3 FAM 2820
PERFORMANCE APPRAISAL SYSTEM FOR GENERAL SCHEDULE AND PREVAILING
RATE EMPLOYEES
(CT:PER-759; 12-17-2014)
(Office of Origin: HR/CSHRM)
3 FAM 2821 GENERAL
3 FAM 2821.1 Authorities
(CT:PER-759; 12-17-2014)
(State only)
(Applies to Civil Service Employees)
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.
3 FAM 2821.2 Purpose
3 FAM 2821.2-1 Performance Appraisal
System
(CT:PER-759; 12-17-2014)
(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, 2008.
3 FAM 2821.2-2 Department-Wide Appraisal
Program
(CT:PER-759; 12-17-2014)
(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. The effective date of the Department-wide performance appraisal
program is January 1, 2015.
3 FAM 2821.2-3 Coverage
(CT:PER-759; 12-17-2014)
(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 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 2821.2-4 Equal Employment Opportunity
(CT:PER-759; 12-17-2014)
(State only)
(Applies to Civil Service Employees)
a. The principles of equal treatment and opportunity apply
to all persons and the furtherance of these principles is the responsibility of
all employees.
b. Rating officials must comment, as appropriate, on the
rated employee's furtherance of equal employment opportunity principles in such
ways as fairness to minority groups, women, and all employees in making selections,
in encouraging and recognizing achievements and sensitivity to developmental needs.
3 FAM 2821.3 Responsibilities
3 FAM 2821.3-1 Director General
(CT:PER-759; 12-17-2014)
(State only)
(Applies to Civil Service Employees)
The Department's Director General of the Foreign Service and
Director of Human Resources:
(1) Exercises final management authority over all aspects
of the Departments 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 Departments approved performance appraisal system upon good cause shown.
3 FAM 2821.3-2 Bureau Executive Offices
(CT:PER-759; 12-17-2014)
(State only)
(Applies to Civil Service Employees)
a. Assistant Secretaries or equivalent exercise managerial
authority over those aspects of the performance appraisal program within their organization,
including holding delinquent raters accountable for untimely performance appraisal
submissions.
b. Executive directors administer the provisions of the
Department-wide program within their bureaus, and are responsible for ensuring compliance
with the law, that technical reviews are performed accurately, and that all rules,
regulations, internal policies and procedures governing performance appraisals are
adhered to.
c. Executive directors are responsible for ensuring appropriate
training and guidance are provided to all covered employees, and rating and reviewing
officials in their bureaus.
d. All bureau Executive Offices should:
(1) Conduct orientation sessions for new managers, supervisors,
and employees;
(2) Notify new supervisors to review performance plans,
and outgoing supervisors that interim or final appraisals need to be completed;
(3) Provide training sessions for bureau personnel as needed
(e.g., at the end of the rating cycle to inform personnel of requirements and deadlines);
(4) Provide advice 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;
(6) Consider and decide on requests for extensions to review
performance plans/appraisals;
(7) Evaluate the processes throughout the year by meeting
with managers, rating officials and employees;
(8) Encourage employees to take a part in the performance
appraisal process; and
(9) Reward good performance through the Department Awards
Program (3 FAM 4800) and consider eligible employees for Quality Step Increases
(3 FAM 3124.4).
3 FAM 2821.3-3 HR/Civil Service Human
Resources Management (CSHRM)
(CT:PER-759; 12-17-2014)
(State only)
(Applies to Civil Service Employees)
HR/CSHRM administers the Department's performance appraisal program
and provides oversight, training and guidance to employees and bureaus in accordance
with established guidelines. Periodically, HR/CSHRM will evaluate the effectiveness
of the Department's performance appraisal program.
3 FAM 2821.3-4 HR/Employee Relations
(ER)
(CT:PER-759; 12-17-2014)
(State only)
(Applies to Civil Service Employees)
HR/ER, or a bureaus delegated HR division, as applicable, advises
executive directors and rating and reviewing officials, as appropriate, on establishing
performance improvement plans to address unacceptable performance, and the withholding
of within-grade increases as well as other performance-based actions.
3 FAM 2821.3-5 HR/Grievance (G)
(CT:PER-759; 12-17-2014)
(State only)
(Applies to Civil Service Employees)
HR/G advises employees on the procedures available to resolve
grievances or disputes relating to the contents of a rating of record.
