3 FAM 2830
PERFORMANCE APPRAISAL PLAN FOR THE SENIOR EXECUTIVE
SERVICE
(CT:PER-920; 09-13-2018)
(Office of Origin: HR/CSHRM)
3 FAM 2831 GENERAL INFORMATION
3 FAM 2831.1 Authority
(CT:PER-920; 09-13-2018)
(State Only)
(Applies to Civil Service Employees Only)
5 U.S.C. 4312 through 5
U.S.C. 4314; 5 U.S.C. 4507; 5 U.S.C. 5384; and 5 CFR 430, Subpart C.
3 FAM 2831.2 Coverage
CT:PER-920; 09-13-2018)
(State Only)
(Applies to Civil Service Employees Only)
All members of the Senior Executive Service (SES) at the
Department, except SES members of the Office of
Inspector General (OIG).
3 FAM 2831.3 Equal Employment
Opportunity
(TL:PER-245; 4-3-95)
(State Only)
(Applies to Civil Service 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. Rating officials should comment, as appropriate, on the rated
executives furtherance of equal employment opportunity, such as fairness to
minority groups, women and all employees in making selections, in encouraging
and recognizing achievements, and in sensitivity to developmental needs.
3 FAM 2831.4 Records
(CT:PER-920; 09-13-2018)
(State Only)
(Applies to Civil Service Employees Only)
Performance ratings of record and other performance
related documents will be kept in the Employee Performance Folder (EPF). All
performance-related documents will be retained for a period of 5 years. The EPF will be located in and
maintained by the Records and Information Management Division.
3 FAM 2832 RESPONSIBILITIES
3 FAM 2832.1 Approval Authority
(CT:PER-920; 09-13-2018)
(State Only)
(Applies to Civil Service Employees Only)
a. The Director General of the Foreign Service and
Director of Human Resources is the delegated appointing authority for the
Senior Executive Service in the Department. As appointing authority, he/she
approves all final ratings of career and limited term SES members, approves
performance awards and salary level increases based on recommendations made by
the Performance Review Board (PRB), and is
a permanent member of the Executive Resources Board.
b. The Under Secretary for Management, as delegated by
the Secretary, approves all final ratings and salary level increases for
noncareer SES members and political limited-term SES members based on
recommendations made by the PRB.
c. The Inspector General, or as delegated, approves
all final ratings and salary level increases for all OIG SES members.
3 FAM 2832.2 The Executive
Resources Board
(CT:PER-920; 09-13-2018)
(State Only)
(Applies to Civil Service Employees Only)
The Executive Resources Board:
(1) Establishes
Performance Review Boards (PRBs) made up of qualified individuals from within
and outside the Department to carry out the responsibilities specified in
section 2832.3;
(2) Establishes
the precepts and procedures for the PRBs;
(3) Serves as the
Rank Awards Committee (RAC) to carry out the responsibilities specified in
section 2837;
(4) Approves
performance appraisal forms and instructions for SES members; and
(5) Modifies the
Performance Appraisal Plan for the SES and these regulations as required to
implement the Departments policy and procedure for SES performance appraisal.
3 FAM 2832.3 The Performance
Review Boards
(CT:PER-920; 09-13-2018)
(State Only)
(Applies to Civil Service Employees Only)
a. Three PRBs, one for the SES members in the Office of
the Inspector General (OIG), one for career and limited-term SES members, and
one for noncareer and political limited-term SES members are established.
b. The PRBs are responsible for:
(1) Ensuring that
elements and standards clearly describe the executives 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 Fully Successful;
(2) Reviewing the
initial appraisal reports at the end of the annual rating cycle, and conducting
such further review as necessary; and
(3) 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 of the OIG.
3 FAM 2832.4 Rank Awards Committee
(CT:PER-706; 07-30-2013)
(State Only)
(Applies to Civil Service Employees Only)
The Rank Awards Committee reviews and makes the final
nomination recommendations (excluding the SES members of the OIG) for the
Presidential Ranks of Distinguished Executive and Meritorious Executive.
3 FAM 2833 OPERATION OF PERFORMANCE
APPRAISAL SYSTEM
3 FAM 2833.1 Critical Elements
(CT:PER-706; 07-30-2013)
(State Only)
(Applies to Civil Service Employees Only)
a. Performance appraisals of executives must take into
account individual performance and organizational accomplishments. Rating
officials, in cooperation with the supervised executive, will develop three to
five critical work commitments and standards in addition to the standard
responsibilities element.
b. Work commitments must be identified through a job
analysis and be consistent with the duties and responsibilities contained in
the executives position description.
3 FAM 2833.2 Performance Standards
(CT:PER-706; 07-30-2013)
(State Only)
(Applies to Civil Service Employees Only)
Performance standards must be written at the fully
successful level for each work commitment and should be written so that they
can be used in measuring the executives level of achievement.
3 FAM 2833.3 Official Performance
Ratings
(CT:PER-706; 07-30-2013)
(State Only)
(Applies to Civil Service Employees Only)
Performance must be rated on each individual work
commitment on which the executive has had an opportunity to perform.
Individual work commitment ratings are combined for an overall summary rating.
