PERFORMANCE APPRAISAL PLANs FOR THE SENIOR EXECUTIVE SERVICE (SES) AND Senior PROFESSIONALS (SP), (Includes Senior Level (SL) and scientific and professional (ST) positions)
(CT:PER-1260; 07-21-2026)
(Office of Origin: HR/CSTM)
(OIG employees should refer to OIG Performance Policy)
3 FAM 2831 GENERAL INFORMATION
(CT:PER-1245; 12-23-2025)
3 FAM 2831.1 Authority
(CT:PER-1260; 07-21-2026)
(State Only)
(Applies to SES members and SP employees Only)
5 U.S.C. 4312 through 5 U.S.C. 4314; 5 U.S.C. 4303; 5 U.S.C. 4507; 5 U.S.C. 5384; and 5 CFR 430, Subpart C; 5 CFR 432; 5 CFR 534.405.
3 FAM 2831.1-1 Performance Appraisal System
(CT:PER-1260; 07-21-2026)
The Department's performance appraisal system establishes the framework of policies and the parameters the Department must follow for the administration and operation of the performance appraisal program for covered senior employees as required in 5 CFR 430.304.
3 FAM 2831.1-2 Department-Wide Appraisal Program
(CT:PER-1260; 07-21-2026)
The Department-wide performance appraisal program establishes a performance management system that holds senior executives, senior level, and scientific and professional employees (SES/SP) accountable for their individual and organizational performance in order to improve the overall performance of the Department.
3 FAM 2831.2 Coverage
(CT:PER-1260; 07-21-2026)
(State Only)
(Applies to SES members and SP employees Only)
a. This is applicable to all members of the Senior Executive Service (SES), Senior Level, and Scientific or Professional (SP) employes at the Department, except senior employees of the Office of Inspector General (OIG).
b. A senior executive is a member of the Senior Executive Service (SES) paid under 5 U.S.C. 5383. A senior professional is an employee in a senior-level (SL) or scientific or professional position (ST) paid under 5 U.S.C. 5376. A senior employee can be a senior executive (SES) or a senior professional (SP). In this policy, SES and SP positions will collectively be referred to as senior employees or SES/SP, unless specifically differentiated.
c. This does not apply to members of the Senior Foreign Service, which are covered in 3 FAM 2810 under the Foreign Service Act of 1980.
3 FAM 2831.2-1 Types of SES Positions and Appointments Covered
(CT:PER-1260; 07-21-2026)
Employees of the SES/SP serve in the key positions. These senior employees are the major link between the presidential appointees and the rest of the Federal workforce. They include managerial, supervisory, and policy positions classified above General Schedule (GS) grade 15 or equivalent positions in the Executive Branch of the Federal Government. There are four types of appointments in the SES:
(1) Career appointments: Career SES positions are filled through a merit staffing process that evaluates candidates' executive core qualifications (ECQs) as certified by an independent Qualifications Review Board. Appointees may be assigned to either General or Career Reserved positions, with the same rights in either case;
(2) Non-Career appointments: Non-career SES appointments to General positions require approval from the White House Liaison Office and the White House. Nominees go through Office of Personnel Management (OPM) for appointment authority approval; however, they may not encumber a Career Reserved position;
(3) Limited term appointments: Limited Term SES appointments require approval from the agency's Executive Resources Board, are for a maximum of 3 years, non-renewable, and must be to a General position with project-oriented, time-limited duties expiring within 3 years. If agency allocations are all in use, OPM approval is required; and
(4) Limited Emergency appointments: These temporary appointments to urgently fill General SES positions, such as Special Projects, Task Force due to Ordered Departure, or a critical short-term Executive Staffing position, require approval from both the agency's Executive Resources Board and OPM. They have a maximum 18-month duration.
3 FAM 2831.3 Equal Employment Opportunity (EEO)
(CT:PER-1260; 07-21-2026)
(State Only)
(Applies to SES members and SP employees Only)
The principles of equal treatment and opportunity apply to all persons, and the furtherance of these objectives is the responsibility of all employees, mandated in the performance requirements of SES and SP.
3 FAM 2831.4 Records
(CT:PER-1260; 07-21-2026)
(State Only)
(Applies to SES members and SP employees Only)
Performance ratings of record documented on the SES Performance Management System Executive Performance Agreement (form DS-5121) and SL and ST Appraisal Program Performance Plan (form DS-5151), and other performance related documents will be kept in the employee's electronic official personnel folder (eOPF). All performance-related documents will be retained for a period of 5 years from the date the Final Summary Rating is issued per 5 CFR part 293.