3 FAM 2821.3-6 Rating Officials
(CT:PER-759; 12-17-2014)
(State only)
(Applies to Civil Service Employees)
Rating Officials:
(1) Develop performance plans in consultation with each
employee generally within 45 days of the first day of the rating cycle or when the
employee is being initially assigned to a new job. Additionally, plans should be
reviewed within 45 days of the arrival of a new supervisor;
(2) Ensure that work commitments and performance standards
are written at the Fully Successful level, aligned to organizational goals, include
measurable results, and are clearly communicated to the employee;
(3) Develop and communicate performance plans for employees
on details or temporary assignments over 120 days, and in long-term training;
(4) Provide employee training and development opportunities.
Individual development plans are recommended for each employee and can be set at
the beginning of the appraisal period;
(5) Discuss the employee's performance periodically. Provide
feedback to the employee on performance throughout the appraisal period. 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 annually;
(6) Inform reviewing official on performance and progress
of employees under the employee responsibility throughout the appraisal period;
(7) Complete an interim performance rating for any employee
who works under a written performance plan for the minimum period of 120 days or
longer, within 45 days of the employee or the rater leaving the position;
(8) Request input (statement of accomplishments) from the
employee;
(9) Prepare an annual performance appraisal for each employee
generally within 45 days after the end of the cycle. Provide a single narrative
summary that addresses the employee's overall performance of each job element, regardless
of the summary level determination, as part of the employee's appraisal report;
(10) Recognize employees under the Departments award program
throughout the year (Refer to 3 FAM 4800 and 3 FAM 3124.4 for
additional information); and
(11) Take appropriate action to address unacceptable performance.
3 FAM 2821.3-7 Reviewing Officials
(CT:PER-759; 12-17-2014)
(State only)
(Applies to Civil Service Employees)
Reviewing Officials:
(1) Ensure that procedures are established and followed
throughout the appraisal process, and that all employees in the organization are
treated fairly;
(2) Ensure rating officials carry out their performance
management responsibilities, are held accountable and evaluated accordingly;
(3) Communicate organizational goals and objectives to
rating officials for inclusion in employee performance plans;
(4) Ensure written performance plans are established in
accordance with established deadlines;
(5) Ensure consistency in performance plans and appraisals
across the organization for the same job series and grade levels where appropriate;
(6) Ensure development and training opportunities are considered;
(7) Ensure that rating officials adequately monitor performance
throughout the appraisal period and conduct at least one formal progress review.
Ensure that rating officials take appropriate action to address poor performance
when it becomes apparent;
(8) 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 appraisal report, and
that the report is in compliance with applicable rules, regulations and procedures;
(9) Have final approval of performance plans, interim ratings
and ratings of record when an employee and rating official disagree (3 FAH-1 H-2823.2);
and
(10) Certify that appropriate recognition is provided.
3 FAM 2821.3-8 Employees
(CT:PER-759; 12-17-2014)
(State only)
(Applies to Civil Service Employees)
Rated Employees:
(1) Accept responsibility for his or her performance;
(2) Familiarize him or herself with the 3 FAM 2820 and 3 FAH-1 H-2820
regulations and procedures;
(3) Discuss the performance plan, progress review or appraisal
with the rating official or the reviewing official at any time during the rating
cycle;
(4) Participate with the rating and reviewing officials
in formulating performance plans;
(5) Communicate changes in performance to rating and reviewing
officials if one or more job elements change during the rating cycle;
(6) Meet periodically with the rating official to discuss
performance;
(7) Inform the rating official of any circumstances which
should be considered in evaluating his or her performance;
(8) Provide accomplishments to the rating official for
consideration in preparing the rating;
(9) Review completed appraisal report on Form DS-7644,
Civil Service Performance Plan and Appraisal;
(10) Acknowledge receipt of the performance plan, interim
appraisal and rating of record, and that the appraisal discussion took place in
a timely manner as outlined in 3 FAM 2822.6(d),
generally within 10 calendar days;
(11) Understand their 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; and
(12) May submit to their bureau HR/EX office performance-based
letters of commendation or similar materials for inclusion in the electronic official
personnel folder, where applicable.
