives a satisfactory performance evaluation.

With the concurrence of the Management Officer and barring an unsatisfactory performance appraisal, Post HR may process a PSA employee’s WGI retroactively.


4.7 Benefits Available to FMA Employees

Because the Family Member Appointment (FMA) is a direct-hire appointment, certain benefits accrue to employees who hold an FMA.

4.7.1 Federal Employees Group Life Insurance (FEGLI)

Basic life insurance coverage under the USG-wide FEGLI is automatically conferred to FMA appointees as soon as they receive their first FMA, unless the employee specifically waives all FEGLI coverage.

Eligible employees have 60 days from the date of their first FMA appointment to make a FEGLI election or waive the basic coverage. If an employee does not make an election, the basic coverage is automatically provided at a reasonable minimal cost. Post HR must inform the FMA employee that, unlike health insurance, FEGLI does not have an annual open enrollment.

When an FMA employee goes on Intermittent No-Work Status (INWS), no FEGLI premiums are paid by either the government or employee and the life insurance coverage ends. When the employee returns to an FMA or TEMP appointment, the benefit may be carried forward by virtue of “continuity of service.” However, the previous FEGLI election (e.g., 3x salary) may not be changed unless a qualifying life event occurred during the INWS.

4.7.2 Federal Employee Health Benefits (FEHB)

FEHB coverage is available to those employed on an FMA, although most EFMs are already covered under the sponsoring employee’s FEHB family enrollment. Dual FEHB coverage is prohibited because the same person may not have two FEHB enrollments at the same time.

4.7.3 Federal Employees Retirement System (FERS)

FMA employees normally accrue retirement benefits under FERS. All employees covered by FERS are also covered by Social Security. Employees may not decline FERS or other retirement coverage under the FMA.

4.7.4 Thrift Savings Plan (TSP)

The TSP is the USG’s version of a 401K plan. For employees covered under FERS, DOS automatically contributes 1 % of an employee’s basic salary each pay period into a TSP account, even if the employee does not elect to contribute. DOS also matches employee contributions up to 5% of their pay. As of 2012, an employee could contribute up to $16,500 to TSP annually.

There is no waiting period to contribute to TSP. The contributions begin no later than the first full-pay period after an agency accepts the employee’s election. Employees can make changes to TSP at any time after they are officially enrolled. The latest TSP information is available at www.tsp.gov.

The FMA employee remains enrolled in TSP while in INWS status (although contributions are not made because the employee is not earning a salary). As soon as the AEFM begins active employment at the

http://www.tsp.gov/


next job under an FMA, TSP contributions resume on the basis of his/her most recent TSP election, as long as the FMA has not actually ended.

After HR has initially enrolled the family member, TSP start/stop and adjustments, Catch-Up contributions (for AEFM 50 years and older), and TSP address changes are made only through Employee Express. Changes in TSP Designations of Beneficiary must be completed on a paper TSP-3 and mailed directly to TSP.

With a TEMP appointment, a family member may continue all benefits afforded under an FMA, including FEGLI and TSP, if s/he, without a break in service:

Held the FMA before accepting a temporary position; and

Maintains a work schedule of either full- or part-time (16-32 hours).

4.7.5 Executive Order Eligibility and Non-Competitive Appointments

As authorized under Title 5, Code of Federal Regulations, AEFMs working abroad under an FMA or a TEMP appointment are granted non-competitive appointment eligibility for competitive service positions with the USG in stateside Civil Service positions paid under the GS pay schedule. In order to earn eligibility status, an AEFM must have worked at least 52 weeks total (or 2087 hours if on an intermittent/ WAE work schedule) in one or more overseas direct-hire appointments. The AEFM has three years after returning to the US to exercise this eligibility.

Service under a PSA is not creditable towards Executive Order Eligibility.

4.7.6 Benefits Available to Domestic Partner FMA Employees

Domestic partners on an FMA are eligible – by virtue of their direct-hire employment – to participate in all benefit programs available under the FMA, including health insurance, life insurance, and TSP. NOTE: EFMs who obtain health coverage only through FMA employment are not eligible for health coverage under FEHB while in INWS status. EFMs are eligible for Temporary Continuation of Coverage (TCC) if they terminate their employment (i.e., resign). TCC is available for all federal employees who are enrolled in FEHB and terminate their employment. It is effective 31 days after termination for those employees who request TCC within 60 days of separation. Details on TCC eligibility are available at: http://www.opm.gov/healthcare-insurance/healthcare/temporary-continuation-of-coverage/#url=Pamphlet EFMs can contact the HR Service Center at [email protected], or 866-300-7419 for Department procedures to enroll in TCC. DP FMA employees must contact their bureau FMEC within 31 days of entering into a no pay status for regulations which govern eligibility to continue medical benefits (FEHB). When s/he becomes aware of a DP FMA employee’s departure, post HRO should initiate Form SF-2810 (Notice of Change in Health Benefits Enrollment) and send the form to the HRSC.

http://www.opm.gov/healthcare-insurance/healthcare/temporary-continuation-of-coverage/#url=Pamphlet

http://www.opm.gov/healthcare-insurance/healthcare/temporary-continuation-of-coverage/#url=Pamphlet


4.8 Benefits Available to USEFM PSA Employees

USEFMs employed on a PSA are authorized the following benefits:

Premium pay (overtime and comp time), as the supervisor authorizes, and according to the overtime rules of the FP/FS pay plan;

FICA (US Social Security); Medicare; and

Annual Leave and Sick Leave

USEFMs employed on a PSA are not authorized life and health insurance, retirement benefits, or

Executive Order Eligibility.


4.9 Work Schedules

Work Schedule Description

Full-Time: 40 hours per week; 80 hours per pay period.

Part-Time: 16-32 hours per week.

Intermittent/WAE: Employee’s hours are based on management’s needs. Some pay periods may require full-time work, others may require part-time work, and still others may have no work at all.

Employee is paid only for hours actually worked.

Management may change an employee's work schedule from part-time to full-time – increasing the number of hours worked – without getting the employee's approval when increased hours are required in order to support the needs of the Mission. To change from full-time to part-time, employees must submit a request which management may then approve or disapprove. The work schedule of an employee on a TEMP appointment may be changed from one week to another.

4.9.1 Temporary Appointments (TEMP)

The Temporary (TEMP) appointment (Tenure Code 59) is a direct-hire, non-career appointment used to hire AEFMs if the position is for a period of less than one year. The work schedule for a TEMP appointment may be full-time (40 hours per week), part-time (16-32 hours per week), or Intermittent /When Actually Employed work schedule. Only AEFMs are eligible to fill TEMP appointments which are processed through the Family Member Employment Coordinators (FMECs) in the same manner as FMAs. Examples of positions under a TEMP appointment are:

-- Management Assistant with a 40-hour work week NTE 6 months from EOD -- Visa Clerk position with a 20-hour work week NTE 3 months from EOD -- Security Escort with a WAE (When Actually Employed) work schedule NTE 9 months from EOD

HR/OE encourages Mission management to establish work schedules that employ AEFMs in State positions under FMAs or temp appointments whenever possible. AEFMs on TEMP appointments with a full-time or part-time work schedule who exceed 90 days of

continuous employment are entitled to earn annual leave and sick leave. An AEFM under a Temporary

Appointment does not have to serve 90 calendar days before being eligible to apply for other positions

advertised at the Mission.

If the employment lasts more than one year, the bureau Family Member Employment Coordinator may authorize a short-term extension of the TEMP Appointment.


4.9.2 Intermittent /When Actually Employed (WAE) Work Schedule

An “Intermittent/When Actually Employed (WAE)” work schedule is used for an employee without a regular tour of duty or established, regularly-scheduled workweek. The schedule of work is on an ‘as-needed’ basis determined by the supervisor. The hours of work may vary weekly as they are based on the needs of the section or agency. In other words, the supervisor doesn’t establish a standard part-time (16-32 hours/week) or full-time (40 hours/week) work week; an intermittent/WAE employee may work 30 hours one week, but not at all the next week. If the needs of the section or agency change at a later point, and the work schedule changes to a fixed part-time or full-time schedule for more than a period of 120 days, HR should coordinate with the supervisor and FMEC that the employee’s work schedule should be changed to reflect the new schedule and all benefits which may convey.

Employees on intermittent /WAE work schedules (i.e., a part-time employee who do not have an established regular tour of duty during the administrative workweek) are not eligible to accrue leave.

AEFMS: AEFMs hired on WAE work schedules lose the USG employee benefits received under an FMA,

unless they are appointed without break in service. AEFMs hired without break in service can

continue coverage under FERS (5 CFR 842.105) but are not eligible for FEGLI. Employees on

intermittent /WAE work schedules (i.e., employees who do not have an established regular full-time or

part-time tour of duty during the administrative workweek) are not eligible to accrue leave.

An employee working an intermittent/ WAE work schedule is eligible for a step increase according to the DOS policy on WGIs. Each 2087 hours in a pay status, excluding overtime, is equivalent to 52 weeks.

