3 FAM 2840
PERFORMANCE APPRAISAL SYSTEM FOR GENERAL SCHEDULE AND PREVAILING RATE EMPLOYEES
(CT:PER-1179; 03-06-2024)
(Office of Origin: GTM/CSTM)
(OIG employees should refer to OIG Performance Policy)
3 FAM 2841 GENERAL
3 FAM 2841.1 Authorities
(CT:PER-1119; 01-01-2023)
(State only)
(Applies to Civil Service Employees)
a. The authorities cited for this subchapter are:
(1) 5 U.S.C. 43, 45 and 53;
(2) 5 CFR 430, Subpart B; Parts 432, 451 and 531; and
(3) 22 U.S.C. 2651a.
b. The Collective Bargaining Agreement (CBA) supersedes this FAM when there are conflicts.
3 FAM 2841.2 Purpose
3 FAM 2841.2-1 Performance Appraisal System
(CT:PER-1119; 01-01-2023)
(State only)
(Applies to Civil Service Employees)
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 employees as required in 5 CFR 430.204. The effective date of the Department-wide performance appraisal system is January 1, 2023.
3 FAM 2841.2-2 Department-Wide Appraisal Program
(CT:PER-1119; 01-01-2023)
(State only)
(Applies to Civil Service Employees)
The Department-wide performance appraisal program establishes specific requirements and procedures that will govern performance management for all covered employees and is comprised of the specific procedures, methods, and requirements for planning, monitoring, and rating performance. The effective date of the Department-wide performance appraisal program is January 1, 2023.
3 FAM 2841.2-3 Coverage
(CT:PER-1119; 01-01-2023)
(State only)
(Applies to Civil Service Employees)
All employees of the Department are covered by these regulations, except for those specifically excluded below and by law or regulation:
(1) Employees whose employment is fewer than 120 calendar days, the minimum period of the appraisal program;
(2) Employees serving in temporary appointments for less than one year, who agree to serve without a performance evaluation, and who will not be considered for reappointments or pay increases based, in whole or in part, on performance;
(3) Experts and consultants whose positions were excluded from coverage under the provisions of 5 U.S.C. 43 by the Office of Personnel Management (OPM) on September 26, 1996; and
(4) Senior Executive Service, Senior Level and Scientific or Professional employees.
3 FAM 2841.2-4 Equal Employment Opportunity (EEO)
(CT:PER-1119; 01-01-2023)
(State only)
(Applies to Civil Service Employees)
The principles of equal treatment and opportunity apply to all persons and the furtherance of these principles is the responsibility of all employees.
3 FAM 2841.2-5 Diversity, Equity, Inclusion and Accessibility (DEIA)
(CT:PER-1119; 01-01-2023)
(State only)
(Applies to Civil Service Employees)
All employees are responsible for advancing the Department's goals of integrating diversity, equity, inclusion, and accessibility in the federal workforce in accordance with the Department's DEIA Strategic Plan, as applicable.
3 FAM 2841.2-6 Definitions
(CT:PER-1119; 01-01-2023)
(State only)
(Applies to Civil Service Employees)
a. Performance plan is all of the written, or otherwise recorded, performance elements that set forth expected performance. A plan must include all critical and non-critical elements and their performance standards.
b. Performance rating is the written, or otherwise recorded, appraisal of performance compared to the performance standard(s) for each critical and non-critical element on which there has been an opportunity to perform for the minimum period.
c. Rating of record is the performance rating prepared at the end of an appraisal period for performance of agency-assigned duties over the entire period and the assignment of a summary level within a pattern.
d. Interim rating is the rating assigned when the supervisor or employee leaves prior to the end of the rating cycle which must be used as input, as applicable, for the incoming supervisor or converts to the rating of record when established after September 3.
e. Mid-point progress review is a supervisor requirement to conduct an ongoing appraisal to include, but not limited to, evaluating employee’s performance on each element against its performance standard, addressing needs, concerns, and opportunities for career progression at the mid-point of the employee’s current performance year.
f. Employee evaluation report (EER) is a written or otherwise recorded report created in the performance management system documenting the performance plan, summary level rating, and rating of record (or the interim rating when it becomes the rating of record when less than 120 calendar days left in the cycle) to be finalized and submitted into the employee’s electronic Official Personnel Folder (eOPF).