3 FAM 2822 Program REQUIREMENTS FOR The
Department-wide PERFORMANCE APPRAISAL PROGRAM
3 FAM 2822.1 Appraisal Period
(CT:PER-759; 12-17-2014)
(State only)
(Applies to Civil Service Employees)
a. Employees are appraised annually from January 1 to December
31. Employees must be on board for at least 120 days to receive a 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. For employees who are on board after September 3 or
employees who are assigned a new supervisor after September 3, the appraisal period
begins when the new employee came on board or when the new supervisor was assigned,
and ends December 31 of the next year.
3 FAM 2822.2 Designation of Rating
and Reviewing Officials
(CT:PER-759; 12-17-2014)
(State only)
(Applies to Civil Service Employees)
a. At the beginning of the appraisal period, or when a rating
or reviewing official leaves, the rating and reviewing officials must be designated
and the employees informed.
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 decides who will perform the rating and reviewing official functions.
The circumstances will be documented on the appraisal form, the rating and reviewing
officials clearly identified and the employee is informed.
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 supervisors, but only classified supervisors may assign
a performance rating.
3 FAM 2822.3 Establishment of Performance
Plans
3 FAM 2822.3-1 When A Plan Is Required
(CT:PER-759; 12-17-2014)
(State only)
(Applies to Civil Service Employees)
Performance plans should generally be established within 45 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 supervisor. The new supervisor may elect
to either retain the performance plan with no changes in work commitments, or establish
a new plan with new work commitments in consultation with the employee. If a new
plan is established, then the supervisor must consult with the employee and get
approval from the reviewing official. In either case, the new supervisor must communicate
performance expectations, goals and objectives, individual and organizational, to
each employee, at least at the fully successful 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 120
days.
NOTE: When there is a change
in a supervisor with less than 120 days left in the appraisal period, and the employee
has received a rating of record, the new performance plan will add the remaining
time to the next rating period, e.g., if the interim appraisal covered the period
ending September 15, the new rating period will be for September 16 to December
31 of the following year (3 FAM 2824.5-2(d)).
3 FAM 2822.3-2 Contents of Plan
(CT:PER-759; 12-17-2014)
(State only)
(Applies to Civil Service Employees)
a. In 5 CFR 430.206 (b), it requires that each employee
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 plan includes five (5) critical performance elements
against which employees must be rated.
c. Critical Performance Element 1 consists of 3-5 work
commitments, describing what the employee is expected to accomplish and how the
employee will be measured during the rating cycle.
d. Critical Performance Element 2-5 are competency-based
and describe how an employee performs his or her work.
3 FAM 2822.3-3 Changes to the Plan
During the Appraisal Period
(CT:PER-759; 12-17-2014)
(State only)
(Applies to Civil Service Employees)
When assignments change during the appraisal period, and those
changes significantly impact the work commitments under Critical Performance Element
1, the performance plan must be revised. An employee must perform under the changed
parts of the plan for at least 120 days in order to be rated under that particular
part of the plan.
3 FAM 2822.4 Establishment of Critical
Performance Elements
(CT:PER-759; 12-17-2014)
(State only)
(Applies to Civil Service Employees)
A critical performance element measures individual performance
and is used to assign a summary rating level. Critical performance elements are
work assignments or responsibilities and competencies so vital that a rating of
"Not Successful" performance on the element will result in a determination
that the employees overall performance is Not Successful.
3 FAM 2822.4-1 Critical Performance
Element 1 (Work Commitments and Standards)
(CT:PER-759; 12-17-2014)
(State only)
(Applies to Civil Service Employees)
a. Critical Performance Element 1 consists of 3-5 work commitments.
b. Work commitments are results that the employee is expected
to accomplish during the rating period. Work commitments must be written at the
Fully Successful level and must align with the strategic goals and plans of the
Department, and bureau-office. Work commitments should be consistent with the employees
assignments and responsibilities, and the objectives of the organization. Work
commitments 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 Fully Successful level and should
incorporate applicable standards of quantity, quality, timeliness, and cost effectiveness.
3 FAM 2822.4-2 Critical Performance
Elements 2-5 (Competencies)
(CT:PER-759; 12-17-2014)
(State only)
(Applies to Civil Service Employees)
a. Critical Performance Elements 2-5 are competency-based
standards that describe how an employee performs his or her work. These elements
are mandatory and apply to all covered employees.
b. There are different competency-based critical performance
elements for non-supervisory and supervisory employees.