3 FAM 2832 RESPONSIBILITIES
(CT:PER-1245; 12-23-2025)
3 FAM 2832.1 Approval Authority
(CT:PER-1260; 07-21-2026)
(State Only)
(Applies to SES members and SP employees Only)
a. The Deputy Secretary of State for Management and Resources is the Chair and a permanent member of the Executive Resources Board (ERB) in the Department. As appointing authority, the ERB approves all final summary ratings of career and limited term SES and SP employees; and approves performance awards and pay increases based on recommendations made by the Performance Review Board (PRB).
b. The ERB, as delegated by the Deputy Secretary for Management and Resources (D-MR), approves all final ratings and salary level increases of career and limited term SES and SP employees based on recommendations made by the PRB.
c. The Inspector General, or as delegated, approves all final ratings and pay increases for all OIG SES members.
d. The White House Liaison approves all final ratings and pay increases for all non-career SES appointments and political appointees.
3 FAM 2832.2 The Executive Resources Board (ERB)
(CT:PER-1260; 07-21-2026)
(State Only)
(Applies to SES members and SP employees Only)
The Executive Resources Board:
(1) Establishes Performance Review Boards (PRBs) made up of qualified individuals generally from selected Presidential Rank Awardees within the Department and those outside the Department to carry out the responsibilities specified in section 3 FAM 2832.3;
(2) Establishes the policies and procedures for the PRBs including the weights given to each critical element;
(3) Serves as the Presidential Rank Awards Committee to carry out the responsibilities specified in section 3 FAM 2837.2;
(4) Approves performance appraisal forms and instructions for SES/SP employees; and
(5) Modifies the Performance Appraisal Plan for the SES/SP and these regulations as required to implement the Department’s policy and procedures for SES/SP performance appraisals.
3 FAM 2832.3 The Performance Review Boards (PRBs)
(CT:PER-1260; 07-21-2026)
(State Only)
(Applies to SES members and SP employees Only)
The agency shall establish one or more PRBs to make written recommendations on each senior employee’s annual summary rating, performance-based pay adjustment, and performance award to the appointing authority:
(1) Two PRBs established, one for the SES members in the Office of the Inspector General (OIG) and one for career and limited-term SES;
(2) The PRBs are responsible for:
(a) Ensuring that elements and standards clearly describe the executive’s work for the rating period and how it is to be done, and that they are of sufficient difficulty and strictness of application to ensure that only those employees whose performance exceeds established expectations are rated at the levels above Satisfactory;2Reviewing the initial appraisal reports at the end of the annual rating cycle, and conducting such further review as necessary; and
(b) Making written recommendations to the appointing authority on the overall summary rating, the base salary level, the amount of performance pay. and awards of Presidential Rank for SES members
3 FAM 2832.4 Office of Civil Service Talent Management (HR/CSTM)
(CT:PER-1260; 07-21-2026)
(State Only)
(Applies to SES members and SP employees Only)
The Office of Civil Service Talent Management (HR/CSTM):
(1) Provides technical guidance to executive offices in the management of the Department-wide Appraisal Program evaluation cycle to ensure proper preparation and timely submission of performance plans and appraisals for SES/SP employees;
(2) As delegated by the CHCO or oversight official, provides information for organizational performance (overall and with respect to each of its missions, bureaus, programs, policy areas, and support functions). Communicates summary rating results and performance pay to senior employees, rating officials, higher level review officials, PRB members, and CHCO at the conclusion of the appraisal period and before completion of the initial summary ratings so that they may be considered in preparing performance appraisals, ratings and recommendations;
(3) Provides information and training to agency leadership, supervisors, and senior employees on the requirements and operation of the agency’s performance management and pay-for-performance system;
(4) Manages the PRBs, preparing documents, briefings and guidance; and
(5) Evaluates the effectiveness of the performance management system(s) and implements improvements as needed.
3 FAM 2832.5 Rating Officials
(CT:PER-1260; 07-21-2026)
(State Only)
(Applies to SES members and SP employees Only)
The rating official will:
(1) In consultation with the senior employee, establish a performance plan at the beginning of each appraisal period (within 30 calendar days) or within 30 days of the senior employee's assignment to a position that describes the individual and organizational expectations, goals, and objectives for the appraisal period and sets the requirements against which performance will be evaluated.
