3 FAH-1 H-2840
PERFORMANCE APPRAISAL SYSTEM FOR GENERAL SCHEDULE, AND PREVAILING RATE EMPLOYEES
OIG employees should refer to 3 FAH-1 H-2820
(CT:POH-262; 01-01-2023)
(Office of Origin: GTM/CSTM)
3 FAH-1 H-2841 Responsibilities
3 FAH-1 H-2841.1 Bureau Executive Offices
(CT:POH-262; 01-01-2023)
(State Only)
(Applies to Civil Service Employees Only)
a. Bureau executive directors have the responsibility of overseeing the administration of the evaluation process within the bureau to ensure that the regulations published in 3 FAM 2840, this subchapter, and all applicable laws, rules and regulations governing Performance Appraisal for General Schedule and Prevailing Rate Employees are followed.
b. Executive directors are responsible for ensuring appropriate training and guidance on performance management are provided to all covered employees, and rating and reviewing officials in their bureaus.
c. All bureaus should:
(1) Conduct orientation sessions on performance management for new managers, rating officials, and employees;
(2) Provide annual refresher training sessions for bureau personnel (e.g., at the end of the rating cycle to inform personnel of requirements and deadlines for start of year performance plans, mid-point progress reviews and end of year evaluation reports to include the appropriate use of the Proxy function which should not replace direct communications with the employee regarding their performance);
(3) Publicize performance cycle deadlines. Inform new rating officials of the need to review and update performance plans;
(4) Provide advice, reference material, and counseling to bureau personnel upon request;
(5) Monitor the process to ensure that performance plans, progress reviews and ratings are completed for all personnel by established deadlines. Send regular notifications ahead of all deadlines and continue delinquent reminders after deadlines have passed. Submit list of delinquent rating officials to bureau's Front Office within ten (10) calendar days of the established deadline including delinquent rating officials who have transferred. Bureaus will copy GTM-CSTM-ERPM@state.gov when submitting list to their Front Office;
(6) Consult with GTM/CSTM/ERPM on requests for extensions to the rating period for an employee. Limited permissible reasons found in 3 FAM 2844.4;
(7) Evaluate the processes throughout the year by meeting with managers, rating officials and employees;
(8) Provide resources (e.g., training material, SharePoint links, etc.) to employees regarding their role in the performance evaluation process and to encourage active engagement in the performance evaluation appraisal process;
(9) Promote with rating officials, the concept of rewarding all eligible employees with good performance through the Department Awards Program (3 FAM 4800) and Quality Step Increases (3 FAM 3124.4);
(10) Provide guidance and resources to rating officials on how to address unacceptable performance and notify bureau leadership of non-compliance with 3 FAM 2840 and related FAH entries; and
(11) Certify eligibility of rating officials for award nominations (e.g., delinquent raters).
3 FAH-1 H-2841.2 Office of Civil Service Talent Management (GTM/CSTM)
(CT:POH-262; 01-01-2023)
(State Only)
(Applies to Civil Service Employees Only)
The Office of Civil Service Talent Management (GTM/CSTM):
(1) Provides technical guidance to bureau executive offices in the management of the Department-wide Appraisal Program evaluation cycle to ensure proper preparation and timely submission of performance plans and employee evaluation reports for covered employees;
(2) Provides training at the corporate level to managers, rating officials and employees, as appropriate;
(3) Provides the Office of the Director General delinquent rater reports as needed to facilitate compliance with established deadlines; and
(4) Counsels employees, rating officials, and managers on the Department-wide Performance Appraisal Program.
