---
kind: "section"
citation: "5 C.F.R. § 430.206"
title: "5"
number: "430.206"
heading: "Planning performance."
url: "https://uscodex.org/cfr/5/430.206"
---

# §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)](/cfr/5/430.102.md?p=b).
  - (6) A performance plan established under an appraisal program that uses only two summary levels (pattern A as specified in [§ 430.208(e)(1)](/cfr/5/430.208.md?p=e-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.
  - (9) The performance plan of any supervisor covered under this subpart must include a supervisory critical element comprised of supervisory requirements established by OPM and agency-established criteria for protecting whistleblowers, as required by [5 U.S.C. 4302(b)](/usc/5/4302.md?p=b).

## Notes

### Amendments

[60 FR 43943, Aug. 23, 1995, as amended at 62 FR 62503, Nov. 24, 1997; 91 FR 41537, July 7, 2026]

### Source

Source: 60 FR 43943, Aug. 23, 1995, unless otherwise noted.

### Authority

Authority: 5 U.S.C. 2301, chapter 43 and 5307(d).

### Amendments

[60 FR 43943, Aug. 23, 1995, as amended at 62 FR 62503, Nov. 24, 1997; 91 FR 41537, July 7, 2026]