CFR Subpart B

CFR Subpart B
in effect

5 C.F.R. § 430.201 General.

(a) Statutory authority. Chapter 43 of title 5, United States Code, provides for the establishment of agency performance appraisal systems and requires the Office of Personnel Management (OPM) to prescribe regulations governing such systems. The regulations in this subpart in combination with statute set forth the requirements for agency performance appraisal system(s) and program(s) for employees covered by subchapter I of chapter 43. (b) Savings provision. The performance appraisal system portion of an agency's Performance Management Plan approved by OPM as of September 22, 1995 shall constitute an approved performance appraisal system under the regulations in this subpart until such time changes to the system are approved. No provision of the regulations in this subpart shall be applied in such a way as to affect any administrative proceeding related to any action taken under regulations in this chapter pending on September 22, 1995. (c) Equivalent ratings of record. (1) If an agency has administratively adopted and applied the procedures of this subpart to evaluate the performance of its employees, the ratings of record resulting from that evaluation are considered ratings of record for reduction in force purposes. (2) Other performance evaluations given while an employee is not covered by the provisions of this subpart are considered ratings of record for reduction in force purposes when the performance evaluation— (i) Was issued as an officially designated evaluation under the employing agency's performance evaluation system, (ii) Was derived from the appraisal of performance against expectations that are established and communicated in advance and are work related, and (iii) Identified whether the employee performed acceptably. (3) When the performance evaluation does not include a summary level designator and pattern comparable to those established at § 430.208(d), the agency may identify a level and pattern based on information related to the appraisal process.

5 C.F.R. § 430.202 Coverage.

(a) Employees and agencies covered by statute. (1) Section 4301(1) of title 5, United States Code, defines agencies covered by this subpart. (2) Section 4301(2) of title 5, United States Code, defines employees covered by statute by this subpart. Besides General Schedule (GS/GM) and prevailing rate employees, coverage includes, but is not limited to, senior-level and scientific and professional employees paid under 5 U.S.C. 5376. (b) Statutory exclusions. This subpart does not apply to agencies or employees excluded by 5 U.S.C. 4301(1) and (2), the United States Postal Service, or the Postal Rate Commission. (c) Administrative exclusions. OPM may exclude any position or group of positions in the excepted service under the authority of 5 U.S.C. 4301(2)(G). The regulations in this subpart exclude excepted service positions for which employment is not reasonably expected to exceed the minimum period established under § 430.207(a) in a consecutive 12-month period. (d) Agency requests for exclusions. Heads of agencies or their designees may request the Director of OPM to exclude positions in the excepted service. The request must be in writing, explaining why the exclusion would be in the interest of good administration.

5 C.F.R. § 430.203 Definitions.

In this subpart, terms are defined as follows: Additional performance element means a dimension or aspect of individual, team, or organizational performance that is not a critical or non-critical element. Such elements are not used in assigning a summary level but, like critical and non-critical elements, are useful for purposes such as communicating performance expectations and serving as the basis for granting awards. Such elements may include, but are not limited to, objectives, goals, program plans, work plans, and other means of expressing expected performance. Appraisal means the process under which performance is reviewed and evaluated. Appraisal period means the established period of time for which performance will be reviewed and a rating of record will be prepared. Appraisal program means the specific procedures and requirements established under the policies and parameters of an agency appraisal system. Appraisal system means a framework of policies and parameters established by an agency as defined at 5 U.S.C. 4301(1) for the administration of performance appraisal programs under subchapter I of chapter 43 of title 5, United States Code, and this subpart. Critical element means a work assignment or responsibility of such importance that unacceptable performance on the element would result in a determination that an employee's overall performance is unacceptable. Such elements shall be used to measure performance only at the individual level. Non-critical element means a dimension or aspect of individual, team, or organizational performance, exclusive of a critical element, that is used in assigning a summary level. Such elements may include, but are not limited to, objectives, goals, program plans, work plans, and other means of expressing expected performance. Performance means accomplishment of work assignments or responsibilities. Performance appraisal system: See Appraisal system. Performance plan means 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. Performance rating means 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. A performance rating may include the assignment of a summary level within a pattern (as specified in § 430.208(d)). Performance standard means the management-approved 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. Progress review means communicating with the employee about performance compared to the performance standards of critical and non-critical elements. Rating of record means 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 (as specified in § 430.208(d)), or (2) in accordance with § 531.404(a)(1) of this chapter. These constitute official ratings of record referenced in this chapter.