(2) Ensure performance requirements are written at the Level 3 or "Satisfactory" standard, aligned to relevant office, bureau and/or organizational goals and follow the “SMART-Q” framework (Specific, Measurable, Aligned, Realistic, Timed, and Quality);
(3) Develop performance requirements, in collaboration with supervisor and senior employee, employees on details, on temporary assignments over 90 calendar days, or in long-term training;
(4) In consultation with CSTM/ERPM, outline training and professional growth opportunities for each SES employee at the start of the appraisal period using the Executive Development Plan (EDP) section. Supervisors should utilize the Individual Development Plan (IDP) for SP employees;
(5) Monitor the senior employee's performance, document at least four mandatory progress reviews on a quarterly basis to provide feedback on progress in accomplishing the performance expectations described in the performance plan and EDP, during the appraisal period. Discuss the employee's performance with the employee at regular intervals, as necessary;
(6) Prepare an interim rating for any senior employee who works under a written performance plan for the minimum period of 90 calendar days or longer should the rating official depart before the end of the cycle. At the end of the appraisal period, the rating official must consider for inclusion any other interim ratings received by a senior employee during the rating cycle, when preparing the final appraisal. An interim performance rating must be completed within 30 calendar days of the senior employee or the rating official leaving the position. The interim may be converted to the final rating if there is inadequate time remaining (90-day minimum) in the performance cycle for an additional rating;
(7) As part of the appraisal, assign a single narrative summary that addresses the senior employee's overall performance using specific examples for each critical element if the performance is above the Level 3, "Satisfactory" standard. The rating official should consider all available information that impacts the overall performance, including leadership behaviors, accomplishments, and results. The appraisal of a senior employee shall be based on both individual and organizational performance;
(8) If the executive is performing at the expected Level 3 "Satisfactory" standard, a brief narrative justifying the rating level selected, along with specific examples of accomplishments or failure, is desirable to communicate the basis for the rating;
(9) Ensure that the narrative summary is free of any inadmissible comments listed in 3 FAM 2834.4. Consider the interim ratings when composing the initial summary rating, which must be completed and certified by the rating official prior to departure from service or reassignment;
(10) Provide senior employees with their signed and dated copy of the initial summary rating, within 30 calendar days after the end of the cycle, but no later than the established Department deadline;
(11) Take suitable action to address unacceptable performance, including contacting the appropriate EX office HR representative when an employee’s performance is less than satisfactory. Newly appointed SES and SL employees are subject to a one-year probationary period, during which performance concerns should be addressed promptly, prior to the end of the probationary period. Probationary periods do not apply to ST positions, which are in competitive status immediately; and
(12) Consider PRA nominations after final ratings are approved to determine SES/SP eligibility having two of three consecutive years with Outstanding ratings in preparation for the OPM deadline.
3 FAM 2832.6 Reviewing Officials
(CT:PER-1260; 07-21-2026)
(State Only)
(Applies to SES members and SP employees Only)
Reviewing Officials will:
(1) Ensure fair and consistent application of appraisal procedures, monitor performance throughout the year with quarterly progress reviews, address poor performance promptly, prepare appraisals, and consider development and training opportunities for employees;
(2) Ensure Rating Officials carry out their performance management responsibilities by established deadlines and are held accountable and evaluated accordingly, as applicable. Serves as an alternate reviewer when designated or requested, if no higher-level official exists;
(3) Communicate organizational (agency, bureau, and/or office) goals and objectives to Rating Officials for inclusion in employee performance plans;
(4) Ensure Rating Officials take appropriate action (e.g., counseling, or training on the EDP/IDP) to address poor performance when it first becomes apparent;
(5) Discuss the employee's performance with the employee as documented quarterly, or at any time during the rating period if requested by the employee, the rating official, or on the reviewing official's own initiative;
(6) Review evaluation for thoroughness, objectivity, soundness, and compliance. Review the rating to determine whether the employee's work has been measured in an objective manner, that the basis for the rating is supported and is clearly documented on the appraisal, and that the report follows applicable rules, regulations, and procedures; and
(7) Have final approval of performance plans, interim ratings, and initial summary ratings when an employee and rating official disagree;
3 FAM 2832.7 Senior Employees
(CT:PER-1260; 07-21-2026)
(State Only)
(Applies to SES members and SP employees Only)
Senior employees will:
(1) Familiarize themselves with the 3 FAM 2830;
(2) Discuss the performance plan or progress review with the rating official or the reviewing official at any time during the rating cycle;
(3) Collaborate with the rating and reviewing officials in formulating performance plans;
(4) Acknowledge receipt of the performance plan, receipt of the interim rating, if any, that at least four mandatory progress reviews took place, and the initial summary rating along with the evaluation discussion was completed;
(5) Understand employee signatures are not required for certification, as it is an acknowledgment of receipt and does not indicate agreement or disagreement with the contents of the plan or the overall rating;
(6) Not use their employee proxy to sign for their rating official's summary narrative or ratings; and
(7) May request a higher-level review or an alternative review if no higher-level reviewer exists. (Refer to 3 FAM 2834.2)
3 FAM 2833 OPERATION OF PERFORMANCE APPRAISAL SYSTEM
(CT:PER-1245; 12-23-2025)
3 FAM 2833.1 Critical Elements
(CT:PER-1260; 07-21-2026)
(State Only)
(Applies to SES members and SP employees Only)
a. Performance appraisals of senior employees must take into account individual performance and organizational accomplishments. Rating officials, in cooperation with their supervised employees, will develop three to five performance requirements, under Critical Element 5, Achieving Organizational Goals.