3 FAM 2822.5 Generic Performance Standards
(CT:PER-759; 12-17-2014)
(State only)
(Applies to Civil Service Employees)
a. The Department uses Generic Performance Standards (Form
DS-7644, Civil Service Performance Plan and Appraisal) as the means of assigning
element appraisal levels.
b. The three element appraisal levels used to assess the
employees critical performance elements are: (1) Exceeds Expectations, (2) Fully
Successful, and (3) Not Successful.
c. Each appraisal level is defined as follows:
(1) Exceeds Expectations: This
is a level of unusually good performance. The quality and quantity of the work
under this element are consistently above average;
(2) Fully Successful: This is
a level of good, sound performance. The quality and quantity of the work under
this element are those of a fully competent employee. The performance represents
a level of accomplishment expected of the majority of employees; and
(3) Not Successful: The quality
and quantity of the employees work under this element are not adequate. The employees
work products fall short of requirements.
3 FAM 2822.6 Establishing Performance
Plans, Interim Appraisals and Ratings of Record
(CT:PER-759; 12-17-2014)
(State only)
(Applies to Civil Service Employees)
a. Performance plans and appraisals are established on Form
DS-7644, Civil Service Performance Plan and Rating of Record, with the signatures
of the rating and reviewing officials.
b. The rating and reviewing officials signatures on Form
DS-7644, document that the plan was established, the interim appraisal and the rating
of record was completed by the rating official, approved by the reviewing official,
discussed with and received by the employee.
c. An employees 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 rating official must give the employee
the opportunity to acknowledge receipt of the performance plan, interim appraisal
and the rating of record. An employees refusal to sign the performance plan does
not indicate that the employee cannot be held accountable for the contents of the
plan.
d. Barring any extenuating circumstances, the employee has
10 calendar days to acknowledge receipt of the plan, interim appraisal and rating
of record for review. If after the 10 days, the employee has not acknowledged receipt,
a copy with the rating and reviewing officials signatures is provided to the employee.
e. Extensions to review the plan, interim appraisal or rating
of record may be granted on a case-by-case basis by the Executive Office.
3 FAM 2823 MONITORING PERFORMANCE
3 FAM 2823.1 General
(CT:PER-759; 12-17-2014)
(State only)
(Applies to Civil Service Employees)
Employees are retained on the basis of the adequacy of 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). At any time during the appraisal period, when an employee's
performance is found to be less than Fully Successful the rating official must
take the necessary steps to remedy the problem. Appropriate action includes counseling,
formal or informal training or a performance improvement plan.
3 FAM 2823.2 Performance Review
(CT:PER-759; 12-17-2014)
(State only)
(Applies to Civil Service Employees)
a. At least one performance review must take place during
the appraisal period. The performance review should take place within 30 days of
the mid-point of the appraisal period.
b. Rating officials must use the Mandatory Mid-Year Review
Form DS-7645 to document the mid-point performance review. This form does not become
a part of the eOPF or the appraisal report. The rating official should retain the
original performance review form and provide a copy to the employee. The date of
the performance review must be documented on Form DS-7644, Civil Service Performance
Plan and Appraisal Form.
3 FAM 2823.2-1 Performance Review
Discussion
(CT:PER-759; 12-17-2014)
(State only)
(Applies to Civil Service Employees)
The performance review discussion should, as appropriate, cover:
(1) Employee's job elements and performance standards;
(2) Employee's progress toward accomplishing the elements;
(3) Need for changes to the performance plan;
(4) Employee's strengths and weaknesses;
(5) Performance deficiencies and recommendations on how
to improve them;
(6) Developmental training and assignments; and
(7) Supervisory and employee's expectations for the remainder
of the appraisal period.
3 FAM 2823.3 Probationary Evaluation
(CT:PER-759; 12-17-2014)
(State only)
(Applies to Civil Service Employees)
a. Employees appointed on a career-conditional basis, generally,
serve a one-year probationary period. 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
problems, and offering guidance.
c. Separation may be recommended at any time during the
probationary period, after the employee has been employed for at least 30 days.