When intermittent/WAE employment ends, HR must terminate the TEMP Appointment (or, where applicable, the PSA). An employee on a TEMP appointment cannot be placed in INWS.

At the end of a TEMP Appointment with a WAE work schedule, HR documents the number of hours actually worked in the “Remarks” section of the Termination personnel action.

Use the Standard Remark Code G30: “INTERMITTENT EMPLOYMENT TOTALED (ENTER NUMBER) HOURS IN PAY STATUS FROM **-**-** TO **-**-**.” Hours worked as overtime may not be included in this calculation. For further assistance, contact your FMEC.

EFMS who are not FMA-eligible: EFMs with a SSN hired on a PSA with a WAE work schedule receive no benefits other than FICA withholding and worker’s compensation.

An employee working an intermittent/ WAE work schedule is eligible for a step increase according to the DOS policy on WGIs. Each 2087 hours in a pay status, excluding overtime, is equivalent to 52 weeks.


4.10 Leave for FMA Employees

4.10.1 Annual Leave (AL)

The accrual rates of annual leave for full-time employees with a 40-hour workweek are:

Accrual Rates Earned Each Pay Period Earned Annually Federal Service Requirement (Hours) (Hours) (Days)

Less than 3 years service: 4 104 13

3 but less than 15 years service: 6 160 20

15 or more years service: 8 208 26

The annual leave accrual rate for part-time employees with a regular workweek established in advance is as follows:

Service Requirement Hours Earned

Less than 3 years service: 1 hour for each 20 hours in pay status

3 but less than 15 years service 1 hour for each 13 hours in pay status

15 or more years service 1 hour for each 10 hours in pay status

No leave is earned for partial pay periods worked at time of entering on duty or at time of separation.

For appointments of 90 days or longer, annual leave is credited at the beginning of the first full biweekly pay period in which it is earned.

For appointments of less than 90 days that are subsequently converted to more than 90 days, employees are entitled to leave credit from their EOD and may begin using their leave upon conversion.

Employees may use leave as it is earned. To request annual leave, an employee must submit a completed leave application form OPM-71 to his/her immediate supervisor for approval in advance of his/her expected absence.


FMA employees are not required to use all of their annual leave before departure from post. They may choose to retain their unused annual leave for credit to a future FMA or other USG appointment, or for payment of a lump sum upon the five-year expiration of their current FMA.

A FMA employee’s service computation date (SCD) must be adjusted by the FMEC each time the EFM enters a new qualifying position.

Before entry on duty the HRO must obtain from the employee and submit complete documentation to the FMEC of the qualifying prior federal service such as SF-50s, SF-71s, LWOP forms, and Return to Duty SF-50s.

4.10.2 Sick Leave (SL)

A full-time employee with a 40-hour workweek accrues four hours of sick leave for each full biweekly pay period, regardless of years of Federal service.

No leave is earned for partial pay periods (i.e. less than 2 weeks) worked at time of entering on duty or at time of separation.

4.10.3 Pack-Out and Unpacking

A supervisor may grant an FMA employee administrative leave to be present at the employee's residence for up to two days for packing and one day for unpacking when connected with the employee's transfer on permanent change of station (PCS) orders

Part-time employees may also be granted administrative leave for unpacking and pack-out up to the amount that the actual unpacking or pack-out days coincide with the employee’s regularly scheduled work hours.

4.10.4 Home Leave

Regardless of employment method, EFMs do not earn home leave. An EFM may accompany his/her career employee sponsor on home leave travel orders up to the amount of time that the EFM’s supervisor grants leave (annual or leave without pay) for the travel.

Depending on the work demands of the EFM’s office, an EFM employee may need to travel on his/her sponsor’s home leave travel orders separately from his/her other family members.

4.10.5 Leave Without Pay (LWOP)

Many EFM employees request supervisory approval to leave post for an extended period of time (but

not permanently) for maternity, home leave, or R&R purposes. AEFMs hired on an FMA may be placed

in LWOP at the employee’s request only if s/he is expected to return to the same position.

LWOP does not typically exceed six months. No annual or sick leave is earned during any pay period

(two 40-hour work weeks) that is spent entirely on LWOP. Unused leave balances are carried forward.


LWOP that exceeds 6 months or more in a calendar year, and time spent in INWS status, are not

creditable service and can affect the employee's SCD. For AEFM SCD corrections/adjustments, contact

the bureau’s FMEC.

Post HR must submit a SF-52 if the LWOP period is 30 calendar days or longer. A return- to- duty action

must be processed upon the employee’s return to duty.

4.10.6 Military Leave

EFMs serving under an FMA are under the same military leave rules as career employees, but only up to the scheduled termination date of the position in which they are serving or their sponsor’s date of permanent transfer from post.

AEFMs serving military duty and expecting to return to their position at the Mission should be placed on LWOP.

If the AEFM is participating in TSP, no contributions can be made by the agency or employee during the military leave.

AEFMs who are put in non-pay status (LWOP) while on military duty may keep their FEGLI. (Contact [email protected] to confirm eligibility status for continuation of benefits).

AEFMs who are put in non-pay status or separated while on military leave for more than 30 days may keep their FEHB coverage for up to 18 months from the date of the absence to serve on military duty. (Contact [email protected] to confirm eligibility status for continuation of benefits.)

4.10.7 Voluntary Leave Transfer Program (VLTP)

Employees hired under an FMA are eligible to participate in the VLTP both as leave donors and recipients. This program enables employees to transfer annual leave to other Federal US direct-hire employees who face a personal or family member medical emergency.

Employees with annual leave that would be forfeited at the end of the leave year can instead donate it to another employee who has been approved for VLTP. Donors may donate no more than half of the leave they would earn in a leave year. Leave donors make their donation by completing form DS-1862.

Leave recipients are employees who, whether for themselves or a family member, exhaust all of their available annual and sick leave, and will be in a non-pay status for a minimum of 24 hours. Leave recipients make their request by completing form DS-1861.

4.10.8 Family Medical Leave Act (FMLA)

FMLA regulations apply to AEFMs who are serving under federal appointments, either full-time or part-time, and have completed at least 12 months of qualifying Federal government service (not required to be recent or consecutive months).

Time spent on a TEMP appointment is not creditable toward the 12 months of service required for eligibility.




4.10.9 Domestic Partners and Leave

The Office of Personnel Management (OPM) has determined that DPs are considered family members for leave purposes including sick leave, funeral leave, voluntary leave transfers, the voluntary leave bank, and emergency leave transfer programs. Parents of DPs also fall under the definition of family members for leave purposes.

4.11 Leave for NOR PSA Employees

4.11.1 Annual Leave (AL)

The accrual rates of annual leave for full-time employees with a 40-hour workweek are:

Accrual Rates Earned Each Pay Period Earned Annually Service Requirement (Hours) (Hours) (Days)

Less than 3 years service: 4 104 13

3 but less than 15 years service: 6 160 20

15 or more years service:

EFM NORs rarely meet this 15 year threshold

8 208 26

The annual leave accrual rate for part-time employees with a regular workweek established in advance is:

Service Requirement Hours Earned

Less than 3 years service 1 hour for each 20 hours in pay status

3 but less than 15 years service

1 hour for each 13 hours in pay status

No leave is earned for partial pay periods (i.e. less than two weeks) worked at time of entering on duty or at time of separation.

To request annual leave, an employee must submit a completed leave application form OPM-71 to his/her immediate supervisor for approval in advance of his/her expected absence.

Leave that EFMs accrue on a PSA does not carry over to other PSA employment.


4.11.2 Sick Leave (SL)

A full-time employee with a 40-hour workweek accrues four hours of sick leave for each full biweekly pay period, regardless of years of service.

No leave is earned for partial pay periods (i.e. less than two weeks) worked at time of entering on duty or at time of separation.

4.11.3 Pack-Out and Unpacking

A supervisor may grant an EFM administrative leave to be present at the employee's residence for up to two days for packing and one day for unpacking when connected with the employee's transfer on permanent change of station (PCS) orders.

Part-time employees may also be granted administrative leave for unpacking and pack-out up to the amount that the actual unpacking or pack-out days coincide with the employee’s regularly scheduled work hours.

4.11.4 Home Leave

EFMs do not earn home leave. An EFM may accompany his/her career employee sponsor on home leave travel orders up to the amount of time that the EFM’s supervisor grants leave (annual or leave without pay) for the travel.

Depending on the work demands of the EFM’s office, an EFM employee may need to travel on his/her sponsor’s home leave travel orders separately from his/her other family members.

4.11.5 Leave Without Pay (LWOP) – PSA

EFMs hired under a PSA may be granted LWOP only if s/he is expected to return to the same position.


