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 must be given to each employee.
(1) A rating of record must be based only on the evaluation of actual job performance for the designated appraisal period.
(2) An agency must 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 paragraph (i) of this section, 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 must 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”) must be assigned if and only if performance on one or more critical elements is appraised as “Unacceptable.”
(2) Consideration of non-critical elements must not result in assigning a Level 1 summary (“Unacceptable”).
(c) OPM may establish, and refine as needed, a standardized distribution of some or all rating levels which agencies must apply when rating employees, except that employees appointed under Schedules C or G in the excepted service may be excluded from such standardized distribution requirements, as determined by OPM.
(d) The method for deriving and assigning a summary level, as may be established by OPM as described in paragraph (c) of this section, may involve comparing, categorizing, and ranking employees or groups on the basis of their performance. Such procedures may also be used, where otherwise authorized by law and regulation, to inform award determinations and promotion decisions.
(e) Summary levels. (1) An appraisal program must use one of the following patterns of summary levels, but Pattern A may only be used for seasonal employees, teachers, General Schedule grades 1-4, and Federal Wage System employees:
| Pattern | Summary level | ||||
|---|---|---|---|---|---|
| 1 | 2 | 3 | 4 | 5 | |
| A | X | X | |||
| B | X | X | X | ||
| C | X | X | X | X | |
(2) Within any of the patterns shown in paragraph (e)(1) of this section, summary levels must 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” may be used only to describe the summary level “Level 5.”
(4) The designation of a summary level and its pattern must be used to provide consistency in describing ratings of record and as a reference point for applying other related regulations, excluding enhanced performance values under § 351.503(d) and (e) of this chapter.
(f) The rating of record or performance rating for a disabled veteran must 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 must be extended. Once the conditions necessary to complete a rating of record have been met, a rating of record must be prepared as soon as practicable.
(h) Each rating of record must cover a specified appraisal period. Agencies must 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 must 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, as specified in agency policies and procedures, by the employee;
(2) As a result of a formal proceeding permitted by law or regulation, other than a negotiated grievance procedure barred by paragraph (k) of this section, 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.
(k) Subject to 5 U.S.C. 7116(a)(7), a rating of record may not be challenged through the negotiated grievance procedures established under 5 U.S.C. 7121.