g. Critical performance element - (i.e., a performance goal) measures individual performance and is used to determine the summary rating level. Critical performance elements are work assignments or responsibilities so vital that a Level 1 "Not Successful" rating on the performance element will result in a determination that the employee’s overall performance is “Not Successful."
h. Non-critical performance element - (i.e., a competency) is a dimension or aspect of individual performance, exclusive of a critical performance element, used in the determination of the summary level rating. It is still an important component of the employee’s performance, but a Level 1 "Not Successful" rating for any non-critical performance element will not result in a determination that the employee’s overall performance is “Not Successful."
i. Summary Level Rating - assigned overall level of performance derived from the numerical scores given on performance goals and competencies for the performance year.
j. Generic performance standard is the expression of the performance threshold(s), requirement(s), or expectation(s) that must be met to be appraised at a particular level of performance. A performance standard may include, but is not limited to, quality, quantity, timeliness, and manner of performance.
For a detailed description, see 3 FAM 2842.5.
Level 5 Outstanding
Level 4 Exceeds Expectations
Level 3 Fully Successful
Level 1 Not Successful
k. Rating Official is generally the first level supervisor. Rating official is the description of the individual rating the employee.
l. Reviewing Official is typically the supervisor of the rating official who is responsible for reviewing the employee evaluation report for concurrence with rating and provides guidance, oversight, and the final determination on ratings.
3 FAM 2841.3 Responsibilities
3 FAM 2841.3-1 Director General
(CT:PER-1119; 01-01-2023)
(State only)
(Applies to Civil Service Employees)
The Department's Director General of the Foreign Service and Director of Global Talent:
(1) Exercises final management authority over all aspects of the Department’s performance appraisal system and its associated appraisal program; and
(2) May waive application of a performance appraisal program requirement other than that which is required by statute, OPM regulations or the Department’s approved performance appraisal system upon good cause shown.
3 FAM 2841.3-2 Bureau Senior Leadership
(CT:PER-1119; 01-01-2023)
(State only)
(Applies to Civil Service Employees)
Assistant Secretaries or equivalent exercise managerial authority over those aspects of the performance appraisal program within their organization, ensuring rating official compliance with responsibilities outlined in 3 FAM 2841.3-7, including holding delinquent raters accountable for failure to submit performance employee evaluation reports within required timeframe.
3 FAM 2841.3-3 Bureau Executive Offices
(CT:PER-1119; 01-01-2023)
(State only)
(Applies to Civil Service Employees)
a. The Executive Directors administer the provisions of the Department-wide program within their bureaus and are responsible for ensuring compliance with all applicable laws, regulations, rules, and internal policies and procedures governing the Civil Service performance management system, in addition to ensuring that all technical reviews are performed accurately. Specific responsibilities are outlined in 3 FAH-1 H-2841.1.
b. The Executive Office is responsible for educating officials about inadmissible comments (as outlined in FAH 2844.2) and for preventing rating of record submissions containing inadmissible comments.
c. The Executive Office must be responsible for obtaining the rating of record from rating officials, reviewing officials and rated employees, and for timely compliance with performance evaluation schedules.
3 FAM 2841.3-4 GTM/Civil Service Global Talent Management (CSTM)
(CT:PER-1119; 12-8-2021)
(State only)
(Applies to Civil Service Employees)
GTM/CSTM administers the Department's performance appraisal program; leads/supplements training and guidance to employees and bureaus in accordance with established guidelines; evaluates the effectiveness of the Department's performance appraisal program.
3 FAM 2841.3-5 GTM/Employee Relations (ER)
(CT:PER-1119; 01-01-2023)
(State only)
(Applies to Civil Service Employees)
GTM/ER, or a bureau’s delegated HR function, as applicable, advises Executive Directors and rating and reviewing officials, as appropriate, on establishing performance improvement plans to address unacceptable performance (3 FAM 4500), and the withholding of within-grade increases as well as other performance-based actions.
3 FAM 2841.3-6 GTM/Grievance Staff (G)
(CT:PER-1119; 01-01-2023)
(State only)
(Applies to Civil Service Employees)
GTM/G processes grievances filed by Civil Service employees under the Department's administrative grievance procedures (3 FAM 4700) and the AFGE Negotiated Grievance Procedures.