5. Performance Management

5.1 Overview ............................................................................................................ 78

5.2 Reporting Periods ............................................................................................... 79

5.3 Participants ........................................................................................................ 81

5.3.1 Human Resources ...................................................................................... 81

5.3.1.1 Access to the Employee Performance Rating (EPR) ........................... 82

5.3.2 Agency or Section Head .............................................................................. 83

5.3.3 Rater ………………. ........................................................................................ 83

5.3.3.1 Managing Performance……….…………………………………………………………… 86

5.3.3.2 Staffing Gaps and the Role of Temporary Duty (TDY) Officer……………. 86

5.3.4 Reviewer ................................................................................................... 87

5.3.5 Eligible Family Members (EFM), and Not Ordinarily Resident (NOR) ........... 88

5.3.6 Post Review Committee ............................................................................ 89

5.4 Employee Performance Report (JF-57) .......................................................... 89

5.4.1 Work Requirements Statement (WRS) ........................................................ 90

5.4.2 Performance Discussion …………………………………………………………………………… 92

5.4.3 Summary Ratings ....................................................................................... 94

5.4.4 Performance Narratives ............................................................................. 95

5.4.5 Employee Statement .................................................................................. 95

5.4.6 Signatures .................................................................................................. 95

5.4.7 Inadmissible Comments ............................................................................ .97

5.4.8 Annual Reporting and Submission Dates ..................................................... 97

5.4.9 Interim Reports …………………………………………………………………………………………98


5.5 Performance Improvement Plan (JF-57 PIP) ......................................................... 99

5.6 Probationary Periods ......................................................................................... 100

5.6.1 EFMs on an FMA (Full- or Part-Time) .......................................................... 100

5.6.2 EFMs and All Other NORs under PSAs ........................................................ 100

5.7 Misconduct and Discipline

5.7.1 Authority……………………………………………………………………………………………….101

5.7.2 Grievance……………………………………………………………………………………………..101


5.1 Overview

Performance management is the process of creating an environment in which employees can

successfully perform their work competencies in accordance with established goals and principles of the

office and organization. The performance process begins when the rater identifies goals that support

the mission and overall objectives of the organization. By fostering a meaningful dialogue between the

rater, reviewer, and employee, the process serves to increase employee motivation, performance, and

morale.

This chapter applies to all Eligible Family Members (EFM) and Not Ordinarily Resident (NOR), except for

certain processes related to discipline and misconduct, and Employee Performance Rating (EPR)

disposition. The chapter introduces a new rating cycle for employees, and a better documented

approach to performance management, including the Performance Improvement Plan (PIP). The

differences in process between the two employee groups above will be clarified in this chapter.

The Human Resources Office should ensure that all personnel involved in the family member

employment cycle (i.e., raters, reviewers, and employees) carefully read and become familiar with the

topics in this chapter. All should use the Interagency Post Employee Position Description form (DS-298)

as the guide to create and understand the Work Requirements Statement (WRS/Form JF-57 EPR,

Section III), and to focus on the mid-year Performance Discussion (Form JF-57 PD), and the end of year

Employee Performance Report (EPR/Form JF-57). Raters now have an additional tool to correct a less-

than-successful performance with a Performance Improvement Plan (PIP/Form JF-57 PIP).


5.2 Reporting Periods Performance Management Policy Requirements for raters:

A. Continually evaluate the work performance of employees supervised; B. Regularly discuss work performance with employees; and C. Document employee work performance as designated intervals.

Work Requirements

Statement (WRS)

Due within 45 days of

EOD or the beginning of

the rating cycle

Mid-Year

Performance

Discussion

(JF-57 PD)

One discussion must be documented

Employee Performance Report

(JF-57-EPR)

March 15 - March 14 rating cycle


The following guidelines apply

Note:

The annual EPR rating cycle is now March 15th through March 14;

April 15 is the deadline for submission of ALL NOR EPRs to the HR office;

HR must submit EPR for EFMs on Family Member Appointments to the appropriate Family Member Employment Coordinator by April 20th;

HR will notify the Front Office of late EPRs;

The rater must prepare and record the Work Requirements Statement (WRS) in Section III of the JF-57 EPR for submission to the HR office within 45 days of the NOR’s entry-on-duty (EOD) or within 45 days of the start of the rating period thereafter;

The rater must discuss the WRS with the employee;

The rater must document (on Form JF-57 PD) at least one performance discussion during the rating period, preferably mid-year;

The rater must use form JF-57-EPR to prepare the annual and/or interim performance report; and

When appropriate, the rater will use the Performance Improvement Plan (form JF-57 PIP) to formalize performance problems with a minimum rating of less than “fully successful”, and establish a timeline to achieve results


5.3 Participants

5.3.1 Human Resources (HR)

The Mission Management/HR Officer must:

A. Communicate the Performance Management policy to all Mission employees;

B. Upon each employee’s entry-on-duty (EOD), review the Position Description (Form PD-298) with

the employee and obtain their signature. The employee’s signature is one of several documents

that represent their agreement to perform the duties. Refusal to sign the documents will result

in the withdrawal of the offer of employment. HR may not continue the on-boarding.

C. Communicate the annual performance rating cycle to new employees: March 15 through

March 14. EPRs are due to HR on or before April 15;

D. Provide and participate in training, advisory services, technical information, and guidance on the

performance management process;

E. Establish internal controls to ensure raters submit the WRS within 45 calendar days of a new

employee’s EOD or the start of the annual rating cycle thereafter;

F. Inform raters that interim EPRs are required for periods longer than 120 days, to include:

• A change of rater;

• An employee moves to another position;

• An employee departs or separates;

• A supervisor leaves post; and

• When Actually Employed (WAE) employees who worked more than 120 days in the rating year.

The HRO or (cleared) HR Assistant forwards the EPR to the Post Review Committee (or chair) for review and comment.

G. Review comments submitted by the Post Review Committee chairperson and confirm the

appropriate section of the EPR has been signed and dated. H. For late WRS and EPRs, send to the Front Office a memorandum, providing the employee’s

name, section or agency, and the responsible rater or reviewer.

I. For EPRs of EFMs on Family Member Appointments:

a. Provide a copy of the signed JF-57 to the employee;


b. Once the signatures have been obtained, scan and email, and mail the original JF-57 to

the regional or functional bureau Family Member Employment Coordinator (FMEC) for

inclusion in the employee’s official personnel folder (OPF) within 5 business days;

c. Retain copies of all performance documents in the employee’s post Employee

Performance File (EPF). The EPR and other performance documents are

destroyed one year after the employee’s departure from post

J. NORs employed on a Personal Services Agreement:

a. Provide a copy of the signed JF-57 to the employee;

b. Retain the original EPR in the Employee’s Performance File (EPF);

c. Retain the EPR at post until one year after the employee’s departure from post.

At that time, the EPR may be destroyed.

Ordinarily Resident (OR) EFMs and MOHs are rated using JF-50 forms.

K. HR must keep in a locked cabinet or electronic folder: a separate Employee Performance File

(EPF) for each NOR employee which will contain each NOR’s WRS/EPRs (Form JF-57 EPR),

Performance Discussions (Form JF-57 PD), Performance Improvement Plans (PIPs/FormJF-57

PIP), training certificates, and other official performance documents. Place documents into the

EPF only after confirming that the employee has a copy.

L. When a grievance is filed, ensure that post is in compliance with 3 FAM 4427 and HR/G policies

and procedures. In part, no documents may be permanently removed from any EPF unless

ordered by HR/Grievance as the outcome of a grievance action.

5.3.1.1 Access to Employee Performance Files (EPF)

HR must safeguard all employee files and records. Performance files are viewed in the HR office and

access limited to individuals with a need-to-know only.

For example:

• Principal Officer and Deputy; • Management Counselor/Officer; • Human Resources Officer; • Employees of the Office of Inspector General (OIG); • Authorized investigative agents of the Bureau of Diplomatic Security (DS); • Regional and post security officers; • Accredited investigators; and • Equal Employment Opportunity (EEO) counselors, investigators, attorneys in the Office

of the Legal Adviser (L), and Federal Women’s Program (FWP) coordinators, upon presentation of proper identification in handling specific EEO discrimination complaints.

HR Assistants in the absence of the HRO Any other access to performance records must have written consent from the employee.


5.3.2 Agency or Section Head

Agency heads, raters and reviewers must ensure that employees are not disadvantaged in performance

management, directly or indirectly, for reasons of race, color, religion, sex, marital status, national

origin, age, disability, reasonable accommodation for disability, political affiliation, or sexual orientation.

Stereotypes, group assumptions, and sexist or ethnic comments are inadmissible in the EPR.

A. The agency or section head must ensure:

1. Performance management is carried out in compliance with all legal, regulatory, and US

Department of State (DOS) policy requirements;

2. All employees are aware of the goals and objectives of the section or agency and the USG’s

Mission;

3. Raters are provided with complete instructions concerning the rater duties and responsibilities

stated in this chapter;

a. Review and sign the Position Description;

b. Submit employee WRS within 45 days of each NOR’s EOD or the start of the annual EPR rating

cycle;

c. Submit the completed Employee Performance Report (EPR Form JF-57) to the reviewer, if

appropriate, and to each employee, allowing enough time to complete and submit the entire

EPR to HR by the due date;

d. Create and maintain appropriate informal records on all employees;

e. Hold and document for each employee at least one mid-year performance review on Form JF-

57 PD.

f. Performance Improvement Plans (PIP/Form JF-57PIP) are completed throughout the rating period as needed. PIPs should not be given if there are fewer than 30 days remaining in the rating period. (See Section 5.5)

5.3. 3 Rater

It is the rater’s responsibility to objectively assess employee performance objectively and determine the

degree to which they meet the established performance objectives outlined in the Work Requirements

Statement (WRS).