b. Performance requirements describe the duties a senior employee is expected to accomplish, and they establish the specific criteria, expectations, and standards against which an executive's performance will be evaluated c. Performance requirements must be identified through a job analysis and be consistent with the duties and responsibilities contained in the senior employee’s position description and aligned with the Administration's priorities and directives.
d. Performance requirements listed under the Critical Elements are key components of an SES executive's work that directly support organizational goals and are so essential that unacceptable performance in that area would render the executive's overall job performance unacceptable.
3 FAM 2833.2 Performance Standard Levels for Critical Elements
(CT:PER-1260; 07-21-2026)
(State Only)
(Applies to SES members and SP employees Only)
Performance standards must be written at the Satisfactory Level 3 and must align with the strategic goals and plans of the Department, bureau, and/or office. Performance standards should be consistent with the senior employee's assignments and responsibilities, and the strategic objectives of the Department. Performance standards should be clear, concise and must focus on results, (e.g., outcomes, scope, competencies, and impact). They should also include how results will be measured and evaluated incorporating applicable standards of quantity, quality, timeliness, and cost effectiveness following the "SMART-Q” framework. SES performance standard levels are listed below. SP should refer to the Senior Professional Performance Plan form (form DS-5151) for rating level definitions:
(1) Outstanding (Level 5)- The executive demonstrates exceptional performance, fostering a climate that sustains excellence and optimizes results in the executive’s organization, agency, department or Governmentwide. This represents the highest level of executive performance;
(2) Great (Level 4) - The executive demonstrates a very high level of performance beyond that required for successful performance in the executive’s position and scope of responsibilities. The executive consistently exceeds established performance expectations, timelines, or targets.
(3) Satisfactory (Level 3) - The executive demonstrates the high level of performance expected and the executive’s actions and leadership contribute positively toward the achievement of strategic goals and meaningful results. The executive is an effective, solid, and dependable leader who delivers high-quality results;
(4) Needs Improvement (Level 2) - The executive’s performance is unsatisfactory and needs improvement. While the executive generally meets established performance expectations, timelines and targets, there are occasional lapses that impair operations and/or cause concern from management; and
(5) Unacceptable (Level 1) - In repeated instances, the executive demonstrates performance deficiencies that detract from mission goals and objectives. The executive routinely does not meet established performance expectations/timelines/targets and fails to produce – or produces unacceptable – work products, services, or outcomes.
3 FAM 2833.3 Official Performance Ratings
(CT:PER-1260; 07-21-2026)
(State Only)
(Applies to SES members and SP employees Only)
a. Senior employees must be rated on each Critical Element on which they had an opportunity to perform. The summary narrative should distinguish between individual and team accomplishments. Each Critical Element rating is combined for an overall initial summary rating.
b. Documented SES/SP Interim Summary Ratings from external government agencies must be taken into consideration and appropriately factored in any interim summary rating prepared for an executive who changed positions during the appraisal period, any ratings on Critical Elements prepared for an executive on detail within the agency, and any appraisal information obtained on an executive detailed to another agency or outside organization for the annual rating of the current performance year.
3 FAM 2833.4 Development of Performance Plans
(CT:PER-1260; 07-21-2026)
(State Only)
(Applies to SES members and SP employees Only)
Rating officials must prepare the performance plan in consultation with the supervised senior employee to ensure a clear understanding of the work expectations and performance responsibilities (within the senior employee's control) that define satisfactory performance.
Performance plans should generally be established within 30 calendar days after:
(1) The beginning of an appraisal period;
(2) The employee is initially assigned to the job or new position;
(3) A change in rating official: The new rating official may elect to either retain the performance plan with no changes or establish a new plan. If a new plan is established, then the rating official must consult with the employee and get approval from the reviewing official. In either case, the new rating official must communicate performance expectations, goals, and objectives, individual and organizational, to each employee, at least at the satisfactory level; and
(4) The beginning of a temporary assignment (e.g., detail, temporary promotion, or long-term training) that is expected to last at least 90 calendar days. In such cases, these plans should be treated as Interim Ratings for consideration in the final appraisal.