3 FAM 2823.4 Unacceptable Performance
(CT:PER-759; 12-17-2014)
(State only)
(Applies to Civil Service Employees)
a. An employee performing at the Not Successful level
in one or more critical element(s) at any time during the performance appraisal
period must be notified of the critical element(s) for which performance is Not
Successful and be afforded an opportunity period to improve. He or she must be
placed on a Performance Improvement Plan, Form DS-1765, for at least 45 calendar
days or longer. Notification of Not Successful performance may occur at any time
during the appraisal cycle, including the end of the performance appraisal period.
b. At the conclusion of the opportunity period, if the employee's
performance continues to be Not Successful action must be initiated to reduce
in grade or remove the employee in accordance with 3 FAM 4550 and 5
U.S.C. 4303.
3 FAM 2824 APPRAISING PERFORMANCE
3 FAM 2824.1 Minimum Period
(CT:PER-759; 12-17-2014)
(State only)
(Applies to Civil Service Employees)
Upon receiving the performance plan, employees must work under
this plan for a minimum period of 120 days before a rating can be given.
3 FAM 2824.2 Appraisal Levels
(CT:PER-759; 12-17-2014)
(State only)
(Applies to Civil Service Employees)
Four summary appraisal levels are derived from the Generic
Performance Standards:
Not Successful
Fully Successful
Exceeds Expectations
Outstanding
3 FAM 2824.3 Conversion Technique for
Determining a Summary Level
3 FAM 2824.3-1 General
(CT:PER-759; 12-17-2014)
(State only)
(Applies to Civil Service Employees)
The conversion technique used to determine the overall summary
level for a rating of record or interim performance rating for the Department-wide
program is as follows:
(1) Outstanding: All work commitments
(Critical Performance Element 1) and all competencies (Critical Performance Elements
2-5) must be rated Exceeds Expectations;
(2) Exceeds Expectations: Fifty
(50) percent or more of work commitments (Critical Performance Element 1) are rated
Exceeds Expectations with the remainder rated at Fully Successful, and 50 percent or more Critical Performance Elements
2-5 are rated Exceeds Expectations with the remainder rated at Fully Successful;
(3) Conditional Criteria: If an
employee is rated Exceeds Expectations for 50 percent or more of Work Commitments,
and is rated Fully Successful for more than 50 percent of Critical Performance Elements
2 5, the summary level rating is Fully Successful;
(4) Fully Successful: Less than
50 percent of work commitments (Critical Performance Element 1) are rated Exceeds
Expectations, with the remainder rated at Fully Successful, and Critical Performance
Elements 2-5 are rated Fully Successful or higher; and
(5) Not Successful: One or more
work commitments (Critical Performance Element 1) or any Critical Performance Element
2-5 is rated Not Successful.
3 FAM 2824.4 Preparation of Appraisal
3 FAM 2824.4-1 Input to Appraisal
(CT:PER-759; 12-17-2014)
(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, generally
45 days before the end of the appraisal period but prior to the appraisal being
finalized. The input should address the employees performance and accomplishments
with respect to the critical performance elements.
b. Any written comments that the employee wants considered
by the rating official and by the reviewing official must be forwarded by the employee
to the rating and reviewing officials.
3 FAM 2824.5 Performance Input, Interim
Performance Ratings, and Ratings of Record
3 FAM 2824.5-1 Performance Input
(CT:PER-759; 12-17-2014)
(State only)
(Applies to Civil Service Employees)
a. Performance input 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 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. Input includes objectives of the detail, temporary assignment, or long-term
training and overall performance.
c. Performance input should generally be provided within
45 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 should be considered by the
home office rating official in preparing the rating of record.
3 FAM 2824.5-2 Interim Performance
Ratings
(CT:PER-759; 12-17-2014)
(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 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 days after an employee or a rating official leaves a position.
Any performance input should be taken into consideration for the interim appraisal.
The interim performance rating is prepared by the current rating official, approved
by the reviewing official, and the appraisal report is forwarded to the employee's
new rating official, if applicable. The new rating official must take the appraisal
report 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 2, the interim should not be converted into the rating of record
as there are still 120 days left in the appraisal period. The rater will initiate
a new Form DS-7644, Civil Service Performance Plan and Appraisal and complete the
rating of record.
e. If there are fewer than 120 days left in the annual appraisal
period, (e.g., an employee is promoted after September 3 and will be rated at the
lower grade), an annual 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 in effect make the next rating period greater than 12 months).
3 FAM 2824.5-3 Ratings of Record
(CT:PER-759; 12-17-2014)
(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 days under
written elements and standards 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 with a private firm, an interim performance rating or rating
of record is not required, if the rater and employee mutually agree in writing it
serves no purpose to the Department and the employee.