3 FAH-1 H-2841.3 Rating Officials
(CT:POH-262; 01-01-2023)
(State Only)
(Applies to Civil Service Employees Only)
a. The rating official will:
(1) Develop performance plans in consultation with the reviewing official and employee generally within 45 calendar days of the first day of the rating cycle or when the employee is being initially assigned to the job. Additionally, the plan should be reestablished within 45 calendar days of the arrival of a new rating official. Communicate performance expectations, goals, and objectives, individual and organizational;
(2) Ensure that performance goals are written at the Level 3 or "Fully Successful" standard, aligned to relevant office, bureau and/or organizational goals, follow the “SMART-Q” framework (Specific, Measurable, Aligned, Realistic, Timed, and Quality), and discuss such goals and expectations of performance with the employee;
(3) Develop and communicate performance plans for employees on details, temporary assignments over 120 calendar days or in long-term training;
(4) Provide employee training and development opportunities, as appropriate. Individual Development Plans (IDPs) are recommended for each employee to map out training and professional growth opportunities on Form DS-1922 and should be set up at the beginning of the appraisal period;
(5) Discuss the employee's performance at regular intervals throughout the performance period to reinforce expectations, track progress, determine support needs, provide, and solicit feedback. Discussion may include strengths and weaknesses and suggest ways to improve performance and increase opportunities for career advancement. At least one formal progress review is required at the mid-point of the performance period;
(6) Inform reviewing official on performance and progress of employees under their responsibility throughout the appraisal period;
(7) Prepare an interim rating for any employee who works under a written performance plan for the minimum period of 120 calendar days or longer whose rating official departs before the end of the cycle. (At the end of the appraisal period, the rating official must consider any other interim ratings received by an employee during the rating cycle, when preparing the final employee evaluation report). An interim performance rating MUST be completed within 45 calendar days of the employee or the rater leaving the position;
(8) Request input (statement of accomplishments) from the employee for consideration in developing the employee evaluation report;
(9) Prepare an annual employee evaluation report for each employee, within 45 calendar days after the end of the cycle, but no later than the established Department deadline. As part of the employee evaluation report, provide a single narrative summary that addresses the employee's overall performance using specific examples when critical or non-critical performance elements are rated anything except Level 3. Rating officials must ensure that the narrative summary is free of any inadmissible comments as outlined in 3 FAH-1 H- 2844.2. Give consideration to the interim ratings, if applicable in composing the rating of record, which must be completed and certified by the rating official prior to departure from service or reassignment;
(10) Recognize employees under the Department Award’s Program throughout the year (Refer to 3 FAM 4800). Consider employees for Quality Step Increases (QSIs), as appropriate. (Refer to 3 FAM 3124.4 for additional information.); and
(11) Take appropriate action to address unacceptable performance. Contact the appropriate HR representative within the bureau’s EX office when an employee's performance is less than fully successful, when a Performance Improvement Plan (PIP) is needed, or when performance or conduct indicates the need for counseling, or disciplinary action.
b. Employees on probation are covered under the 3 FAM 2843.3.
NOTE: Failure to complete all interim ratings or employee evaluation reports by established deadlines or prior to departure from service or reassignment may result in ineligibility status for awards and may have an adverse impact on the rating official's performance rating. Retaliation against an employee who complies with 3 FAH-1 H-2841.5a(14) will not be tolerated and mention of the report on the employee evaluation report is inadmissible as outlined in 3 FAH-1 H-2844.2.
3 FAH-1 H-2841.4 Reviewing Officials
(CT:POH-262; 01-01-2023)
(State Only)
(Applies to Civil Service Employees Only)
a. Reviewing officials should:
(1) Ensure that procedures are established and followed throughout the appraisal process, and all employees in the organization are treated fairly; written performance plans are established within 45 calendar days of the beginning of the appraisal period or when a new employee joins the organization; performance is monitored throughout the appraisal period and at least one formal progress review is conducted; poor performance is addressed when it becomes apparent; employee evaluation reports are prepared; development and training opportunities are considered;
(2) Ensure that rating officials carry out their performance management responsibilities by established deadlines and are held accountable and evaluated accordingly. Refer to mandatory performance goal for rating officials as outlined in 3 FAM 2842.4-1c. Report delinquencies to the bureau Executive Director;
(3) Communicate organizational (agency, bureau, and/or office) goals and objectives to rating officials for inclusion in employee performance plans;
(4) Ensure consistency in performance plans and employee evaluation reports across the organization for the same job series and grade levels;
(5) Ensure development and training opportunities are considered; and appropriate recognition is provided;
(6) Ensure that rating officials adequately monitor employee performance throughout the evaluation appraisal period and conduct at least one formal progress review mid-point even if the employee also receives an interim rating from another rating official. Ensure that rating officials take appropriate action (e.g., counseling, or a PIP) to address poor performance when it first becomes apparent as listed in the supervisory performance goal;
(7) Discuss the employee's performance with the employee at any time during the rating period if requested by the employee or the rating official, or on own initiative;
(8) Reconsider the rating of record upon request when the employee disagrees; or upon receipt of "Not Successful" or Level 1 standard rating on any critical or non-critical element; (as outlined in 3 FAH-1 H-2844.3)
(9) Review evaluation reports for thoroughness, objectivity, soundness, and compliance with evaluation instructions. 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 employee evaluation report, and that the report is in compliance with applicable rules, regulations, and procedures;
(10) Have final approval of performance plans, interim ratings, and ratings of record when an employee and rating official disagree; and
(11) Certify that appropriate recognition (e.g., award nomination or commendations) is provided.