3 FAM 2833.5 Details
(CT:PER-1260; 07-21-2026)
(State Only)
(Applies to SES members and SP employees Only)
a. Performance appraisals for employees on detail will be in accordance with 5 CFR 430.307(b).
b. When a senior employee is detailed or temporarily reassigned for 90 days or longer, the gaining organization must set performance goals and requirements for the detail or temporary assignment. The gaining organization must appraise the senior employee's performance in writing, and this appraisal must be factored into the initial summary rating by the rating and reviewing officials in their home office at the end of the rating period.
3 FAM 2833.6 Progress Review
(CT:PER-1260; 07-21-2026)
(State Only)
(Applies to SES members and SP employees Only)
a. Rating officials must review performance with senior employees at least once each quarter in the regular rating period, including discussion of the rated senior employee’s strengths and weaknesses, and ways to improve performance. Rating officials should note, as appropriate, the senior employee's unsuccessful performance, specific to a particular Critical Element.
b. If program priorities change during the rating period so as to affect the performance plan elements and/or standards, the performance plan must be revised, with the changes noted on the form and communicated to the rated senior employee.
c. If the performance plan is revised during the regular rating period, a new minimum appraisal period begins for those changed parts of the performance plan. The new minimum appraisal period for such changes may not extend beyond the end of the normal appraisal period. If the senior employee has not performed under a revised performance requirement for at least 90 days, that performance requirement will not be rated at the end of the appraisal period. However, there must be a minimum of three rated performance requirements under Critical Element 5, Achieving Organizational Goals.
d. Four Quarterly Progress Review Discussions. The progress review discussions should, as appropriate, cover:
(1) Senior employee's performance and how it contributes to the office, bureau, and/or organizational goals;
(2) Senior employee's progress toward accomplishing critical elements;
(3) Senior employee's performance deficiencies and recommendations on how to improve them;
(4) Growth opportunities and developmental training and assignments;
(5) Rating official's and employee's expectations for the remainder of the appraisal period; and
(6) Confirmation that mandatory training has been completed.
3 FAM 2834 PERFORMANCE RATING PROCESS
(CT:PER-1245; 12-23-2025)
3 FAM 2834.1 Summary Ratings
(CT:PER-1260; 07-21-2026)
(State Only)
(Applies to SES members and SP employees Only)
a. The normal SES/SP performance appraisal period for the Department of State is 1 year, from October 1 of a given year to September 30 of the following year. However, the appraisal period may be terminated early provided there exists an adequate basis on which to appraise and rate the senior employee’s performance, (i.e., unsuccessful performance, retirement, or resignation per 5 U.S.C. 4314(b)(l)(D)]).
b. Appraisals must be submitted on Form DS-5121, SES Performance Management System Executive Performance Agreement, (or form DS-5151 for SP) and may not be prepared for less than 90 days. If the agency cannot prepare an executive’s rating at the end of the appraisal period because the executive has not completed the minimum appraisal period or for other reasons, the agency must extend the executive’s appraisal period through the next performance year.
c. An interim performance rating is an assignment of an overall performance rating that occurs when the senior employee or rater leaves their position.
d. A senior employee must have worked under derived critical elements and performance requirements for the minimum 90-day appraisal period in order to receive an interim performance rating.
e. Performance input should be taken into consideration and factored in for the interim rating. The interim performance rating is prepared by the current rating official, approved by the reviewing official, and the rating is forwarded to the employee's new rating official, if applicable. The new rating official must take the rating into consideration for inclusion in deriving the Initial Summary Rating. If there is no new rating official, the reviewing official becomes the rating official. (Refer to 3 FAM 2833.2)
f. When a senior employee who has completed the minimum appraisal period changes jobs or transfers to another agency, the rating official shall appraise the senior employee's performance in writing before the senior employee leaves and the appraisal will be forwarded to the gaining agency by the executive's HR representative when an appropriate point of contact is provided.
g. When developing an initial summary rating for a senior employee who transfers from another agency with a minimum of 90 days, a rating official shall consider any applicable ratings and appraisals of the performance received from the former agency.
h. When an initial summary rating cannot be prepared as of September 30 because the senior employee has not served under a performance plan for the minimum appraisal period (90 days), the rating official shall extend the senior employee's appraisal period to September 30 of the following year.
i. Although the rating official may assign an initial summary rating any time after the senior employee has served 90 days under a performance plan, no performance-based pay adjustments or other personnel actions may be affected based on this rating unless reviewed by the PRB and approved by the ERB.
j. When a senior employee is retiring or accepting employment outside the federal government prior to the end of the rating period, no interim, initial summary or final rating is required.
