[Code of Federal Regulations]
[Title 5, Volume 1, Parts 1 to 699]
[Revised as of January 1, 2001]
From the U.S. Government Printing Office via GPO Access
[CITE: 5CFR430.206]

[Page 315-316]
 
                    TITLE 5--ADMINISTRATIVE PERSONNEL
 
                CHAPTER I--OFFICE OF PERSONNEL MANAGEMENT
 
PART 430--PERFORMANCE MANAGEMENT--Table of Contents
 
Subpart B--Performance Appraisal for General Schedule, Prevailing Rate, 
                       and Certain Other Employees
 
Sec. 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 Sec. 430.102(b).
    (6) A performance plan established under an appraisal program that 
uses only two summary levels (pattern A as specified in 
Sec. 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

[[Page 316]]

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.

[60 FR 43943, Aug. 23, 1995, as amended at 62 FR 62503, Nov. 24, 1997]