For an Eligible Family Member (EFM) employed on a Family Member Appointment (FMA), the rater is:

A direct-hire Foreign Service (FS), Civil Service(CS), or uniformed service member officially assigned to the Mission;

Under Chief of Mission (COM) authority; and

Directly responsible for supervising the work of and giving assignments to the employee.


For EFMs employed on a FMA, LE Staff may act as a team leader in directing and assessing the EFM’s day-to-day assignments. For NORs employed on a Personal Services Agreement (PSA), the rater may be an LE Staff member

employed on a PSA (OR or NOR), TCN, PSC, or DH who is under Chief of Mission (COM) authority and

directly responsible for supervising the work of and giving assignments to the employee.

Every rater must:

A. Read this chapter to obtain a good understanding of the rater’s role in the performance management

process;

B. Review and sign the Position Description prior to an employee’s entry on duty;

C. Complete and return the Work Requirements Statement (WRS) (Form JF-57 EPR, Section III) to post

HR within 45 days of the employee’s entry on duty (EOD) or the beginning of a new rating period

thereafter.

Working with the employee, the rater:

1. Develops and reviews the WRS taken from the requirements listed in the Position Description

(Form DS-0298), which set goals for the coming year;

2. Completes the Work Requirements Statement (Form JF-57 EPR, Section III);

3. If necessary, during the rating period, the rater will discuss and document needed revisions

of the WRS listed in Form JF-57 EPR, Section III, and will ensure the employee is given at least 30

days to reach a level of fully successful;

4. Confirm the WRS are consistent with overall organizational objectives;

5. Inform the employee of expectations to successfully perform all the duties and

responsibilities listed in the PD, as well as in the WRS.

D. Using Form JF-57 PD, hold and document at least one mid-year performance discussion during the

rating period. Form JF-57 PD can be used to document additional performance discussions.

E. Identify performance problems at the earliest possible time during the rating period and offer the

employee ways to improve performance.

Form JF-57 PD may be used to address and document areas needing improvement, and the plan of

action to improve performance.

Before a rater issues a Performance Improvement Plan (PIP/Form JF-57 PIP), post HR must be part of the discussion. Discussions with post HR and employee will address:


Formal or on-the-job training;

Counseling by the rater; 1. Ensure the rater’s understanding that this must be a constructive two-

way communication; 2. Encourage open dialogue by attentively listening to the employee’s

concerns; 3. Scheduling a dedicated time for reviews which allowing sufficient time

for the employee to show improvement, and appraisals can be completed.

Use of a PIP and a time period to improve performance; or

Any combination of actions that offer the employee the best opportunity for improving performance.

F. Rate the employee using the WRS. The rater:

1. Ensures the evaluation narrative describes the employee’s performance and any actions

the employee must take towards meeting performance objectives in the future; and

2. May also address performance in any work area specified in the Position Description (DS-

298).

G. Complete the required sections of the EPR, and if requested by the employee, send the EPR to the

reviewer for their narrative and summary rating. Upon receipt of the reviewer’s input, submit the EPR

to the employee. Sign and submit the complete and final EPR to HR by the annual due date of April 15.

H. The rater is encouraged to nominate employees for awards (including group and cash awards) in

recognition of consistently exceptional performance.


5.3.3.1 Managing Performance

The complete supervisory performance management system includes the following:

A. Position Description (DS-298): A clearly written, accurate, and properly classified PD. The PD is the first step in selecting the best qualified candidate for the position, and setting that individual up for success.

B. Selection: Select the appropriate candidate in accordance with established recruitment policies

and processes. Candidates have different skills and interests. Positions have certain qualification requirements. Selection is the process of analyzing the candidate’s qualifications by matching the individual’s skills to the required qualifications of the position. Finding the best “fit” is important.

C. Standards and Expectations: Establish accomplishment-based performance standards.

D. Training: Provide effective orientation, education, and training. Provide the employee the

information necessary to perform well. This includes job-related, position-related, and Mission-related information. Every employee should have access to on-the-job, formal classroom, distance learning, and other training throughout their career in order to perform well.

E. Coaching: Provide ongoing coaching and feedback. Address the employee’s performance strengths and areas for improvement. Effective feedback focuses more on helping the individual build on their strengths. Creates a work environment where your employees feel comfortable asking, “How do you think I’m doing?”

F. Feedback: Have regular discussions about performance, ideally 3-4 times a year. If you’re

giving frequent feedback and coaching, discussions of performance can often evolve from negative, evaluative, one-sided presentations to positive, future-oriented planning conversations.

G. Evaluation: Document the employee’s level of performance objectively and honestly, with

specific examples to support the rating.

H. Compensation: Contact HR to ensure the Within Grade Increase (WGI) payroll action is processed in a timely manner. Follow up with the employee to ensure the WGI has been processed.

I. Recognition: Consider nominating employees for an award that recognizes their contributions.

Awards – both monetary and non-monetary -- boost morale and provide positive re-enforcement to the organization.

J. Career Development: Performance management is important and is part of the foundation for career development. Provide career development opportunities. Raters play a key role in


helping employees develop their potential. Help create an environment where employees feel comfortable experimenting and making mistakes.

5.3.3.2 Staffing Gaps and the TDYer

For staffing gaps or other issues in identifying a rater, Mission management will make every effort to

find a direct-hire FS, CS, uniformed service member or a temporary duty (TDY) officer who can serve as a

rater. A rater who has supervised an employee for fewer than 120 days is encouraged to complete a

Memorandum of Performance (see Interim Reports). If the rater has supervised an employee for more

than 119 days, the rater is expected to prepare an interim EPR.

5.3. 4 Reviewer

The reviewer is a:

Direct-hire Foreign Service, Civil Service, or uniformed service member;

Officially assigned to the Mission;

Under COM authority; and

Knowledgeable enough of the employee’s overall performance to evaluate that performance accurately.

Every reviewer must:

A. Read this chapter to obtain a good understanding of their role in the performance management process;

B. Review each Work Requirements Statement (WRS) , Performance Discussion Summary (PDS), Performance Improvement Plan ( PIP), other performance-related documentation, and Employee Performance Report (EPR) written by the rater, as appropriate;

C. Prepare the reviewer performance narrative, as required or requested by the employee; D. Periodically meet with the rater to discuss the section’s objectives; and E. Meet with the rater to discuss each employee’s overall performance rating, and resolve any

difference between the rater and reviewer summary ratings, as needed.

A Reviewer Summary is required if:

The NOR is employed on a PSA, and the rater is not a direct-hire FS, CS, or uniformed service member; or

The NOR is employed on a FMA and requests the review; or

The employee has been on a PIP during the rating period; or

The summary rating is “Needs Improvement” or “Not Successful”.

Even when a reviewer’s statement is not required, reviewers are encouraged to participate in the

evaluation process. The EPR can be used to encourage, motivate, and commend employees for a job

well done in the case of good performance, and to identify and document performance problems for

those who experience difficulty in meeting job requirements.

The reviewer reads the EPR completed by the rater to determine whether it is a factually correct and

accurate assessment of the employee’s performance for the period covered. The reviewer also uses


their observations and knowledge of the employee’s performance in determining a reviewer summary

rating. The reviewer’s comments should be weighed against specific examples of performance provided

by the rater. The reviewer must be mindful that their comments do not create a situation that

diminishes the role or authority of the rater. To be an effective reviewer, the reviewer can serve as a

coach/mentor for the rater.

If the rater and reviewer have different summary ratings, they should discuss and reconcile differences

about the employee’s overall performance and the summary rating prior to giving the final EPR to the

employee. In rare instances when the rater and reviewer are unable to reach a consensus on what

should be the overall summary rating, the final decision will rest with the post review committee and/or

the post HRO.

5.3.5 Employee – Not Ordinarily Resident (NOR)

Employee responsibilities:

A. Read this chapter to obtain a good understanding of the employee’s role in the performance management process;

B. Have a signed copy of the Position Description which confirms the employee’s agreement to perform the listed duties and other tasks as assigned;

C. Work with the rater during the first 45 days of the rating period in developing a Work Requirements Statement (WRS), with the understanding that the rater is the final authority on the submitted WRS;

D. Participate in performance discussion sessions by meeting with the rater to discuss overall performance and accomplishment of the WRS

E. Ensure understanding of the Performance Discussion summary and/or PIP (if applicable; F. Follow the guidance specified for performance improvement; G. Request more performance discussion sessions, if appropriate;

H. Participate in the performance evaluation process by ensuring the rater is aware of all

accomplishments, work products, etc. The employee may send the rater and reviewer (as

appropriate) an e-mail or memo listing accomplishments, successes, and any formal or on-

the-job training completed during the rating period;

I. Sign and date the EPR after the rater and reviewer (as appropriate). Signing the EPR acknowledges receipt of the rating, and in no way implies an agreement with the narrative summary or rating. The employee is given 3-5 calendar days to review and, as appropriate, provide comments for inclusion into their EPR. Since the employee is responsible for submitting the EPR to HR by April 15, the employee should be mindful of this reporting deadline.