3 FAM 2833.4 Development of
Performance Plans
(CT:PER-706; 07-30-2013)
(State Only)
(Applies to Civil Service Employees Only)
The supervising official must prepare the performance plan
in consultation with the executive and ensure that the executive clearly
understands the work commitments and performance responsibilities that define
fully successful performance.
3 FAM 2833.5 Progress Review
(CT:PER-706; 07-30-2013)
(State Only)
(Applies to Civil Service Employees Only)
a. Supervising officials must review performance with
executives at least once during each regular rating period, including
discussion of the rated executives strengths and weaknesses, and ways to
improve performance.
b. If program priorities change during the rating
period so as to affect performance plan elements and/or standards, the
performance plan must be revised, with the changes noted on the form and
communicated to the rated executive.
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
executive has not performed under a revised work commitment or standard for at
least 90 days, the work commitment will not be rated at the end of the
appraisal period.
3 FAM 2833.6 Details
(CT:PER-706; 07-30-2013)
(State Only)
(Applies to Civil Service Employees Only)
a. Performance appraisals for employees on detail will
be in accordance with 5 CFR 430.307(b).
b. Employees who have worked 120 days or more on detail
to another agency, must be rated by the rating and reviewing officer in their
home office at the end of the rating period, taking into consideration
appraisal information obtained from the detail.
3 FAM 2834 PERFORMANCE RATING PROCESS
3 FAM 2834.1 Summary Ratings
(CT:PER-920; 09-13-2018)
(State Only)
(Applies to Civil Service Employees Only)
a. The normal SES performance appraisal period for the
Department of State is 1 year, from August
1 of a given year to July 31 of the following year. However, the appraisal
period may be terminated early provided that there exists an adequate basis on
which to appraise and rate the executives performance.
b. Appraisal reports must be submitted on Form DS-5121, SES
Performance Management System Executive Performance Agreement, and may
not be prepared for less than 90 days. A summary rating must be prepared
within 30 days after an executive or rating official leaves a position, if the
executive has been working under written work commitments and standards for 90
days or more. It must be considered when arriving at the executives initial
rating.
3 FAM 2834.2 Initial Rating and
Optional Review
(CT:PER-920; 09-13-2018)
(State Only)
(Applies to Civil Service Employees Only)
Rated executives must be notified of the option to have
the supervisors appraisal reviewed by an official at a higher level than the
supervising official, if there is such an official, before the rating becomes
final. If so requested, the higher level official will review the appraisal
and comment on the fairness, completeness, and validity of the appraisal and on
the relations between the executive supervisor and the rated executive. This
review should be completed and discussed with the rated executive within 5 days.
3 FAM 2834.3 Delinquent Appraisal
Reports
(CT:PER-920; 09-13-2018)
(State Only)
(Applies to Civil Service Employees Only)
Executive directors will take appropriate action to
expedite the submission of delinquent performance evaluation reports. Each
executive office will provide HR/CSHRM 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/CSHRM for
submission to the Director General for follow-up with the appropriate rating
officials.
3 FAM 2834.4 Inadmissible Comments
(CT:PER-920; 09-13-2018)
(State Only)
(Applies to Civil Service Employees Only)
a. Inadmissible comments may not be included in any
section of Form DS-5121, SES Performance Management System Executive
Performance Agreement, by either the executive supervisor or by the SES
member. The executive supervisor should exercise care to avoid the submission
of appraisal reports containing such comments.
b. Examples of inadmissible comments include, but are
not limited to, references to race, color, religion, physical characteristics,
leave records, identification of handicaps, etc.
c. Although the details or specific identification of
a medical problem are inadmissible on Form DS-5121,
general reference may be made to confirmed knowledge of a medical problem to
the extent it affects job performance.
d. SES members may discuss their own health problems in
specific terms, if executive supervisors have made general reference to such
problems.
3 FAM 2835 ACTION BASED ON LESS-THAN
FULLY SUCCESSFUL PERFORMANCE
(CT:PER-678; 06-22-2012)
(State Only)
(Applies to Civil Service Employees Only)
Senior executives who are performing at less than the
fully successful level in one or more critical elements at any time during the
performance appraisal period must be informed of the deficiencies in their performance,
be afforded an opportunity to demonstrate performance at the fully successful
level, and be provided assistance in improving performance. Such assistance
may include but is not limited to:
formal training
on-the-job training
counseling and closer supervision
3 FAM 2836 PERFORMANCE REVIEW BOARDS
3 FAM 2836.1 Establishment
(CT:PER-706; 07-30-2013)
(State Only)
(Applies to Civil Service 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. The remaining member(s) may be
another type of Federal employee, including a military officer, serving within
or outside the Department, or a person not employed by the Federal Government,
but in a position equivalent to the SES.
b. The Inspector General, as delegated by the
Secretary, will establish a PRB for SES members of the OIG. Three career SES
members, either from outside the Department and/or within the Department, will
be appointed for staggered terms.