3 FAM 2841.3-7 Rating Officials
(CT:PER-1119; 01-01-2023)
(State only)
(Applies to Civil Service Employees)
Rating officials are responsible for the establishment of the performance plan at the start of the appraisal period, at least one mid-point progress review, and evaluation of the employee’s performance at the end of the appraisal period. Rating officials are required to prepare narrative summaries to address overall performance at the end of the appraisal period. More detailed explanation of responsibilities is outlined in 3 FAH-1 H 2841.3
3 FAM 2841.3-8 Reviewing Officials
(CT:PER-1119; 01-01-2023)
(State only)
(Applies to Civil Service Employees)
a. Reviewing officials are responsible for reviewing the employee evaluation report for concurrence with rating, ensuring thoroughness, objectivity, compliance with regulations, and that the report contains specific examples of work performance, and that appropriate recognition is provided (e.g., award or commendation). For all rating levels, the reviewing official narrative is optional.
b. The reviewing official will reconsider the employee evaluation report when the employee and rating official disagree and notify both of the decision. A more detailed explanation of responsibilities is outlined in 3 FAH-1 H 2841.4.
3 FAM 2841.3-9 Employees
(CT:PER-1119; 01-01-2023)
(State only)
(Applies to Civil Service Employees)
Employees are responsible for their performance, actively collaborating in the performance appraisal process, providing rating officials with documented accomplishments and other noteworthy contributions made throughout the rating cycle, and completing performance requirements by established deadlines. A more detailed explanation of responsibilities is outlined in 3 FAH-1 H 2841.5.
3 FAM 2842 REQUIREMENTS FOR The Department-wide PERFORMANCE APPRAISAL PROGRAM
3 FAM 2842.1 Appraisal Period
(CT:PER-1119; 01-01-2023)
(State only)
(Applies to Civil Service Employees)
a. Generally, employees are appraised annually from January 1 to December 31. Employees must be on-board for at least 120 calendar days to receive a performance rating.
b. The appraisal period for new employees, who are brought on-board and have established plans by September 3, starts when they come on-board, and ends December 31 of the current year.
c. The appraisal period for new employees who are brought on-board and have established plans after September 3 or employees who are assigned a new rating official after September 3, begins when the new employee came on-board or when the new rating official was assigned, and ends December 31 of the next year.
d. One documented progress review (i.e., a mid-point progress review) is required during the rating cycle. Additional discussions are strongly encouraged, especially if performance issues exist.
e. Employee evaluation reports are due to bureau Executive Offices by the established Department deadline, generally 45 calendar days after the end of the appraisal period.
f. Reports of delinquent raters should be provided by the bureau Executive Offices to the bureau Front Office no later than ten (10) calendar days after the established deadline copying GTM-CSTM-ERPM@state.gov who will also provide a report to the Office of the Director General.
3 FAM 2842.2 Designation of Rating and Reviewing Officials
(CT:PER-1179; 03-06-2024)
(State only)
(Applies to Civil Service Employees)
a. At the beginning of the appraisal period, or when a rating or reviewing official is no longer the rating/reviewing official of the employee, the rating and reviewing officials must be designated and the employees informed of the names of the designees.
b. Normally, the rating official will be the rated employee's supervisor and the reviewing official will be the rating official's supervisor.
c. Generally, the reviewing official becomes the rating and reviewing official if the rating official position is vacant. If unusual circumstances or questions arise, e.g., both rating and reviewing positions are vacant, the Executive Director determines who will perform the rating and reviewing official functions. The circumstances may be documented on the employee evaluation report, unless inadmissible, the rating and reviewing officials clearly identified, and the employee informed. The Executive Director will confirm compliance that an interim and/or final employee evaluation report has been completed prior to the rating official vacating the position.
d. Reviewing officials are generally at least one organizational level above the rating official of the employee rated.
e. All ratings should have a higher level reviewing official. An exception may occur in rare instances, when the employee works for the highest- level official in the organization or when there is no higher-level reviewing official who is familiar with the employee’s performance and the reviewing official can be listed as no available reviewing official (NARO).
NOTE: A person must occupy a position that is classified as supervisory in order to be designated as a rating or reviewing official. Team leaders do not meet the supervisory criteria; therefore, they may neither perform the rating nor reviewing function. Team leaders may provide performance information to rating officials, but only “classified” supervisors may assign a performance rating.