3 FAH-1 H-2841.5 Employees
(CT:POH-262; 01-01-2023)
State Only)
(Applies to Civil Service Employees Only)
a. Employees should:
(1) Familiarize themselves with the 3 FAM 2840 and 3 FAH-1 H-2840 regulations and procedures;
(2) Discuss the performance plan or progress review 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) Inform rating official of changes in duties if it affects one or more performance goal during the rating cycle;
(5) Meet periodically with the rating official to discuss performance;
(6) Inform the rating official of any circumstances which should be considered in evaluating the employee's performance;
(7) Provide accomplishments to the rating official for consideration in preparing the rating;
(8) Review and comment on the draft employee evaluation report;
(9) Review completed employee evaluation;
(10) If desired, request from the reviewing official a reconsideration of the employee evaluation report if the employee continues to disagree with the rating. (If this reconsideration is requested, the reviewing official has the authority to change the rating with notification to the rating official and the employee, direct the rating official to change the rating, or concur with the rating official and move the employee evaluation report forward.) The employee may refer to Grievances in 3 FAM 4700 for further options or through Negotiated Grievance Procedure contained in Agreements with Union(s) respective bargaining unit employees;
(11) Acknowledge receipt of the performance plan, receipt of the interim rating, if any, that at least one mid-point progress review took place, that the rating of record along with the evaluation discussion was done in a timely manner as outlined in 3 FAM 2842.6(d), generally within 10 calendar days of being asked to acknowledge;
(12) 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;
(13) Submit request to HR representative in bureau EX office to include letters of commendation or similar materials for the Employee Performance Folder (eOPF); and
(14) Notify the HR representative in the bureau EX office if the employee’s rating official has not completed the annual employee evaluation report by the established deadline.
3 FAH-1 H-2842 Designation of Rating and Reviewing Officials
(CT:POH-262; 01-01-2023)
(State Only)
(Applies to Civil Service Employees Only)
When an employee is designated a new rating
official, the employee must update who they report to within the electronic
system and the HR representative in the Executive Office will approve and
confirm. (Refer to 3 FAM 2842.2)
3 FAH-1 H-2843 Appraising Performance
3 FAH-1 H-2843.1 Input Into Appraisal
(CT:POH-262; 01-01-2023)
(State Only)
(Applies to Civil Service Employees Only)
a. Employees may include leadership experience and commitment to diversity, equity, and inclusion in the Optional Employee Accomplishment section of the Appraisal.
b. If the employee elects not to provide accomplishments to the rating official prior to the established deadline, the employee evaluation report will automatically be moved to the next step (i.e., to the rating official for the final rating).
3 FAH-1 H-2844 Official Records
3 FAH-1 H-2844.1 Technical Review
(CT:POH-262; 01-01-2023)
(State Only)
(Applies to Civil Service Employees Only)
Procedures must be established by each bureau for conducting a technical review of all interim and ratings of record prior to the bureau’s Executive Office HR representative forwarding the summary ratings for inclusion in the electronic Official Personnel Folder (eOPF). All ratings must be reviewed to assure that employee evaluation reports are complete, accurate, all signatures have been obtained, the element and summary ratings are justified by appropriate examples and contain no inadmissible comments.
The executive director, or their designee, is responsible for ensuring:
(1) Compliance with the rules, regulations, and procedures governing performance plans and employee evaluations;
(2) The completeness and suitability of comments contained in the employee evaluation report; and
(3) The performance plan, progress review(s) and employee evaluation report having been properly documented on applicable forms.
a. Executive directors, or their designees, certify that the technical review of the employee evaluation report has been completed by signing the electronic performance management tool.
