5 C.F.R. § 430.206

Planning performance

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Link to an amendment published at 91 FR 41537, July 7, 2026.

(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.

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

Notes of Decisions

Cited in 7 cases (3 in the last 5 years), 1984–2026 · leading case: Nat'l Labor Relations Bd. v. Fed. Labor Relations Auth., Nat'l Labor Relations Bd. Union, Intervenor, 2 F.3d 1190 (D.C. Cir. 1993).

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Nat'l Labor Relations Bd. v. Fed. Labor Relations Auth., Nat'l Labor Relations Bd. Union, Intervenor, 2 F.3d 1190 (D.C. Cir. 1993). · cites it 6× “[note — to be considered only if option 1 is determined to violate 5 C.F.R. § 430.206 (c)]: Once an employee’s reviewing official(s) has (have) acted upon the written evaluation of performance and recommendations by the employee’s appraising official(s), derived a summary…”

Nat'l Treasury Employees Union v. Donald J. Devine, Dir., Off. of Pers. Mgmt., 733 F.2d 114 (D.C. Cir. 1984). “at 49,480 (to be codified at 5 C.F.R. § 430.206 (a)); id. at 49,483 (to be codified at 5 C.”

Latisha Zepeda v. Nuclear Regulatory Comm'n, 2024 MSPB 14 (MSPB 2024). · cites it 2× “, 5 C.F.R. §§ 430.206 (b)(8)(i)(B), 430.208(d)(1)).”

Harris v. SEC (Fed. Cir. 2020). “§ 4302 (b)(2) (2012), 1 which gener- ally runs for 12 months, 5 C.F.R. § 430.206 (a)(2). Each agency’s performance appraisal system must “provide for .”

Robert Brooks v. Dep't of the Navy (MSPB 2024). “See 5 C.F.R. §§ 430.206 (b)(2) (“Performance plans shall be provided to employees at the beginning of each appraisal period (normally within 30 days).”

Deborah Khan v. Dep't of Just. (MSPB 2026). “§ 4302 (b)(6); 5 C.F.R. §§ 430.206 (b)(8), 430.207(c), 430.”

Fitzsimmons v. Dep't of Treasury, 476 F. App'x 246 (Fed. Cir. 2012). “” 5 C.F.R. § 430.206 (a)(2). “Each rating of record shall cover a specified appraisal period” and “[a]gencies 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…”

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