5 C.F.R. § 430.204 Agency performance appraisal system(s).

(a) Each agency as defined at section 4301(1) of title 5, United States Code, shall develop one or more performance appraisal systems for employees covered by this subpart. (b) An agency appraisal system shall establish agencywide policies and parameters for the application and operation of performance appraisal within the agency for the employees covered by the system. At a minimum, an agency system shall— (1) Provide for— (i) Establishing employee performance plans, including, but not limited to, critical elements and performance standards; (ii) Communicating performance plans to employees at the beginning of an appraisal period; (iii) Evaluating each employee during the appraisal period on the employee's elements and standards; (iv) Recognizing and rewarding employees whose performance so warrants; (v) Assisting employees in improving unacceptable performance; and (vi) Reassigning, reducing in grade, or removing employees who continue to have unacceptable performance, but only after an opportunity to demonstrate acceptable performance. (2) Identify employees covered by the system; (3) Specify the flexibilities an agency program established under the system has for setting— (i) The length of the appraisal period (as specified in § 430.206(a)); (ii) The length of the minimum period (as specified in § 430.207(a)); (iii) The number(s) of performance levels at which critical and non-critical elements may be appraised (as specified in § 430.206(b)(7) (i)(A) and (ii)(A)); and (iv) The pattern of summary levels that may be assigned in a rating of record (as specified in § 430.208(d)); (4) Include, where applicable, criteria and procedures for establishing separate appraisal programs under an appraisal system; and (5) Require that an appraisal program shall conform to statute, the regulations of this chapter, and the requirements established by the appraisal system. (c) Agencies are encouraged to involve employees in developing and implementing their system(s). When agencies involve employees, the method of involvement shall be in accordance with the law.

5 C.F.R. § 430.205 Agency performance appraisal program(s).

(a) Each agency shall establish at least one appraisal program of specific procedures and requirements to be implemented in accordance with the applicable agency appraisal system. At a minimum, each appraisal program shall specify the employees covered by the program and include the procedures and requirements for planning performance (as specified in § 430.206), monitoring performance (as specified in § 430.207), and rating performance (as specified in § 430.208). (b) An agency program shall establish criteria and procedures to address employee performance for employees who are on detail, who are transferred, and for other special circumstances as established by the agency. (c) An agency may permit the development of separate appraisal programs under an appraisal system. (d) Agencies are encouraged to involve employees in developing and implementing their program(s). When agencies involve employees, the method of involvement shall be in accordance with law.

5 C.F.R. § 430.206 Planning performance.

(a) Appraisal period. (1) An appraisal program shall designate an official appraisal period for which a performance plan shall be prepared, during which performance shall be monitored, and for which a rating of record shall be prepared. (2) Each program shall specify a single length of time as its appraisal period. The appraisal period generally shall be 12 months so that employees are provided a rating of record on an annual basis. A program's appraisal period may be longer when work assignments and responsibilities so warrant or performance management objectives can be achieved more effectively. (b) Performance plan. (1) Agencies shall encourage employee participation in establishing performance plans. (2) Performance plans shall be provided to employees at the beginning of each appraisal period (normally within 30 days). (3) An appraisal program shall require that each employee be covered by an appropriate written, or otherwise recorded, performance plan based on work assignments and responsibilities. (4) Each performance plan shall include all elements which are used in deriving and assigning a summary level, including at least one critical element and any non-critical element(s). (5) Each performance plan may include one or more additional performance elements, which— (i) Are not used in deriving and assigning a summary level, and (ii) Are used to support performance management processes as described at § 430.102(b). (6) A performance plan established under an appraisal program that uses only two summary levels (pattern A as specified in § 430.208(d)(1)) shall not include non-critical elements. (7) An appraisal program shall establish how many and which performance levels may be used to appraise critical and non-critical elements. (8) Elements and standards shall be established as follows— (i) For a critical element— (A) At least two levels for appraisal shall be used with one level being “Fully Successful” or its equivalent and another level being “Unacceptable,” and (B) A performance standard shall be established at the “Fully Successful” level and may be established at other levels. (ii) For non-critical elements, when established,— (A) At least two levels for appraisal shall be used, and (B) A performance standard(s) shall be established at whatever level(s) is appropriate. (iii) The absence of an established performance standard at a level specified in the program shall not preclude a determination that performance is at that level.

5 C.F.R. § 430.207 Monitoring performance.

(a) Minimum period. An appraisal program shall establish a minimum period of performance that must be completed before a performance rating may be prepared. (b) Ongoing appraisal. An appraisal program shall include methods for appraising each critical and non-critical element during the appraisal period. Performance on each critical and non-critical element shall be appraised against its performance standard(s). Ongoing appraisal methods shall include, but not be limited to, conducting one or more progress reviews during each appraisal period. (c) Marginal performance. Appraisal programs should provide assistance whenever performance is determined to be below “Fully Successful” or equivalent but above “Unacceptable.” (d) Unacceptable performance. An appraisal program shall provide for— (1) Assisting employees in improving unacceptable performance at any time during the appraisal period that performance is determined to be unacceptable in one or more critical elements; and (2) Taking action based on unacceptable performance.