5.3.6 Post Review Committee

Typically, post EPR review committees are the same individuals selected to sit on Foreign Service

Employee Evaluation Review (EER) panels. The Post Review Committee will ensures that each EPR has

been prepared according to the appropriate regulations and does not contain inadmissible comments.

The committee chairperson is required to sign the appropriate section of the EPR, after negotiating

changes with the author (rater, reviewer or employee) of any inadmissible comments.

5. 4 The Employee Performance Report (JF-57-EPR)

The beginning of each rating cycle is March 15th. The rater informs the employee what is expected,

offers the employee an opportunity to ask clarifying questions, and ensures that the employee

understands the expectations set forth in the Work Requirements Statement (WRS/Form JF-57 EPR,

Section III). The rater continues to provide the employee with performance feedback throughout the

rating period.

The WRS must always relate to the job the employee is expected to do and the employee must know

what the daily job requires. The EPR documents significant instances of “Outstanding” or “Exceeds

Expectations” performance in difficult circumstances, and/or instances of undependability, inefficiency,

discredit brought on the Mission, or general poor performance.

When the employee is not performing at a level of “Fully Successful” or above on any duty or

responsibility contained in the Position Description (PD) or WRS, the rater counsels the employee, and

determines a reasonable amount of time to improve, generally between 30-120 calendar days. The

rater will document this discussion with an email to the employee. If informal discussions do not

produce improvement, the rater must use Form JF-57 PD to document the performance discussion.

Alternatively, after consultation with the post HRO, a Performance Improvement Plan (PIP) (Form JF-57 -

PIP) may be issued.


5.4.1 Work Requirements Statement (WRS)

The Employee Work Requirements Statement (WRS) specifies duties and responsibilities that are

derived from the Position Description (PD) that an employee is expected to perform during the rating

period on a regular basis.

Employee WRS:

--- Is critical to ongoing successful performance, because they establish a measure of individual

accountability for performance of the work assignment or responsibility;

--- Must be clear, concise, and consistent with the organization’s objectives and with the

requirements established for other employees with similar responsibilities;

--- Must be written in as much detail as possible, in many cases taking text directly from the PD;

--- Must be established and documented using Section III of the JF-57 for submission to the HR

office within 45 days of EOD or within 45 days of the new rating cycle thereafter. This

requirement ensures the employee has written documentation of what is expected regarding performance of duties and the rating basis.

---Must be signed by the employee as acknowledgement that the rater and employee have

discussed the WRS, and the employee understands the requirements for this position. The rater

has the final authority on the selection of which requirements will be used to evaluate the

employee’s performance. An employee’s refusal to sign the WRS may be grounds to support

the issuance of a PIP.


The WRS is the main focus for evaluation during the rating period, but the employee is still expected to

successfully perform all the duties and responsibilities in the Position Description. The rater may

address other areas of performance contained in the PD in the rater narrative.

The WRS may be the same or different for future rating periods. However,

Last-minute changes to the WRS during the rating period may disadvantage the employee and cause confusion about the rater’s expectations of performance.

If the rater must change a WRS, the rater must provide the employee enough time (no less than 30 days) to demonstrate successful performance on each requirement used for evaluation.

Examples from a variety of job duties from a PD include:

Duty: Serves as the direct supervisor for four employees in the GSO section. Delegates work and

monitors work progress effectively. Approves leave and serves as rating officer for staff performance

evaluation. Acts as effective liaison between staff and higher-level management. Encourages

employee development throughout informal and formal training (that is, developmental assignments,

special projects, classes, and mentoring). Promotes the principles of equal employment opportunity.

WRS: Visits work site (announced-unannounced) as necessary to see status of the project(s) to

verify work is progressing according to the designated timelines. Ensures staff receives annual safety

training and that safety regulations are posted and enforced. When necessary, independently

determines when the staff can be better utilized to meet task deadlines. Prepares work schedule for

special projects. As required holds performance discussions with staff and prepares and submits

performance documentation on time.

_______________________________

Duty: Plays a key role in developing general policies and plans for the project. Provides leadership in

setting up collaborations with partners, identifying project requirements, planning strategic direction,

and providing technical assistance.

WRS: Develops timeline for the project from inception to completion. Monitors timeline to ensure the

project is moving according to schedule. On a monthly basis, reviews project requirements, and

discusses areas for improvement and submits reports by the due date.

_______________________________

Duty: Promotes US trade and investment in country. Reports on the country’s textile industry. Works

closely with textile exporters and government ministries to develop and maintain timely reporting

mechanisms to meet AGOA requirements. Evaluates, promotes, and assists in obtaining market access

for indigenous products that qualify for export to the US. Works with the DCM to identify suitable

candidates for the USDA-sponsored Cochran Fellowship Program.


WRS: Drafts an annual report on the country’s textile industry. The report must include input from

textile exporters, government ministries and be submitted to Washington DC NLT June 15, XXXX.

Duty: Provides guidance to non-immigrant visa applicants, advising them on consular regulations,

department procedures, and suggestions for applicant compliance concerning applications for various

types of non-immigrant visas, including student visas, work permits, and tourists visas. Provides the

majority of consular section’s guidance to the general public.

WRS: Prescreen applicants’ OF-156 forms to ensure they are signed and filled out to 98% accuracy. _______________________________

Duty: Responsible for servicing, repair, overhaul, and conduct of preventive maintenance programs on

generators. Also responsible for emergency repairs, inventory, and ordering of generator sets and parts,

plus directs the installation of emergency generators.

WRS: Ensures preventive maintenance is scheduled year round. Reports any problems and ensures

timely repair or replacement of equipment not functioning properly. Prepares monthly reports

regarding the maintenance and servicing of equipment. The maintenance must comply with the

manufacturer’s suggestion or DOS regulations.

_______________________________

Duty: Oversees the inspection and documentation of non-expendable property received and applies bar

code labels. Completes automated receiving reports to denote any shortages, overages, or damage.

WRS: Conducts monthly spot checks and reports on the accuracy of non-expendable property in

inventory against system reports, and verifies the accuracy of the corresponding bar code labels. Upon

receipt of new equipment, furniture (residence or office), applies bar codes and inventories items.

5.4.2 Performance Discussions (JF-57 PD)

Employees must be informed of their performance throughout the rating period, not just when it’s time

to start completing EPRs. Schedule personal discussions with the employee to review performance, and

identify the areas of success and for improvement, which are important to the employee’s ongoing

career development.

The rater is required to hold at least one performance discussion during the mid-point of the rating

period, review and documents the discussion on the JF-57 Performance Discussion form. Past and

future performance reviews play a key role in the evaluation process; they are an essential component

of good management.

The rater identifies areas where the employee needs to improve and specifies at least one area to best

direct their efforts. Area(s) cited are linked to one or more of the goals noted in the WRS and/or the PD.


The rater justifies recommendations are best justified with examples”. This section may or may not

include recommendations for formal training. Comments in this section do not require an associated

Performance Improvement Plan (PIP).

The key to a successful performance discussion is to be fair and constructive. An employee will usually

welcome and accept constructive appraisals without resentment if they are based on fact and presented

without prejudice. At least one performance review session must be documented and recorded on

Form JF-57PD. The rater may document other in-person performance discussions via email to the

employee, or on a separate Form JF-57 PD.

Raters who choose to document more than one performance discussion may use separate Performance

Discussion form (JF-57PD).

The following sequence may be used by the rater during the actual Performance Discussion meeting:

1. Schedule an appointment with the employee at least one week in advance so the employee can prepare for the performance discussion.

2. Put the employee at ease and create a relaxed environment for an honest and open discussion of performance.

3. Review and discuss the two to six WRS identified for evaluation at the beginning of the rating period. Ensure the performance discussion focuses mainly on these evaluated WRS, but also includes some discussion about the other main duties and responsibilities in the PD that aren’t in the WRS.

4. Review the draft rating with the employee. 5. Comment on the employee’s strengths and weaknesses, and encourage open discussion. 6. Discuss specific recommendations for improvement and agree how to implement them. Set a

time limit for each improvement factor and follow up.

Performance discussions and documenting unacceptable performance do not have to focus only on

areas identified in the WRS Section III of the EPR; raters can provide feedback in all areas of work

assigned in the PD.


5.4.3 Summary Ratings

The rater’s summary rating reflects the rater’s assessment of overall performance, taking into consideration the relative importance of each work requirement. Before submitting the report to HR, the rater shares and discusses a draft of the report with the employee.

Guidelines for applying the Summary Ratings:

Outstanding: The rater deems the employee’s performance significantly and consistently exceeds

expectations for all WRSs. The employee serves as a role model and mentor to others.