3 FAM 2834.2 Initial Rating and Optional Higher-Level Review (HLR)
(CT:PER-1260; 07-21-2026)
(State Only)
(Applies to SES members and SP employees Only)
a. Rated senior employees must be notified of the option to have their appraisal reviewed by an official at a higher organizational level than the rating official, who has not participated in the initial rating process, and is not a member of the PRB, if there is such an official, before the rating is presented to the PRB or becomes final. The ERB, or designee, may determine an appropriate member to provide the HLR. Within ten (10) calendar days of receipt of the initial summary rating assigned by the rating official, the senior employee may request an HLR.
b. If an HLR is requested, the higher-level official or designee will review the appraisal and comment on the fairness, completeness, and validity of the appraisal and on the relations between the rating official and the rated senior employee. This HLR should be completed and discussed with the rated senior employee within five (5) days of the senior employee's request for an HLR to allow adequate time for the PRB to review all necessary documentation.
c. The higher-level reviewer may not change the initial rating but may recommend a different rating to the PRB. The HLR's comments, as well as the senior employee's response to the initial summary rating, will be provided to the PRB prior to deliberations.
d. If no higher-level reviewing official is available, the ERB should determine who may perform that function.
e. For SP professionals, an HLR is required when the initial summary rating is a Level 1, "Unacceptable".
3 FAM 2834.3 Delinquent Appraisal Reports
(CT:PER-1260; 07-21-2026)
(State Only)
(Applies to SES members and SP employees Only)
Executive directors will take appropriate action to expedite the submission of delinquent performance evaluation reports. Each executive office will provide HR/CSTM/ERPM with a list of delinquent reports with the name, grade, and bureau of the responsible employees within 4 weeks after the date due in HR/CSTM/ERPM for submission to the Chief Human Capital Officer for follow-up with the appropriate rating officials.
3 FAM 2834.4 Inadmissible Comments
(CT:PER-1260; 07-21-2026)
(State Only)
(Applies to SES/SP employees)
a. Inadmissible comments may not be included in any section of Form DS-5121, SES Performance Management System Executive Performance Agreement (or the DS 5151 for SP), by either the rating official or by the SES/SP . The senior employee's supervisor should exercise care to avoid the submission of appraisal reports containing such comments.
b. Inadmissible comments include:
(1) Reference to race, color, religion, sex, including pregnancy or childbirth, disability, national origin, age, political affiliation, and genetic information;
(2) Disability status, whether a reasonable accommodation has been requested or provided due to a disability, the nature/type of any reasonable accommodation requested or provided, and medical information (including information regarding alcoholism, drug abuse, or rehabilitation efforts);
(3) Physical characteristics and personal qualities that do not affect performance or potential;
(4) Marital status or plans; references to spouse or family;
(5) Retirement, resignation, assignment actions (such as a reassignment action), or other separation plans;
(6) Reference to workplace flexibilities, job sharing, or the specific location in which the employee performs routine duties (e.g., in an office, via telework, or away from a duty station), or negative reference to the impact of a detail/TDY assignment on the employee's ability to complete their regular duties;
(7) Mention of initiation of, involvement in, or participation in grievance, Equal Employment Opportunity, Office of Special Counsel or Merit Systems Protection Board proceedings, or any other adjudicative process;
(8) Method or hiring authority for entry into the Civil or Foreign Service or SES;
(9) Reference to private U.S. citizens by name;
(10) Reference to previous performance ratings or events or performance outside the rating period;
(11) Absences and leave record, except as it relates to performance;
(12) References to specific disciplinary actions and/or misconduct unrelated to performance. Any reference to misconduct must be explicitly tied to performance;
(13) Negative reference to use of the dissent channel and policy ideas channel or direct or indirect reference to, or consideration of, judgments in dissent and policy ideas channel messages as a basis for an adverse evaluation of performance or potential;
(14) References to "whistleblowing," or the protected disclosure of information;
(15) Negative or pejorative discussion of the performance of another identifiable member. (Rater cannot state, “The member quickly brought order out of chaos left by the member’s predecessor.” On the other hand, the description, “The member is the best Office Director I have supervised in the past 10 years,” is acceptable);
(16) Reference to academic degrees, titles, or specific institutions of higher learning (except physicians may be referred to as Dr.) though general comments regarding job-related training and certifications are acceptable; and
(17) Outside activities that are not relevant to performance or mission effectiveness.