3 FAM 2842.3 Establishment of Performance Plans
3 FAM 2842.3-1 When A Plan Is Required
(CT:PER-1119; 01-01-2023)
(State only)
(Applies to Civil Service Employees)
Performance plans should generally be established within 45 calendar days after:
(1) The beginning of an appraisal period;
(2) The employee is initially assigned to the job or new position, e.g., via reassignments, promotions, or a change to a lower grade;
(3) A change in rating official. The new rating official may elect to either retain the performance plan with no changes in critical performance elements or establish a new plan with new critical performance elements in consultation with the employee. 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 fully successful level (“Level 3” as outlined in 3 FAM 2842.5); and
(4) The beginning of a temporary assignment (e.g., detail, temporary promotion, or long-term training) that is expected to last at least 120 calendar days.
NOTE: When there is a change in a rating official with less than 120 days left in the appraisal period, and the employee has received an interim rating from the previous rating official, the new performance plan will add the remaining time to the next appraisal period as outlined in 3 FAM 2844.4.
3 FAM 2842.3-2 Contents of a Performance Plan
(CT:PER-1119; 01-01-2023)
(State only)
(Applies to Civil Service Employees)
a. Each employee must be covered by an appropriate written or otherwise recorded, (i.e., electronically) performance plan based on work assignments and responsibilities outlined in the position description. The plan establishes expected performance and identifies individual, and, where applicable, team accountability for accomplishing organizational goals.
b. The created performance plan should be established in the system within 45 calendar days of onboarding and, once completed with the summary level rating and rating of record, be referred to as an employee evaluation report (EER).
c. The plan includes three (3) to five (5) critical performance elements, i.e., performance goals and four (4) non-critical performance elements, i.e., competencies, against which employees must be rated.
d. Employees will be rated based on four (4) generic performance standards. For definitions of those standards, refer to 3 FAM 2842.5
3 FAM 2842.3-3 Changes to the Plan During the Appraisal Period
(CT:PER-1119; 01-01-2023)
(State only)
(Applies to Civil Service Employees)
When assignments change during the appraisal period, and those changes impact the expectations of the performance goals, the performance plan must be revised prior to 120 remaining calendar days of the performance cycle. An employee must perform under the changed parts of the plan for at least 120 calendar days in order to be rated under that particular part of the plan.
3 FAM 2842.4 Establishment of Critical and Non-Critical Performance Elements
(CT:PER-1119; 01-01-2023)
(State only)
(Applies to Civil Service Employees)
3 FAM 2842.4-1 Critical Performance Elements (Performance Goals)
(CT:PER-1119; 01-01-2023)
(State only)
(Applies to Civil Service Employees)
a. The critical performance elements consist of three to five (3-5) performance goals.
b. Performance goals are results that the employee is expected to accomplish during the rating period. Performance goals must be written at the Level 3 standard and must align with the strategic goals and plans of the Department, bureau, and/or office. Performance goals should be consistent with the employee’s assignments and responsibilities, and the objectives of the organization. Performance goals should be clear, concise and must focus on results, (e.g., outcomes, and services/products). They should also include how results will be measured and evaluated. Measures must be established at the Level 3 standard and should incorporate applicable standards of quantity, quality, timeliness, and cost effectiveness following the "SMART-Q” framework (Specific, Measurable, Aligned, Realistic, Timed, and Quality).
c. The mandatory supervisory performance goal must be included within the maximum of three to five (3-5) performance goals. This goal encompasses the importance of strategic utilization of human resources, effective goal setting, staffing and management, and motivation through consistent and interactive performance management, all of which support the achievement of office, bureau and Department goals and objectives.
3 FAM 2842.4-2 Non-Critical Performance Elements (Competencies)
(CT:PER-1119; 01-01-2023)
(State only)
(Applies to Civil Service Employees)
a. The non-critical performance elements are comprised of competency-based standards that are mandatory and apply to all covered employees.
b. There are four (4) standard competencies to be applied relevant to the employee’s grade and position that describe how an employee performs their work. Competencies may be expanded to capture position-specific knowledge, skills, and abilities, that an individual needs to perform work roles or occupational functions successfully.