3 FAM 2824.5-4 Extended Rating Periods
(CT:PER-759; 12-17-2014)
(State only)
(Applies to Civil Service Employees)
A rating period may be extended beyond December 31 under the
following circumstances:
(1) The employee was on extended sick leave and did not
work under an approved performance plan for at least 120 days as of December 31.
A rating of record should be prepared as of the date that the employee completes
120 days under the approved performance plan; and
(2) The departing supervisor did not complete an interim
rating or rating of record, and the employee has not worked under performance standards
established by the new supervisor for at least 120 days as of December 31. A rating
of record should be prepared by the rating official or when appropriate by the reviewing
official as of the date that the employee completes 120 days under the approved
performance plan. (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 FAM 2825 Grievances
(CT:PER-759; 12-17-2014)
(State only)
(Applies to Civil Service Employees)
a. Once the appraisal is finalized, i.e. the rating of record
is in the electronic Official Personnel Folder and 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
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 2826 OFFICIAL RECORDS
3 FAM 2826.1 Appraisal Reports
(CT:PER-759; 12-17-2014)
(State only)
(Applies to Civil Service Employees)
a. Form DS-7644, Civil Service Performance Plan and Appraisal,
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 rating of record is placed in the eOPF.
3 FAM 2826.2 Amending the Employees
Electronic Official Personnel Folder (eOPF)
(CT:PER-759; 12-17-2014)
(State only)
(Applies to Civil Service Employees)
a. The Director General of the Foreign Service and Director
of Human Resources (Director General) is authorized to amend, explain, supplement,
or remove material in an employee's eOPF. This includes the rating of record, when
the Director General determines that the action is justified 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 that it be included in his or her 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
appraisal 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 2826.3 Technical Review
(CT:PER-759; 12-17-2014)
(State only)
(Applies to Civil Service Employees)
a. Executive directors, or their designees, are responsible
for a technical review of all employees appraisals within their respective bureau(s).
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. The executive director
is responsible for ensuring:
(1) Compliance with the rules, regulations, and procedures
governing performance plans and appraisals;
(2) The completeness and suitability of comments contained
in the appraisal report; and
(3) The performance plan, progress review and appraisal
report having been properly documented on applicable forms. (See 3 FAH-1 H-2820).
b. Executive directors, or their designees, certify that
the technical review of the appraisal has been completed by signing Form DS-7644,
Civil Service Performance Plan and Appraisal.
3 FAM 2826.4 Inadmissible Comments
(CT:PER-759; 12-17-2014)
(State only)
(Applies to Civil Service Employees)
The executive office must take the necessary steps to prevent
submission of reports containing inadmissible comments. These include, but are
not limited to, references to race, color, religion, physical or personal characteristics,
and references that identify other employees by name or a value that can be associated
with an employee (e.g., title of position). See 3 FAH-1 H-2820
for a complete list.
3 FAM 2826.5 Submission and Disposition
of Appraisals
(CT:PER-759; 12-17-2014)
(State only)
(Applies to Civil Service and Foreign Service raters)
The executive director must be responsible for obtaining the
rating of record from rating officials, reviewing officials and rated employees,
and for timely compliance with performance appraisal schedules.
3 FAM 2826.6 Delinquent Performance
Appraisals
(CT:PER-759; 12-17-2014)
(State only)
(Applies to Civil Service and Foreign Service Employees)
a. Assistant Secretaries or equivalent are responsible for
holding their delinquent raters accountable. Executive directors will track compliance,
using Dashboard reports. If an Assistant Secretary or equivalent determines that
Civil Service raters were delinquent in the preceding cycle, then those raters will
not receive an overall Outstanding rating when appraised for the current cycle.
Civil Service delinquent raters will not be eligible to receive a Performance award
or a Quality Step Increase within one year of the date the appraisal was due. For
further information on Civil Service delinquent raters, refer to 3 FAH-1 H-2823.4.
b. For information on Foreign Service delinquent raters,
refer to 3
FAH-1 H-2819.1-3.
3 FAM 2827 INCENTIVES AND RECOGNITION
3 FAM 2827.1 Performance Awards
(CT:PER-759; 12-17-2014)
(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 2827.2 Quality Step Increases
(CT:PER-759; 12-17-2014)
(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 2828 and 2829 UNASSIGNED