3 FAM 2835 ACTION BASED ON LESS-THAN SATISFACTORY PERFORMANCE
(CT:PER-1260; 07-21-2026)
(State Only)
(Applies to SES members and SP employees Only)
a. Senior employees who are performing at less than the satisfactory level in one or more Critical Elements at any time during the performance appraisal period must be informed of the deficiencies in their performance and be afforded supervisory assistance in improving performance. Such assistance may include but is not limited to:
· formal training
· on-the-job training
· counseling and closer supervision under a recommended Performance Improvement Plan (PIP)
b. An SES who has been assigned a Level 1 (Unacceptable) final rating must be reassigned, transferred, or removed from the SES.
c. An SES who has been assigned two final ratings at less than Level 3 (i.e., Level 2 or a combination of Levels 2 and 1) within a 3-year period must be removed from the SES.
d. An SES who receives two Level 1 (Unacceptable) final ratings within five years must be removed from the SES.
e. Additional guidance may be found in 5 CFR 359 Subpart D-G and 5 U.S.C. 3592(a)(2) and 5 CFR 432.104-105.
f. A Senior Professional (SP) with unacceptable performance must be put on a performance improvement plan (PIP) with 30 calendar days to improve performance using specific measures and be notified that failure to demonstrate acceptable performance may result in removal or demotion from their position in accordance with 5 U.S.C. 4303 and 5 CFR 432. See OPM Memo on SP Performance for additional guidance.
g. Any senior level employee who receives a rating of a Level 1 on any critical performance element will receive an overall rating of Level 1 "Unacceptable" regardless of the numeric score average.
3 FAM 2836 PERFORMANCE REVIEW BOARDS
(CT:PER-1245; 12-23-2025)
3 FAM 2836.1 Establishment
(CT:PER-1260; 07-21-2026)
(State Only)
(Applies to SES members and SP employees Only)
a. The Executive Resources Board Chairperson will appoint three or more members to the PRB from a register of potential appointees. When reviewing career SES appraisals, more than one-half of the PRB members must be SES career appointees in accordance with 5 CFR 430.311
b. The purpose of the PRB is to evaluate the effectiveness of the Performance Management System to ensure that the results of the appraisal process take into account the Agency's assessment of its performance against program performance measures.
c. The PRB must ensure the appraisal process makes meaningful distinctions based on relative performance and does not exceed a 30% cap on senior employees rated at a Level 4 or Level 5.
3 FAM 2836.2 PRB Process
(CT:PER-1260; 07-21-2026)
(State Only)
(Applies to SES members and SP employees Only)
a. The PRB shall: Review and evaluate all Initial Summary Ratings, any senior employee's response, and any recommendations by a higher-level review. As such, each member must review, consent, and sign a Non-Disclosure Agreement (NDA) acknowledging that any breach of information is a potential violation of the Privacy Act which could result in a disciplinary or other adverse action.
b. PRB members must recuse themselves from deliberating on any senior employee's performance appraisal that falls under their chain of command or normal work responsibilities to avoid conflicts of interest.
c. Conduct any additional review necessary to make written recommendations on Annual Summary ratings, bonuses, and pay adjustments, as applicable, based on the results of the appraisal process and commensurate with the level of individual performance and/or contribution to the Agency's performance to the appointment authority.
d. The PRB may not solicit, receive, or consider any other information regarding an SES/SP under review, except in the case where the PRB has not upheld a supervisor’s initial rating and is conducting a review.
e. Evaluate only material on performance during the most recent rating cycle which may include the optional Executive Accomplishment Narrative when making recommendations on the initial ratings and performance pay.
f. Consider SES/SP members who have been under a performance plan for at least 90 days and are in SES/SP status on the last day of the appraisal period as they are eligible for PRB review. In the case of recently transferred SES/SP members, the transferred summary rating, if applicable, will be considered for the final rating as stated in 3 FAM 2833.2.
3 FAM 2836.3 PRB Recommendations on Initial Ratings
(CT:PER-1260; 07-21-2026)
(State Only)
(Applies to SES members and SP employees Only)
a. The PRB will conclude by majority vote, after reviewing and ranking all appraisals to determine the recommended ratings to identify those executives which merit a Level 4 or Level 5 rating which is submitted to the ERB for approval. If a majority of the PRB does not support the same initial rating as recommended by the supervisor, the PRB may deliberate to reach a consensus of the SES member in question. The PRB may allow no more than 30% of the SES/SP population to receive a Level 4 or Level 5 rating.
b. After concluding its review, the PRB will determine by majority vote the overall summary rating it wishes to recommend to the ERB for Presidential Rank Award nominations. Any votes that are tied will be decided by the chairperson of the PRB before being submitted to the ERB for approval
3 FAM 2836.4 Recommendation on Base Salary Rates
(CT:PER-1260; 07-21-2026)
(State Only)
(Applies to SES members and SP employees Only)
Annually, the Under Secretary for Management whose authority may be delegated to the ERB, signs the Department’s pay-for-performance plan, which provides for the pay-for-performance adjustments for all SES members. Performance-based pay adjustments are determined using a multi-tiered SES pay for performance system, and corresponding percentage increases in basic pay are based on the final summary rating. SES members whose final summary rating is Needs Improvement, Unacceptable, who have no rating, or who are referred to the Performance Standards Board, do not receive a salary increase. SES/SP will also not receive a salary increase upon advice of the appropriate investigative authority.