Exceeds Expectations: Exceeded expectations for 80% or more of the WRS. For example, if a rater has

established five WRS, and the employee has exceeded expectations for four of the WRS, then the overall

summary rating of EE is appropriate, as long as no work requirements were deemed “Needs

Improvement” or “Not Successful.”.

Fully Successful: Performance consistently achieves expected performance levels established by the

work requirements. No work requirement(s) were deemed as “Needs Improvement” or “Not

Successful.”

Needs Improvement: Performance is weak or inconsistent for at least one work requirement, and is

deemed below the level of “Fully Successful.” A summary rating of “Needs Improvement” can be

assigned only if preceded by a documented performance discussion or if a Performance Improvement

Plan was prepared and submitted to the rated employee 30-120 days before the end of the rating

period. The performance discussion/PIP must have specifically addressed the area requiring

improvement. (see section 5.5)

Not Successful: More than one work requirement is below expectations. Rarely achieves expected

performance levels, and immediate improvement is needed. The employee requires significant and

immediate corrective action. A summary rating of “Not Successful” can be assigned only if preceded by

a Performance Improvement Plan (JF-57PIP) presented to the rated employee 30-120 days before the

annual or interim rating. (see section 5.5)

NOTE: If the employee’s summary rating is “Needs Improvement” or “Not Successful,” they are

ineligible for a within-grade increase (WGI) until their performance improves and the rater completes a

new review. The rater and reviewer must notify the HRO to withhold processing the WGI no later than

two pay periods before the effective date.

When the performance returns to the level of “fully successful,” the rater/reviewer should request that

a WGI is processed for the employee. Retroactive requests for WGIs should be requested only when

there are administrative delays. Noncompetitive eligibility under E.O. 12721 for domestic USG

employment is based in part on the family member’s performance rating of “Fully Successful” or better

(or equivalent) on the most recent performance evaluation.


5. 4. 4 Performance Narrative

The rater’s statement is mandatory.

The rater must provide specific examples to support the rating summary. In cases of poor performance,

it is essential to show why performance is considered inadequate, to detail recommendations made in

the past to encourage improvement, and to specify the time frame given for improvement (generally 30-

120 calendar days as determined by the rater).

The rater may refer to prior Performance Discussion summaries, PIPs, counseling memoranda of

performance, or other official performance-related documentation only when the rater has previously

provided copies to the employee, but these documents should not be included in the e-OPF. The rater

references all performance-related documentation by date and subject in the narrative for inclusion in

the employee’s performance file. The rater may not reference or attach to the EPR performance-related

e-mails between the rater and employee, the rater’s personal notes, or a record of any other informal

counseling sessions that resulted in documentation not previously provided to the employee.

The narrative may comment on the employee's potential to assume greater responsibilities.

5. 4. 5 Employee Statement

The employee is encouraged to provide comments regarding their performance during the rating

period. It’s important for the employee to address areas of success as well as areas for improvement.

These comments can be helpful when considering award nominations, reviewing future training

opportunities, or when the employee is under consideration for future employment opportunities

within the Mission or as a direct-hire in the Foreign Service or Civil Service. The employee may indicate

how the rater and reviewer helped develop the employee’s knowledge, skills and abilities. The

employee is given 3-5 calendar days from the date of the final EPR to prepare their statement and

submit the EPR to post HR.

The employee is encouraged to provide comments, but is not required to do so.

5. 4.6 Signatures

All applicable sections of the Performance Management forms (WRS, Performance Discussion, and

Performance Narrative), must have the signature of the rater, employee, or reviewer (if required).

The employee signs each of the performance management forms above, verifying receipt of the

completed form, regardless if they disagree with any of the content. Signing these forms acknowledges

receipt and does not constitute agreement with the rating. For instance, an employee’s failure to sign

does not prevent HR from processing and distributing the EPR, nor does it preclude HR from including

the EPR in the FMA Official Employee Performance File (e-OPF), or in the case of an EFM on a PSA into

the employee’s performance folder.

If the employee (at post) refuses to sign the EPR by the date due to HR, post HR indicates this in the

appropriate “Certification” section, provides a copy of the report to the employee, proceeds with the


appropriate distribution (e-OPF, EPF), and provides a memo to the Front Office explaining the reason for

the late EPR.

An unsigned EPR with a rating of “Fully Successful” or higher should not result in a delay in processing

the Within Class (Step) Increase.

There may be circumstances when an employee will depart post before the performance report has

been completed for reasons that may include but are not limited to:

Absence of the rater or reviewer from post; Participant curtailment; Ordered departure; Emergency evacuation; and/or Employee refusal to sign a performance report;

Then the HR officer will:

Indicate this in the appropriate “Certification” section; and

Provide the EFM with a copy of the performance report.


5. 4. 7 Inadmissible Comments

EPRs can contain no inadmissible comments, including employee comments. Nor can other forms of

evaluative material (e.g., the WRS, JF-57, Performance Improvement Plan, letters of recommendation).

Raters, reviewers, and the Post Review Committee must avoid submitting reports containing

inadmissible comments.

Inadmissible comments include, but are not limited to, references to:

A. Race, color, religion, sex, (does not extend to the use of Mr., Ms., Mrs. or first names or personal pronouns), national origin, age (including references to “young,” “old timer,” and “many years of service”), disability, reasonable accommodation for disability, sexual orientation, and prior Equal Employment Opportunity (EEO) activity.

B. Physical characteristics and personal qualities; these do not affect performance or potential. C. Marital status or plans; references to spouse, family, or other members of household, including

those relating to social activities or the ability of a family member to represent the United States.

D. Retirement, resignation, or other separation plans. E. Job sharing or teleworking. F. Grievance or equal employment opportunity. G. Reference to private US Citizens by name. H. Ratings for earlier periods prepared by other raters and reviewers. I. Reluctance to work beyond the regularly scheduled work day or authorized work schedule. J. Leave record, except in the case of unauthorized absences. K. Negative or pejorative discussion of another identifiable employee’s performance. L. Identification by the rater or reviewer of medical conditions (including alcoholism, drug abuse,

or rehabilitation efforts.) M. Outside activities that are not relevant to performance or Mission effectiveness. N. Absences due to sick leave

If HR or the Post Review Committee finds inadmissible comments in the EPR, HR informs the rater,

reviewer, or employee, as appropriate, of the changes needed. The Human Resources Officer has final

authority in determining admissibility of comments.

5. 4. 8 Annual Reporting and Submission Dates

The annual rating period ends on March 14, and the EPR is due to post HR by April 15 for all NOR

employees. An EPR submitted after April 15 is deemed officially late. It is important to submit the EPR

on time. A rater or reviewer who fails to complete and submit EPRs on time neglects a fundamental

managerial duty. A delayed EPR can have serious financial consequences for the rated employee, and

undermines morale.

All EFMs employed on an FMA, including individuals on a when actually employed (WAE) work schedule,

who are returning to the US and wish to apply their non-competitive eligibility for USG government

domestic positions, must submit an EPR with a rating of “Fully Successful” or better with future

applications for employment.


The COM or DCM usually delegates internal control monitoring responsibility for EPRs of NORs of all

participating agencies to the Management or HR Office. (REF: 12 STATE 09529)

The Mission must establish internal controls to ensure reports are submitted on time. For example, the

Mission may adopt a policy which states that, unless there is justification, failure to submit an

employee’s EPR in a timely manner will be included in the rater’s performance report. Internal controls

must cover the EPR submissions prior to a rater’s permanent departure from the Mission when the rater

has supervised the employee for 120 calendar days or longer prior to departure.

5.4.9 Interim Reports

An EPR (JF-57) is used to document rating periods lasting between 120 days and one year of

performance.

Memorandum of Performance

A Memorandum of Performance may be used to document performance for rating periods of less than

120 days.

Although a Memorandum of Performance is voluntary, the rater is strongly encouraged to complete one

as it acknowledges the employee’s professional contributions, reinforces the importance of

performance management, and offers details that are useful to future employers.

The Memorandum of Performance includes:

Employee’s name and ID number (if applicable)

Grade and official title of the position

Post/Bureau/ Office

Period covered

Rating officer’s name and title

Rating Officer’s comments regarding duties performed

Area(s) for improvement (if applicable)

Summary rating

The employee’s performance is assumed to be “Fully Successful” for any periods not documented with

an EPR or Memorandum of Performance.


5. 5 Performance Improvement Plan (PIP)

5. 5.1 Performance Improvement Plan (Form JF-57 PIP)

Raters should collaborate with the Mission HRO to discuss unacceptable performance that will be

documented in a Performance Improvement Plan (Form JF-57 -PIP) BEFORE giving the PIP to the

employee. The HRO and rater should decide on a plan of action to improve the employee’s

performance. For example on-the-job training with an experienced technician, specific examples of

acceptable work products, etc.