3 FAM 2842.5 Generic Performance Standards
(CT:PER-1119; 01-01-2023)
(State only)
(Applies to Civil Service Employees)
a. The Department uses Generic Performance Standards as the means of assigning ratings to critical and non-critical performance elements.
b. The four standards are:
Level 5 Outstanding
At this level, the employee substantially and consistently surpasses expectations of the performance element. The superior quality of work toward achieving the performance goal or competency is evident by the exceptionally reliable attention to detail, accuracy, thoroughness, and timeliness of the employee’s work product and/or services, which rarely require minor modifications or suggestions. The employee demonstrates the element in an exceptionally reliable and thorough manner that models a standard of excellence.
Level 4 Exceeds Expectations
At this level, the employee consistently exceeds expectations of the performance element. The high quality of work toward achieving the performance goal or competency is evident by the consistently strong attention to detail, accuracy, thoroughness, and timeliness of the employee’s work product and/or services, which occasionally require very minor modifications or suggestions. The employee demonstrates the element in a remarkably reliable and impressive manner.
Level 3 Fully Successful
At this level, the employee competently achieves expectations of the performance element. The satisfactory quality of work toward achieving the performance goal or competency is evident by a competent level of attention to detail, accuracy, thoroughness, and timeliness of the employee’s work product and/or services, which sometimes require moderate modifications or suggestions. The employee demonstrates the element in a reliable and capable manner.
Level 1 Not Successful
At this level, the employee frequently shows a deficiency in achieving the expectations of the performance element. There is noticeable room for improvement. The unsatisfactory quality of work toward achieving the performance goal or competency is evident by deficient attention to detail, accuracy, thoroughness, and timeliness in the employee’s work product and/or services that are incomplete, late, inaccurate, and/or require modifications repeatedly. The employee requires ongoing, intensive supervision. The employee does not demonstrate the element in a consistent and capable manner.
3 FAM 2842.6 Establishing Performance Plans, Interim Ratings and Ratings of Record
(CT:PER-1119; 01-01-2023)
(State only)
(Applies to Civil Service Employees)
a. Performance plans and employee evaluation reports are completed electronically and require the electronic signatures of the rating and reviewing officials.
b. The rating and reviewing officials’ signatures document that a performance plan was established, aligned to relevant office, bureau and/or organizational goals, and that the mid-point progress review, the interim rating, if any, and the rating of record were completed by the rating official, approved by the reviewing official, discussed with, and received by the employee. Refer to 3 FAM 2844.4-2 for Interim Reports.
c. An employee’s signature is not required, as it is an acknowledgment of receipt and does not indicate agreement or disagreement with the contents of the plan or the overall rating. The employee will have the opportunity to acknowledge receipt of the performance plan, interim rating, if any, and the rating of record. An employee’s refusal to sign the performance plan does not indicate that the employee cannot be held accountable for the contents of the plan. For reconsideration, employees can request a review from their Reviewing Official as outlined in 3 FAH-1 H 2841.5 (10-11).
d. The employee has 10 calendar days to acknowledge receipt of the plan, interim rating, if any, and rating of record for review. If after the 10 days, the employee has not acknowledged receipt, the document will advance to the next step.
3 FAM 2843 MONITORING PERFORMANCE
3 FAM 2843.1 General
(CT:PER-1119; 01-01-2023)
(State only)
(Applies to Civil Service Employees)
Employees are held accountable for their performance. Inadequate performance is to be corrected and employees should be separated who cannot or will not improve their performance to meet required standards, 5 U.S.C. 2301(b)(6).
3 FAM 2843.2 Mid-Point Progress Review
(CT:PER-1119; 01-01-2023)
(State only)
(Applies to Civil Service Employees)
a. At least one mid-point progress review discussion must take place during the appraisal period and the review will be documented electronically. The progress review should take place within 30 calendar days of the mid-point of the appraisal period.
b. This progress review does not become a part of the eOPF or the rating of record. However, the date of the progress review will be populated on the employee evaluation report.
3 FAM 2843.2-1 Mid-Point Progress Review Discussion
(CT:PER-1119; 01-01-2023)
(State only)
(Applies to Civil Service Employees)
The progress review discussion should, as appropriate, cover:
(1) Employee's performance and how it contributes to the office, bureau, and/or organizational goals;
(2) Employee's progress toward accomplishing critical and non-critical performance elements;
(3) Competing priorities among performance goals and any need for changes to the performance plan;
(4) Employee's strengths and weaknesses;
(5) Employee's performance deficiencies and recommendations on how to improve them;
(6) Growth opportunities and developmental training and assignments;
(7) Rating official's and employee's expectations for the remainder of the appraisal period; and
(8) Confirmation that mandatory training has been completed.