3 FAH-1 H-2844.2 Inadmissible Comments
(CT:POH-262; 01-01-2023)
(State Only)
(Applies to Civil Service Employees and SES)
Inadmissible comments include, but are not limited to:
(1) Reference to race, color, religion, sex, gender (including pregnancy, childbirth, sexual orientation, and gender identity, but not the use of Mr., Mrs., Ms., or first names or personal pronouns), 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 curtailment or reassignment actions), 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 post on authorized/ordered departure), 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;
(9) Reference to private U.S. citizens by name;
(10) Participation or nonparticipation of personnel in the American Foreign Service Association, the American Federation of Government Employees, and the National Federation of Federal Employees, or other collective bargaining organizations;
(11) Reference to previous performance ratings or events or performance outside the rating period;
(13) Reluctance to work overtime;
(13) Absences and leave record, except and as it relates to performance;
(14) Conduct-related issue and/or disciplinary action;
(15) 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. When the rated member’s expression of dissenting views on policy, outside of the dissent channel, raises substantial question of judgment or obstructionism relevant to the member’s performance, it may be the subject of comment. However, general comment may not be used to get around the proscription of this section. Specific instances must be cited. References to "whistleblowing," or the protected disclosure of information are also prohibited. This includes statements by an employee who reasonably believes they are providing evidence of an activity constituting a violation of law, rules, or regulations, or gross mismanagement, gross waste of funds, abuse of authority, or a substantial and specific danger to public health or safety;
(16) 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 Desk Officer I have supervised in the past 10 years,” is acceptable);
(17) Reference to academic degrees, titles, or specific institutions of higher learning (except physicians may be referred to as Dr.). General comments regarding job-related training and certifications are acceptable; and
(18) Outside activities that are not relevant to performance or mission effectiveness.
3 FAH-1 H-2844.3 Submission and Disposition of Ratings of Record
(CT:POH-262; 01-01-2023)
(State Only)
(Applies to Civil Service Employees Only)
Executive directors, or their designee, shall ensure that a technical review is performed on each employee evaluation report described in 3 FAH-1 H-2844.1, that it is submitted into the electronic Office of Personnel Folder (eOPF), and a copy of the completed report is stored in in the Performance Management system and the employee’s profile under HR Applications.
3 FAH-1 H-2844.4 Delinquent Appraisal Reports
(CT:POH-262; 01-01-2023)
(State Only)
(Applies to Civil Service Employees Only)
Each Executive Office will copy GTM-CSTM-ERPM@state.gov on the report of delinquent appraisals to their Front Office. The report should include the name of the delinquent rater and the names of the employees whose employee evaluation reports were late or not prepared. Unless notified that the delinquencies are remediated, GTM/CSTM/ERPM will forward the list to the Director General, no later than 15 calendar days after the end of the rating cycle and will provide weekly reports thereafter until all employee evaluation reports have been submitted.
3 FAH-1 Exhibit H-2844.1
Technical Review Checklist
(CT:POH-262; 01-01-2023)
Make sure the following checklist items are completed when conducting a technical review:
(1) Rating is entered on the electronic evaluation form;
(2) Bureau deadline was met (i.e., employee evaluation report was not delinquent);
(3) Performance goals, narratives, and comments are well-written, objective and grammatically correct;
(4) The performance plan was established by the Department's deadline;
(5) The written performance plan was in effect for at least 120 calendar days; and
(6) All performance elements are designated critical or, non-critical with rating levels of 5, 4, 3 and 1. If employee receives a Level 1 for any critical or non-critical performance element, the reviewing official must review and approve the rating.
Critical Performance Elements: Employee is rated on three to five critical performance goals;
Non-critical Performance Elements: Employee is rated on four competencies;
(7) Mandatory critical element performance goal for Supervisors;
(8) The narrative addresses all critical and non-critical performance elements that are rated something other than Level 3 and provides examples reflective of the rating given to those performance elements;
(9) There are no inadmissible comments (see 3 FAH-1 H-2844.2);
(10) Employee evaluation report includes rating official approval signature and date on the electronic evaluation form;
(11) One progress review is documented, signed, and dated by the rating official and the employee on the electronic evaluation form;
(12) Employee must check the box to request reconsideration of the employee evaluation report on the electronic evaluation form;
(13) If the employee requests a reconsideration, the system will indicate it with a checked box and the date the reviewing official completes the review will be displayed on the electronic evaluation form. Both the rating official and employee are notified of the decision within the system;
(14) Acknowledgement of the employee evaluation report discussion is signed and dated by both the rating official and the employee on the electronic evaluation form; and
(15) The Executive Director or their designee certifies the Technical Review was completed with the date stamp on the electronic evaluation form.