5 C.F.R. § 430.208 Rating performance.

(a) As soon as practicable after the end of the appraisal period, a written, or otherwise recorded, rating of record shall be given to each employee. (1) A rating of record shall be based only on the evaluation of actual job performance for the designated appraisal period. (2) An agency shall not issue a rating of record that assumes a level of performance by an employee without an actual evaluation of that employee's performance. (3) Except as provided in § 430.208(i), a rating of record is final when it is issued to an employee with all appropriate reviews and signatures. (b) Rating of record procedures for each appraisal program shall include a method for deriving and assigning a summary level as specified in paragraph (d) of this section based on appraisal of performance on critical elements and, as applicable, non-critical elements. (1) A Level 1 summary (“Unacceptable”) shall be assigned if and only if performance on one or more critical elements is appraised as “Unacceptable.” (2) Consideration of non-critical elements shall not result in assigning a Level 1 summary (“ Unacceptable”). (c) The method for deriving and assigning a summary level may not limit or require the use of particular summary levels (i.e., establish a forced distribution of summary levels). However, methods used to make distinctions among employees or groups of employees such as comparing, categorizing, and ranking employees or groups on the basis of their performance may be used for purposes other than assigning a summary level including, but not limited to, award determinations and promotion decisions. (d) Summary levels. (1) An appraisal program shall use one of the following patterns of summary levels: (2) Within any of the patterns shown in paragraph (d)(1) of this section, summary levels shall comply with the following requirements: (i) Level 1 through Level 5 are ordered categories, with Level 1 as the lowest and Level 5 as the highest; (ii) Level 1 is “Unacceptable”; (iii) Level 3 is “Fully Successful” or equivalent; and (iv) Level 5 is “Outstanding” or equivalent. (3) The term “Outstanding” shall be used only to describe a Level 5 summary. (4) The designation of a summary level and its pattern shall be used to provide consistency in describing ratings of record and as a reference point for applying other related regulations, including, but not limited to, assigning additional retention service credit under § 351.504 of this chapter. (5) Under the provisions of § 351.504(e) of this chapter, the number of years of additional retention service credit established for a summary level of a rating of record shall be applied in a uniform and consistent manner within a competitive area in any given reduction in force, but the number of years may vary: (i) In different reductions in force; (ii) In different competitive areas; and (iii) In different summary level patterns within the same competitive area. (e) A rating of record of “Unacceptable” (Level 1) shall be reviewed and approved by a higher level management official. (f) The rating of record or performance rating for a disabled veteran shall not be lowered because the veteran has been absent from work to seek medical treatment as provided in Executive Order 5396. (g) When a rating of record cannot be prepared at the time specified, the appraisal period shall be extended. Once the conditions necessary to complete a rating of record have been met, a rating of record shall be prepared as soon as practicable. (h) Each rating of record shall cover a specified appraisal period. Agencies shall not carry over a rating of record prepared for a previous appraisal period as the rating of record for a subsequent appraisal period(s) without an actual evaluation of the employee's performance during the subsequent appraisal period. (i) When either a regular appraisal period or an extended appraisal period ends and any agency-established deadline for providing ratings of record passes or a subsequent rating of record is issued, an agency shall not produce or change retroactively a rating of record that covers that earlier appraisal period except that a rating of record may be changed— (1) Within 60 days of issuance based upon an informal request by the employee; (2) As a result of a grievance, complaint, or other formal proceeding permitted by law or regulation that results in a final determination by appropriate authority that the rating of record must be changed or as part of a bona fide settlement of a formal proceeding; or (3) Where the agency determines that a rating of record was incorrectly recorded or calculated. (j) A performance rating may be prepared at such other times as an appraisal program may specify for special circumstances including, but not limited to, transfers and performance on details.

5 C.F.R. § 430.209 Agency responsibilities.

An agency shall— (a) Submit to OPM for approval a description of its appraisal system(s) as specified in § 430.204(b) of this subpart, and any subsequent changes that modify any element of the agency's system(s) that is subject to a regulatory requirement in this part; (b) Transfer the employee's most recent ratings of record, and any subsequent performance ratings, when an employee transfers to another agency or is assigned to another organization within the agency in compliance with part 293 of this chapter and instructions in the OPM Operating Manual, THE GUIDE TO PERSONNEL RECORDKEEPING, for sale by the U.S. Government Printing Office, Superintendent of Documents; (c) Communicate with supervisors and employees (e.g., through formal training) about relevant parts of its performance appraisal system(s) and program(s); (d) Evaluate the performance appraisal system(s) and performance appraisal program(s) in operation in the agency; (e) Report ratings of record data to the Central Personnel Data File in compliance with instructions in the OPM Operating Manual, FEDERAL WORKFORCE REPORTING SYSTEMS, for sale by the U.S. Government Printing Office, Superintendent of Documents; (f) Maintain and submit such records as OPM may require; and (g) Take any action required by OPM to ensure conformance with applicable law, regulation, and OPM policy.

5 C.F.R. § 430.210 OPM responsibilities.

(a) OPM shall review and approve an agency's performance appraisal system(s). (b) OPM may evaluate the operation and application of an agency's performance appraisal system(s) and program(s). (c) If OPM determines that an appraisal system or program does not meet the requirements of applicable law, regulation, or OPM policy, it shall direct the agency to implement an appropriate system or program or to take other corrective action.

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