3 FAM 2843.3 Probationary Evaluation
(CT:PER-1119; 01-01-2023)
(State only)
(Applies to Civil Service Employees)
a. Employees appointed on a career-conditional basis, generally, serve a one-year probationary period. Generally, these employees are subject to the same evaluation schedule and procedures as non-probationary employees.
b. During the probationary period, the rating official must work closely with the probationary employee, discussing work, identifying performance deficiencies, and offering guidance.
c. Termination may be recommended at any time during the probationary period, after the employee has been employed for at least 30 calendar days.
3 FAM 2843.4 Unacceptable Performance
(CT:PER-1119; 01-01-2023)
(State only)
(Applies to Civil Service Employees)
a. A supervisor may determine that an employee is performing at the Level 1 standard at any time during the performance appraisal period, including at the conclusion of the appraisal period. When a supervisor makes such a determination, the supervisor must notify the employee of the critical elements for which the performance is at the Level 1 standard. The employee should be afforded a reasonable opportunity to demonstrate acceptable performance through a Performance Improvement Plan (PIP) of no less than 45 calendar days. However, if the employee receives a Level 1 rating on any critical performance element, the overall rating will be a Level 1 or "Not Successful" as defined in 3 FAM 2841.2-6 (g).
b. If an employee's performance is determined to be at the Level 1 standard in any of the non-critical performance elements, i.e., four competencies, the rating official must work with the employee to establish an Individual Development Plan (IDP) to address the performance deficiency. However, a Level 1 rating on any non-critical performance element may not be used as the basis for a PIP.
c. At the conclusion of the PIP, if the employee's performance is determined to be at least at the Level 3 standard on each of the critical elements that was the basis of the PIP, the supervisor will notify the employee. If, however, the employee's performance falls back to the Level 1 standard in any of the same critical elements for which the employee was placed on the PIP within 1 year from the start date of the PIP, the agency may take action, including a reduction in grade or removal.
d. In order to receive a Within-Grade Increase (WGI), an employee’s most recent rating of record must be at least Level 3 or “Fully Successful.” However, when receiving a WGI, the employee should be issued a new rating of record if they successfully completed the PIP, but the previous rating was a Level 1 or “Not Successful.” See 3 FAM 3124.3-1 c. for further guidance.
3 FAM 2844 APPRAISING PERFORMANCE
3 FAM 2844.1 Minimum Period
(CT:PER-1119; 01-01-2023)
(State only)
(Applies to Civil Service Employees)
Upon receiving the performance plan, employees must work under this plan for a minimum period of 120 calendar days before a performance rating can be given.
3 FAM 2844.2 Conversion Technique for Determining a Summary Level
3 FAM 2844.2-1 General
(CT:PER-1119; 01-01-2023)
(State only)
(Applies to Civil Service Employees)
The summary level rating score is automatically calculated based on the rating of each performance element. Once each critical and non-critical performance element is rated, the system will calculate an average score of the performance goal ratings and an average score of the competency ratings. The performance goal score is rounded to the nearest 0.25 to normalize the disparities that result from a differing number of performance goals. The final summary level rating score is the sum of the average performance goal score (weighted at 60 percent) and the average competency score (weighted at 40 percent).
Summary Level Rating Derivation is as follows:
· Outstanding (Level 5): 4.70 – 5.00
· Exceeds Expectations (Level 4): 3.70 – 4.69
· Fully Successful (Level 3): 2.20 – 3.69
· Not Successful (Level 1): Any performance goal that receives a Level 1 rating
See Example Below
3 FAM 2844.3 Preparation of Employee Evaluation Report (EER)
3 FAM 2844.3-1 Input to Employee Evaluation Report
(CT:PER-1119; 01-01-2023)
(State only)
(Applies to Civil Service Employees)
a. Employees should provide the rating official or reviewing official (as appropriate) with a written summary or list of accomplishments, no later than 30 calendar days before the end of the appraisal period but prior to the appraisal being finalized. The input should address the employee’s performance and accomplishments with respect to the performance goals and competencies.
b. If the employee does not provide input by the established deadline, the system will move the evaluation report forward to the rating official for the summary narrative. See 3 FAH-1 H-2843.2.
c. Any written feedback (for example e.g., from colleagues, team-members, or other supervisors) that the employee wants considered by the rating and reviewing official must be forwarded by the employee to the rating and reviewing officials.
d. Rating officials must consider comments provided by employees, but ultimately have the discretion to decide what to include in the employee evaluation report.