3 FAM 2836.2 PRB Review
(CT:PER-706; 07-30-2013)
(State Only)
(Applies to Civil Service Employees Only)
a. SES members who have been under a performance plan
for at least 90 days and are in SES status on the last day of the appraisal
period are eligible for PRB review. In the case of recently transferred SES
members, the transferred summary rating, if applicable, will be considered.
b. In making recommendations on the initial ratings and
performance pay, the PRB will evaluate only material on performance during the
most recent rating cycle.
c. The PRB may not solicit, receive, or consider any
other information regarding an SES member under review, except in the case
where the PRB has not upheld an executive supervisors initial rating and is
conducting a review. When a PRB member has relevant and admissible information
concerning the performance of an SES member under consideration, that information
may be disclosed to other PRB members, but only if the information is
incorporated into a written memorandum, a copy of which is transmitted to the
SES member concerned, and the SES member is given an opportunity to comment.
3 FAM 2836.3 Recommendations on
Initial Ratings
(CT:PER-706; 07-30-2013)
(State Only)
(Applies to Civil Service Employees Only)
a. The PRB will determine by majority vote whether to
uphold the initial ratings recommended by the executive supervisors for the SES
members they supervise. If a majority of the PRB does not support the same
initial rating as recommended by the executive supervisor, the PRB may conduct
a further review of the performance of the SES member in question.
b. As part of this review, the PRB may request written
or oral clarification from the SES member on any issue(s) documented in the
performance appraisal under review. If the PRB requests clarification, the SES
members clarification is limited to the scope of the issue(s) addressed by the
PRBs request. Any evidence introduced to clarify the record must be
admissible under the Departments performance appraisal regulations.
c. After concluding its review, the PRB will determine
by majority vote the overall summary rating it wishes to recommend. Any votes
that are tied will be decided by the chairperson of the PRB.
3 FAM 2836.4 Recommendation on
Base Salary Rates
(CT:PER-706; 07-30-2013)
(State Only)
(Applies to Civil Service Employees Only)
Annually, the Under Secretary for Management signs the
Departments 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 Minimally
Successful, Unsatisfactory, or who have no rating, or who have an open
investigation, or who are referred to the Performance Standards Board do not
receive a salary increase.
3 FAM 2836.5 Performance Pay
(CT:PER-706; 07-30-2013)
(State Only)
(Applies to Civil Service Employees Only)
a. The SES Performance Award budget shall be
established in accordance with 5 CFR 534.405. Each year the ERB will determine
in advance for the PRBs the limit on the total amount of performance pay that
the PRBs may recommend for the career SES members 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 member
must:
(1) Have been in a career appointment for 90 or more
days at the end of the annual rating cycle and be in career SES status in the
Department on the last day of the rating period ;
(2) Have work commitments and performance standards
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 Fully Successful; and
(4) Not have been granted a Rank award during the same
calendar year.
c. The PRB will review the performance record for the
most recent rating period of the eligible SES members and judge how the
performance described should be rated in accordance with agency guidelines.
3 FAM 2837 PRESIDENTIAL RANK AWARDS
3 FAM 2837.1 Eligibility
(CT:PER-920; 09-13-2018)
(State Only)
(Applies to Civil Service Employees Only)
All career members of the Departments SES who are serving
under career appointments on the date specified by OPM, and who have at least 3 years career SES service or equivalent
Federal civilian career service are eligible for Presidential Rank nomination.
Career SES members who are serving on Presidential appointments and who have
elected to retain their right to be considered for Rank awards are also
eligible.
3 FAM 2837.2 Responsibilities
3 FAM 2837.2-1 The Executive
Resources Board
(CT:PER-920; 09-13-2018)
(State Only)
(Applies to Civil Service Employees Only)
The ERB:
(1) Determines
the maximum number of SES members that may be nominated for Presidential Rank
Awards within the number that the Office of Personnel Management (OPM) indicates is appropriate for the
Department;
(2) Determines
which SES members will be nominated to OPM for the rank of Distinguished
Executive and which for Meritorious Executive.
(3) The Under
Secretary for Management, as the ERB Chairperson, approves the nominations as
delegated by the Secretary.
3 FAM 2837.2-2 The PRB for the
OIG, and the RAC for the Remainder of the SES
(CT:PER-706; 07-30-2013)
(State Only)
(Applies to Civil Service Employees Only)
Make final recommendations to their established Executive
Resources Board Chairperson relative to the award of Presidential Rank for the Department.
3 FAM 2837.3 Selection Procedures
(TL:PER-245; 4-3-95)
(State Only)
(Applies to Civil Service Employees Only)
a. The ERB will inform the PRB and the RAC of the
maximum number of SES members it may nominate for the Presidential Ranks of
Meritorious or Distinguished Executive.
b. The Employee Performance Folders (EPF) of all
nominees for the Presidential Rank Awards will be reviewed. Assessments of
achievement will be based on the appraisal material contained in those folders.
Emphasis will be on more recent material while in the career SES or equivalent
Federal career service and on the justification statement in support of the
nomination.
c. A nominee of the Department not selected for a
Presidential Rank award will be considered for a performance pay bonus in the
same fiscal year, if eligible, and may receive consideration for other
authorized awards.
3 FAM 2838 through 2839 UNASSIGNED