3 FAM 2836.5 Performance Pay
(CT:PER-1260; 07-21-2026)
(State Only)
(Applies to SES members and SP employees Only)
a. The SES Performance Award (i.e., performance pay) budget shall be established in accordance with 5 CFR 534.405. Each year the ERB, with the approval of the Under Secretary for Management, will determine in advance the limit of the total amount of performance pay (i.e., performance bonus) that the PRB may recommend for the career senior employees they review. The ERB may reserve a portion of the amount budgeted for performance pay for distribution based on organizational accomplishment. Distribution of such funds will be made according to the decision of the ERB.
b. To be eligible for performance pay, an SES/SP employee must:
(1) Have been in a career SES/SP appointment for 90 or more days at the end of the annual rating cycle and be in career SES/SP status in the Department on the last day of the rating period;
(2) Have Critical Elements reviewed by the PRB which cover a period beginning at least 90 days before the end of the annual rating cycle;
(3) Have been rated at least Satisfactory, Level 3; and
(4) Not have been granted a Rank Award during the same calendar year as a senior employee can receive either performance pay or the Rank Award in a given year.
c. The PRB will review the performance record for the most recent rating period of the eligible SES/SP members and judge how the performance described should be rated in accordance with agency guidelines.
3 FAM 2837 PRESIDENTIAL RANK AWARDS
(CT:PER-1245; 12-23-2025)
3 FAM 2837.1 Eligibility
(CT:PER-1260; 07-21-2026)
(State Only)
(Applies to SES members and SP employees Only)
All career members of the Department’s senior employees who are serving under career appointments on the date specified by OPM, and who have at least 3 years’ career SES/SP service or equivalent Federal civilian career received an outstanding rating in two of the last three consecutive rating cycles, and have not received a Meritorious or Distinguished Rank Award in the previous (4) fiscal years are eligible for Presidential Rank nomination. Career SES/SP who are serving on Presidential appointments and who have elected to retain their right to be considered for Rank awards are also eligible. CSTM will issue the Department's call for PRA nominations and confirm eligibility of all nominees.
3 FAM 2837.2 Responsibilities
(CT:PER-1245; 12-23-2025)
3 FAM 2837.2-1 The Executive Resources Board and Presidential Rank Awards (PRAs)
(CT:PER-1260; 07-21-2026)
(State Only)
(Applies to SES members and SP employees Only)
The ERB:
(1) Determines the maximum number of SES/SP employees that may be nominated for Presidential Rank Awards within the number that the OPM indicates is appropriate for the Department;
(2) Reviews all nomination packages and makes the final recommendations to determine which SES/SP nominations will be submitted to OPM for the rank of Distinguished Executive and Meritorious Executive.
(3) The Deputy Secretary of State for Management and Resources (D-MR) or designee, will serve as the ERB Chairperson and approves the nominations as delegated by the Secretary. See 3 FAM 2272.1 for a complete description of the roles and responsibilities of the ERB.
3 FAM 2837.2-2 The PRB and SES/SP PRAs
(CT:PER-1260; 07-21-2026)
(State Only)
(Applies to SES members and SP employees Only)
The PRB or Bureau Leadership may make recommendations to the established Executive Resources Board relative to the award of Presidential Rank for the Department.
3 FAM 2837.3 Selection Procedures
(CT:PER-1260; 07-21-2026)
(State Only)
(Applies to SES members and SP employees Only)
a. The ERB will inform the Assistant Secretary or Senior Bureau Official of each bureau of the maximum number of eligible SES/SP it may nominate for the Presidential Ranks of Meritorious or Distinguished Executive.
b. The nominator will consider employee accomplishments and overall performance in accordance with OPM and Department criteria. Emphasis will be on more recent material while in the career SES/SP or equivalent Federal career service and on the justification statement in support of the nomination.
c. If a nominee of the Department is not selected for a Presidential Rank Award, the nominee will, if eligible, be considered for a performance pay bonus in the same fiscal year and may also receive consideration for other authorized awards.
3 FAM 2838 through 2839 UNASSIGNED