3 FAM 2844.4 Performance Input, Interim Performance Ratings, and Ratings of Record
3 FAM 2844.4-1 Performance Input
(CT:PER-1119; 01-01-2023)
(State only)
(Applies to Civil Service Employees)
a. Performance input from an official who is not the rating official is used for employees who are detailed, temporarily promoted, on long-term training or otherwise assigned away from their normal duties for at least 120 calendar days during the rating cycle.
b. The supervising official of the detail-temporary assignment or the training-program coordinator of the long-term training provides performance input for the employee’s rating official. Input includes objectives of the detail, temporary assignment, or long-term training and overall performance.
c. Performance input should generally be provided no later than 15 calendar days after the end of the detail or temporary assignment. Timely input should also be provided at the end of the first rating cycle if the detail overlaps two rating cycles.
d. Performance input provided by the official on the temporary assignment must be considered by the home office rating official, who is responsible for preparing the rating of record.
3 FAM 2844.4-2 Interim Performance Ratings
(CT:PER-1119; 01-01-2023)
(State only)
(Applies to Civil Service Employees)
a. An interim performance rating is an assignment of an overall performance rating that occurs before September 3 of the appraisal period.
b. An employee must have worked under written or otherwise, i.e., electronically, recorded critical and non-critical elements, and performance standards for the minimum 120-day appraisal period in order to receive an interim performance rating.
c. An interim performance rating must be completed prior to or within 45 calendar days after an employee or a rating official leaves a position. Any performance input should be taken into consideration 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 in deriving the employee's rating of record. When the employee transfers to another agency, the interim rating will be forwarded to the transfer agency for processing in accordance with the receiving agency's regulations.
d. Generally, if an interim performance rating is completed before September 3, the interim should not be converted into the rating of record as there are still 120 calendar days left in the appraisal period. The rating official will initiate a new, Civil Service Performance Plan and Employee Evaluation Report to complete the rating of record.
e. If there are fewer than 120 calendar days left in the annual appraisal period, (e.g., an employee is promoted after September 3, but will still be rated at the lower grade), a rating of record, not an interim performance rating, is completed, approved by the reviewing official, and no other rating is required for that rating period. (The remaining time in the appraisal period should be covered in the next rating cycle beginning immediately after the date of the previous rating of record. This will make the next rating period greater than 12 months).
3 FAM 2844.4-3 Ratings of Record
(CT:PER-1119; 01-01-2023)
(State only)
(Applies to Civil Service Employees)
a. A rating of record must be prepared by the home office (office that holds the permanent position) rating official and approved by the reviewing official at the end of the appraisal period for all employees, including employees on long-term training, details, or other temporary assignments.
b. The rating of record must take into consideration the employee's performance for the entire appraisal period.
c. The employee must have worked at least 120 calendar days under written critical performance elements (i.e., performance goals) and non-critical elements (i.e., competencies) in order to receive a rating of record.
d. The official preparing the rating of record at the end of the appraisal cycle must take into consideration any interim performance ratings and performance input.
NOTE: When an employee is retiring or accepting employment outside the federal government, an interim performance rating or rating of record is not required.
3 FAM 2844.4-4 Extended Rating Periods
(CT:PER-1179; 03-06-2024)
(State only)
(Applies to Civil Service Employees)
In consultation with GTM/CSTM/ERPM, a rating period may be extended beyond December 31 under the following circumstances:
(1) The employee was on extended sick leave or military leave and did not work under an approved performance plan for at least 120 calendar days as of December 31. In such cases, a rating of record should be prepared as an extended rating period through December 31 of the following year; and
(2) The departing rating official did not complete an interim rating or rating of record, and the employee has not worked under performance standards established by the new rating official for at least 120 calendar days as of December 31. A rating of record should be prepared by the rating official or when appropriate by the reviewing official as an extended rating period through December 31 of the following year. (However, if the employee received a rating of record for that year, then the rating period is not extended, the current rater should add the remaining time to the next rating period).