The PIP will make specific recommendations for improvement as well as specific action steps that will

help the employee meet performance expectations. The rater and employee should discuss the area(s)

for improvement and agree on how to implement needed change. The rater should set a time limit for

each improvement factor or goal and consistently follow up. The rater must establish an end date that

will be used to determine whether the employee has attained the required “Fully Successful”

performance level. The time to improve performance may not extend beyond six months.

The rater gives a copy of the PIP to the employee. The employee signs the original PIP acknowledging

receipt. The rater then gives the original signed PIP to HR for placement in the Employee Performance

File.

At the end of the PIP period, the rater must determine whether the performance level(s) is now “Fully

Successful” or “Not Successful.” If the performance is determined “Fully Successful”, the PIP remains in

the employee performance folder until the employee departs post. Copies of the EPR and PIP shall be

destroyed one year after the employee departs post. Only in instances when the EFM who is employed

on an FMA has a final PIP rating below “Fully Successful”, shall the original PIP be forwarded to the

regional FMEC for inclusion in the e-OPF (this does not apply to NORs on a PSA). If at the end of the PIP

period, the performance is deemed “Not Successful”, the rater and reviewing officials may elect to

terminate the FMA or PSA.

If after a successful progression from a PIP, an employee’s performance returns to a level below “Fully

Successful,” the supervisor must document the unsuccessful level of performance and recommend

terminating the employee’s appointment or PSA without affording the employee any further

opportunity to improve performance.

While on a PIP, the employee is not eligible for awards and may not apply for other embassy positions.

Issuing a PIP within 30 days of the end of a rating cycle

Because performance management is an on ongoing process, there may be the rare circumstance when

a rater identifies unacceptable performance 30 days or fewer before the end of a rating cycle. The rater

should promptly coordinate efforts with the post HRO to prepare the PIP, discuss the PIP with the

employee, and delay the WGI. If at the end of the PIP, the employee has reached a level of “Fully

Successful” or better, the rater should complete the annual EPR.


5.6 Probationary Periods

5.6.1 EFMs on an FMA (Full- or Part-Time)

Performance: An Eligible Family Member (AEFM) holding a new position and hired under a

Family Member Appointment (FMA) or Temporary Appointment (TEMP) does not serve a

probationary period. However, employment may be terminated at any time based on the

Mission’s needs.

Eligibility for a new vacancy announcement: An employee hired under an FMA must work 90

calendar days in the current position before s applying for other positions advertised at the

Mission. This policy has no exceptions.

An AEFM hired on a When Actually Employed (WAE) schedule is not required to work 90

calendar days in the current position before applying for advertised positions at the Mission.

AEFM/WAEs may apply for advertised Mission vacancies at any time.

5.6.2 EFMs and All Other NORs under PSAs

Performance: EFM employees hired under a PSA by the Department of State (DOS) or a

participating agency under Chief of Mission (COM) authority do not serve a probationary period.

However, employment may be terminated at any time based on the Mission’s needs.

Eligibility for a new vacancy announcement: An employee hired under a PSA must work 90

calendar days in their current position before applying for other positions advertised at the

Mission. This policy has no exceptions.

A NOR employee hired under a PSA fixed-term for less than one year, or under a PSA with an

intermittent or when actually employed (WAE) work schedule, is not required to work 90

calendar days in the current position before applying for advertised positions at the Mission.

These employees may apply for advertised Mission vacancies at any time.


5.7 Misconduct and Discipline

5.7.1 Authority for Family Member Appointments

EFMs on an FMA are subject to the regulations prescribed in 3 FAM 4300, Section 610 of the Foreign

Service Act (HR/ER/CSD), and 12 FAM 228. 3-4. An agency may not affect the separation of an employee

for misconduct unless the Foreign Service Grievance Board (FSGB) has first determined that the agency

has established cause for separation in a hearing before the board (3 FAM 4360). Disciplinary actions

beyond an oral or written admonishment are subject to review and/or approval by HR/ER/CSD and L.

Please consult HR/OE for assistance.

5.7.2 Authority for NORs Employed on a Personal Services Agreement

3 FAM 4000 may be consulted as a guide when initiating and effecting necessary disciplinary actions.


6. Separation/Departure

6.1 Separations/Departures………………………………………………………………………………………………..77

6.1.1 Intermittent Non-Work Status……….………………………………………………………………77

6.1.2 Resignation………..………………………………………………………………………………………….77

6.1.3 Termination……………….…….………………………..…………………………………………..……..78

6.2 Non-Competitive Eligibility under Executive Order 12721 (EO 12721)…………………………...79

6.3 Mission Support for Departing EFMs……………………………………………………………………………..79


6.1 Separation/Departure

There are four ways an AEFM leaves his/her Mission position:

6.1.1 Intermittent No Work Scheduled (INWS)

An AEFM is placed in INWS when s/he:

Vacates (but does not resign) a position at a post abroad;

Vacates a position due to permanent departure from post (end of tour of assignment);

Vacates a position due to lack of funding or abolishment of the position; or,

Loses status as an EFM (e.g., death of sponsoring employee, divorce or statement of dissolution as defined in 3 FAM 1610.)

An AEFM in INWS status remains a DOS employee until the FMA’s initial 5 year appointment expires when applying to positions advertised as “State Only”. Although s/he does not continue to receive pay or service credit during INWS, benefits and leave balances are frozen. The AEFM regains all accrued unused sick and annual leave when next employed by the US Government on a direct-hire appointment. The default personnel action for an EFM on an FMA is INWS, unless the EFM specifically requests termination. A personnel action (cable) must be completed and sent to the FMEC upon the individual’s entrance into INWS status.

An AEFM employee under an FMA in INWS status remains a DOS employee. Under Federal contracting regulations, an individual cannot accept employment under a PSA or PSC unless first resigning from the FMA appointment. The AEFM can, however, accept another appointment in the Federal service.

While on an FMA, whether in pay and duty status or in INWS status, the AEFM is covered by all standards of conduct regulations.

6.1.2 Resignation

An AEFM resigns voluntarily when s/he is no longer interested in keeping the Family Member Appointment. Reasons for resignations can be:

• Acceptance of a Personal Service Agreement (PSA), Personal Services Contract (PSC), Non- Personal Services Contract (N-PSC); • Desire to leave Federal service, i.e., to receive lump sum payment for leave balances, to transfer TSP, etc.


• Desire to enroll in Temporary Continuation of Coverage (TCC) of FEHB for domestic partners.

Resignations must be in writing to the Post HR or chief of section with an effective date. A specific reason is not required.

Domestic Partner FMA employees must contact their bureau FMEC within 31 days of entering into a no pay status for regulations which govern eligibility to continue medical benefits (FEHB). When s/he becomes aware of a DP FMA employee’s departure, post HRO should initiate Form SF-2810 (Notice of Change in Health Benefits Enrollment) and send the form to the HRSC.

AEFMs residing in the United States who wish to resign should do so, in writing, to their last Family Member Employment Coordinator (FMEC). The FMEC will prepare the necessary SF-50 to end employment. An EFM who resigns voluntarily will receive a lump sum payment of all unused annual leave.

6.1.3 Termination

FMAs may be terminated at any time, regardless of the expiration date specified on the appointment personnel action. Termination of an individual’s FMA may occur for any reason, including one or more of the following events:

Revocation, suspension, reduction of the security clearance;

Failure to perform satisfactorily in a position as documented by his/her supervisor; and/or

Misconduct or inability to meet suitability standards.

Certain events that cause a loss in AEFM status do not require immediate termination of an FMA, including death of the sponsoring employee or divorce or annulment from the sponsor. In the event an employee’s sponsor retires, an AEFM who has earned EOE does not forfeit it. In these instances, the FMA employee may continue in INWS status. Continuations under this provision may extend until whichever of the following happens first:

For a period of up to one year from the event date that caused the loss in AEFM status;

The FMA’s expiration date (the “not to exceed” (NTE) date); or

The date on which the AEFM individual receives another appointment with the USG.

To receive a continuation in INWS status, the AEFM employee must submit a request, in writing, to the Director of HR/OE. All such continuations must have the Director’s approval and are granted solely at DOS’s management discretion.


6.2 Non-Competitive Eligibility under Executive Order 12721 (E.O. 12721)

When an AEFM has worked 52 weeks on a FMA or on a TEMP appointment, s/he is entitled to invoke the Executive Order 12721 when applying for Federal positions. An AEFM is eligible for temporary, term, or career-conditional appointment(s) under EOE 12721 for a period of three years following the date of return from overseas to the US to resume residence. The EFM will need to present to the hiring office his/her SF-50, and a copy of the last successful performance rating while employed on a Family Member Appointment.

The two best sources for USG job information are the FLO Network listserv and www.USAjobs.gov. To subscribe to the Network listserv, send an email to [email protected].

To have non-competitive eligibility, an AEFM must:

Have held a qualifying position that has either a full-time regular workweek schedule (40 hours per workweek) or part-time regular work week (not less than 16 hours and not more than 32 hours per week) complete 52 weeks of service (consecutive or non-consecutive) or while employed on an intermittent/WAE work schedule who has accrued 2087 (consecutive or non-consecutive) in an appropriated fund position(s) performed under a local hire appointment(s) overseas ;

Perform the work during the time the family member was accompanying a sponsor officially assigned to an overseas area;

Be a family member at the time s/he met the overseas service requirement (but is not required to be a family member at the time of non-competitive appointment in the US); and

Receive a fully successful or better (or equivalent) performance rating.