(3) A Performance Improvement Plan (PIP) is still in progress as of December 31. A rating of record should be prepared by the rating official at the conclusion of the PIP period.
3 FAM 2845 Grievances
(CT:PER-1119; 01-01-2023)
(State only)
(Applies to Civil Service Employees excluding those covered by a Collective
Bargaining Agreement (CBA))
a. Once the employee evaluation report is finalized, i.e., the rating of record, is forwarded to the eOPF and the employee receives email notification. If the employee is still dissatisfied, the employee can seek redress through the Department's administrative grievance process (3 FAM 4700) or a negotiated grievance process. (Only a rating of record that has been finalized may be grieved.)
b. Decisions rendered through the administrative grievance process are final.
c. Under 3 FAM 4700 employees have no administrative appeal rights outside of the Department.
3 FAM 2846 OFFICIAL RECORDS
3 FAM 2846.1 Employee Evaluation Reports (EER)
(CT:PER-1119; 01-01-2023)
(State only)
(Applies to Civil Service Employees)
a. Civil Service employee evaluation reports will be used to document ratings of record and interim performance ratings, by the Department deadline, which is generally within 45 calendar days of the end of the appraisal period.
b. After all required reviews and approvals are completed the employee evaluation report is placed in the eOPF.
3 FAM 2846.2 Amending the Employee’s Electronic Official Personnel Folder (eOPF)
(CT:PER-1119; 01-01-2023)
(State only)
(Applies to Civil Service Employees)
a. The Director General of the Foreign Service and Director of Global Talent (Director General or authorized designate) is permitted to amend, explain, supplement, or remove material in an employee's eOPF including the rating of record, when the Director General determines that the action is justified (e.g., to correct an error or prevent an injustice). This action must be justified in writing and the employee must be informed by the appropriate office of the action taken.
b. At any time, an employee may submit unclassified material with a request to the bureau HR representative who reviews and determines that it be included in the employee's eOPF. Such material must be related to performance and may include interim ratings that are not ratings of record but may not contain inadmissible comments.
c. Employees may seek removal or amendment of performance evaluation material that is inadmissible or has been included through procedural error according to 3 FAM 4700 or a negotiated grievance process. Untimely or incomplete information or factual errors in the eOPF may be corrected through the Privacy Act procedure defined in 22 CFR 171.30 - 171.35.
3 FAM 2846.3 Technical Review
(CT:PER-1119; 01-01-2023)
(State only)
(Applies to Civil Service Employees)
Executive Directors, or their designees, are responsible for a technical review as outlined in 3 FAH-1 H-2844.1 of all employees’ appraisals within their respective bureau(s) and should receive appropriate training to adequately do so. The review considers the objectivity and fairness of the rater or reviewer and whether sufficient information is provided by the rater or reviewer to support the information contained in the appraisal report as well as the rating level.
3 FAM 2846.4 Inadmissible Comments
(CT:PER-1119; 01-01-2023)
(State only)
(Applies to Civil Service Employees)
Rating and reviewing officials must ensure that narratives do not include any inadmissible comments as outlined in 3 FAH 2844.2.
3 FAM 2846.5 Delinquent Performance Employee Evaluation Reports
(CT:PER-1119; 01-01-2023)
(State only)
(Applies to Civil Service and Foreign Service Employees)
Assistant Secretaries or equivalent are responsible for holding their delinquent raters accountable. Therefore, Executive Directors will track compliance of rating officials, using Dashboard reports and certify eligibility of rating officials for award nominations.
(1) For further information on Civil Service delinquent raters, refer to 3 FAH-1 H-2844.4.
(2) For information on Foreign Service delinquent raters, refer to 3 FAH-1 H-2819.1-2.
3 FAM 2847 INCENTIVES AND RECOGNITION
3 FAM 2847.1 Performance Awards
(CT:PER-1119; 01-01-2023)
(State only)
(Applies to Civil Service Employees)
Performance awards and other forms of recognition for performance are governed by 3 FAM 4800 and 5 CFR 451.
3 FAM 2847.2 Quality Step Increases
(CT:PER-1119; 01-01-2023)
(State only)
(Applies to Civil Service Employees)
Quality step increases may be granted to employees in accordance with established criteria, 3 FAM 3124.4 and 5 CFR 531 Subpart E.
3 FAM 2848 and 2849 UNASSIGNED