However, family members should understand that while they may invoke non-competitive status for temporary, term, or other excepted service positions multiple times during the eligibility period, once they have been appointed to a career-conditional Civil Service position they cannot invoke their eligibility under EOE 12721 again.

An AEFM who has earned this eligibility status do not have to be in pay or non-pay status (INWS) to invoke EO 12721.

Note that any law, executive order, or regulation that disqualifies an applicant for appointment in the competitive service also disqualifies the applicant for appointment under EOE 12721.

6.3 Mission Support for Departing EFMs HR personnel should include a segment for family members in the departure seminar. Although family member employees bear the responsibility to maintain their employment portfolios, you can do the following to assist them:

http://www.usajobs.gov/



A) Ensure the employee’s supervisor has completed the Employee Performance Report (EPR) JF-57 and provide the family member a copy;

B) Forward the original EPR to the Family Member Employment Coordinator (FMEC) for inclusion in the employee’s e-OPF (FMA only); and

C) Remind family members that HR personnel generally do not have access to individual Employee Express accounts. Therefore, the AEFM should print or download as PDFs their SF-50s, WGIs and date the employee left post and was put in INWS and hand carry the recommended list of documents to the next post.

D) Post HR may also provide a letter on post letterhead that verifies an EFM has earned 52 weeks necessary for non-competitive eligibility.

E) Provide a copy of the final personnel action cable (termination or INWS cable) to the family member.

Post must report an INWS employee as “difference with schedule (DWS)” for three full pay periods after entry into INWS status. FMA individuals are permitted to take leave prior to entering INWS and/or carry over unused leave for the next Federal employment.

The INWS personnel action must include a forwarding address. In addition, family members are responsible for updating their change of address through Employee Express for Global Financial Services Center (GFSC) to forward the W-2.

Upon the family’s departure from post or the position, HR MUST update Web Post Personnel (WebPS) immediately.


7. Training and Professional Development

7.7.1 Family Liaison Office Professional Development Fellowship Program

7.7.2 Language Courses

7.7.3 Functional Training for Foreign Service Family Members

7.7.4 Teacher Training

7.7.5 Career Development Resources Center

7.7.6 Global Employment Initiative Workshops


7. Training and Professional Development

Equity and equal opportunity also apply to formal and informal training and developmental activities for

employees. To the extent possible and taking into account (a) workload, (b) agency/section operational

effectiveness, (c) employees encumbering developmental and/or training level positions, (d) the WRS

provided in the JF-57, (e) and/or employees’ personal preferences, the rater provides training and

developmental opportunities to all employees equitably. The agency’s needs and budgetary limitations

always play a significant role in how a rater assigns training and developmental opportunities for NOR

employees. Current training and professional development opportunities for family members are on the

Family Liaison Office website and summarized in the sections below:

7.1 Family Liaison Office (FLO) Professional Development Fellowship (PDF) Program

The Family Liaison Office’s (FLO) Professional Development Fellowship (PDF) Program is intended for

spouses and partners to maintain, enhance, and/or develop their professional skills when they are not in

a position to pursue their career path overseas. Fellowships from $1,000 up to $2,500 are offered on a

reimbursable basis for professional development activities including, but not limited to, education and

distance learning, professional development, obtaining or renewing certifications and licensures, and

participation in professional conferences. Fellowships may be used for programmatic costs only. They

may not be used for travel and M&IE. The fellowship program period activities take place over a pre-

determined 12-month period. The announcement cable in March details the process. Proposal

applications are due by May for review by a DOS selection committee. Successful applicants are notified

by August. An ALDAC will provide specific dates for each program year. For more information, email

[email protected].

7. 2. Language Courses (Foreign Service Institute) (US-based)

Enrollment of family members in language training and area studies is coordinated through the Bureau

of Human Resources/Career Development and Assignments. The Department of State employee should

contact their Assignments Officer for further information about enrolling a spouse in language training.

Family members affiliated with non-Department of State agencies and posted to U.S. Missions abroad

are subject to their sponsor’s hiring agency regulations, procedures and funding. Typically, non-DOS

EFMs interested in FSI language training enroll through their sponsoring employee’s agency training

officer using form SF-182 with the appropriate fiscal data.

7. 3 Functional Training (US-based)

DOS is authorized to provide functional training (e.g. Consular Affairs, HR, GSO) to family members of

USG direct-hire personnel anticipating an overseas assignment. Functional training for anticipated

prospective employment is offered to family members on a space available basis. Eligibility for most

functional training requires a family member to be a U.S. citizen, whose spouse has been paneled for an

overseas assignment. For information on the above training opportunities, direct your family members



to contact the FLO Functional Training Officer and visit the FLO website:

http://www.state.gov/m/dghr/flo/c21570.htm.

7. 4 Teacher Training (US-based)

See Office of Overseas Schools Training Programs.

7. 5 Career Development Resource Center (CDRC) (US-based)

The CDRC offers seminars throughout per year, focusing on employment and career development.

These can include Effective Job Interviewing, Ultimate Resume, Writing Accomplishment Statements,

Individual Development Plan, Life Cycle of a Job, and the Job Change Decision. For more information

contact [email protected]

7. 6. Global Employment Initiative (GEI) Workshops at Embassies and Consulates (Overseas)

The GEI program helps family members explore their employment and professional development

options as they transition from post to post. The Global Employment Advisor (GEA) assists family

members arriving to a new country with guidance on the local economy, self-employment, telework,

volunteering, continuing education as well as positions inside the embassy. The GEAs provide family

members deliver workshops and webinars covering topics such as resume writing, interviewing skills,

using social media for your job search as well as transitioning back to Washington. For more

information contact [email protected]

7. 7 Language Training at Post (Overseas)

If post offers a Language Training Program, the EFM consults with the Post Language Officer regarding

availability. Ask if your post has a Language Grant Program that provides money for grant-sponsored

trips intended to immerse students in language and culture. Also see FSI language distance learning

options.

http://www.state.gov/m/dghr/flo/c21570.htm



Endnotes The citations provided below are formatted to show the guidebook chapter and section, followed by the reference type and subject/title, where applicable.

Chapter 1

1. 1.3.2 – 03 State 51440; Point of Clarification – PSA Memorandum of Agreement 2. 1.3.3 – 04 State 273748; Clarification and Correction to 04 State 199609; Policy and Procedure

for Employing US Citizen EFMs and Other Locally Employed Staff at USAID Missions Abroad

Chapter 2

1. 2.2.4 – 14 FAM 511.3; Eligible Family Member 2. 2.2.6 – 04 State 273748; Clarification and Correction to 04 State 199609; Policy and Procedure

for Employing US Citizen EFMs and Other Locally Employed Staff at USAID Missions Abroad. 3. 2.3.1 – 04 State 273748; Clarification and Correction to 04 State 199609; Policy and Procedure

for Employing US Citizen EFMs and Other Locally Employed Staff at USAID Missions Abroad. 4. 2.3.2 – 10 State 72562; Foreign Service Overseas Comparability Pay, Phase Two 5. 2.4.4 – 12 State 90284 Professional Adjudication Specialist (PAS) Program Enhancements; 7 FAH-

1 H-343.4-3 What Consular Associates can and cannot do

Chapter 3

1. 3.1 Local Employment Recruitment Policy 2. 3.2.3 – 3 FAM 8215; Termination of Family Member Appointment 3. 3.3.2 – 3 FAM 1610; Domestic Partner

Chapter 4

1. 4.1.1.1 – 5 CFR 531.221(b) and 531.222(b). ; Maximum Payable Rate Rule 2. 4.4 5 CFR, Part 310.101 Nepotism 3. 4.5. 01 STATE 12779 Mandatory Implementation of Electronic Security Forms

for New Hires; 06 STATE 071238- New Security Clearance Revalidation Procedure; 14 STATE 39306 - Information on Processing Secret and Top Secret Security Clearances for Family Members Overseas; 14 STATE 119742- Information on Processing Family Members in Non-Sensitive Positions Overseas; 4.10 – 3 FAM 3400 4. Office of Personnel Management- Department Notice 2013_07_2013: Federal Employees Benefits: Additional Guidance on Coverage for Same-Sex Spouses, Annuitants and Their Families.

Chapter 5- 1. 5.7 ̶Section 610 of the Foreign Service Act of 1980 2. Records Disposition- Announcement Number: 2014-10-115; Date of Announcement October 17,


2014; A Message from U/S for Management Patrick F. Kennedy regarding State Department Records Responsibilities and Policy

Chapter 6

1. 6.1.3 – 3 FAM 8215; Termination of Family Member Appointment. 2. 6.2 – 5 CFR315 608 3. 6.3 – 3 FAH-1-H-3465