



Office of Personnel Management Pt. 430
must be of significantly longer dura- (b) Requirements. (1) Candidates must
tion than 80 hours. be appointed using the Schedule B au-
(2) There are developmental assign- thority authorized by § 213.3202(j) of
ments that total at least 4 months of this chapter. The appointment may not
full-time service outside the can- exceed or be extended beyond 3 years.
didate's position of record. The purpose (2) Assignments must be to a full-
of the assignments is to broaden the time position created for develop-
candidate's experience and/or increase mental purposes connected with the
knowledge of the overall functioning of SES candidate development program.
the agency so that the candidate is pre- Candidates serving under Schedule B
pared for a range of agency positions. appointment may not be used to fill an
(3) There is a member of the Senior agency's regular positions on a con-
Executive Service as a mentor. tinuing basis.
(f) Each candidate's performance in (3) Schedule B appointments must be
the program is evaluated periodically, made in the same manner as merit
and there is a written policy for dis- staffing requirements prescribed for
continuing a candidate's participation the SES, except that each agency shall
in the program. A candidate can be dis- follow the principle of veteran pref-
continued or may withdraw from the erence as far as administratively fea-
program without prejudice to his or sible. Positions filled through this au-
her ability to apply directly for SES thority are excluded under
positions. § 302.101(c)(6) of this chapter from the
appointment procedures of part 302.
(g) Each candidate has a documented
starting and finishing date in the pro-
gram. PART 430--PERFORMANCE
MANAGEMENT
Subpart B--Senior Executive Serv- Subpart A--Performance Management
ice Status and Nonstatus Can-
didate Development Pro- Sec.
430.101 Authority.
grams 430.102 Performance management.
§ 412.201 Purpose. Subpart B--Performance Appraisal for
Section 3393 of title 5, United States General Schedule, Prevailing Rate,
Code, requires that career appointees and Certain Other Employees
to the SES be recruited either from all
430.201 General.
groups of qualified individuals within 430.202 Coverage.
the civil service, or from all groups of 430.203 Definitions.
qualified individuals whether or not 430.204 Agency performance appraisal sys-
within the civil service. This subpart tem(s).
sets forth regulations establishing two 430.205 Agency performance appraisal pro-
types of SES candidate development gram(s).
programs, ``status'' and ``non-status.'' 430.206 Planning performance.
430.207 Monitoring performance.
430.208 Rating performance.
§ 412.202 ``Status'' programs.
430.209 Agency responsibilities.
Only employee serving under career 430.210 OPM responsibilities.
appointments, or under career-type ap-
pointments as defined in § 317.304(a)(2) Subpart C--Managing Senior Executive
of this chapter, may participate in Performance
``status'' candidate development pro- 430.301 General.
grams. 430.302 Coverage.
430.303 Definitions.
§ 412.203 ``Non-status'' programs. 430.304 SES performance management sys-
tems.
(a) Eligibility. Candidates are from
430.305 Planning and communicating per-
outside Government and/or from formance.
among employees serving on other 430.306 Monitoring performance.
than career or career-type appoint- 430.307 Appraising performance.
ments within the civil service. 430.308 Rating performance.
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§ 430.101 5 CFR Ch. I (1106 Edition)
430.309 Using performance results. Subpart B--Performance Ap-
430.310 Performance Review Boards (PRBs).
430.311 Training and evaluation.
praisal for General Schedule,
430.312 OPM review of agency systems. Prevailing Rate, and Certain
Other Employees
Subpart D--Performance Appraisal
Certification for Pay Purposes SOURCE: 60 FR 43943, Aug. 23, 1995, unless
otherwise noted.
430.401 Purpose.
430.402 Definitions. § 430.201 General.
430.403 System certification.
430.404 Certification criteria. (a) Statutory authority. Chapter 43 of
430.405 Procedures for certifying agency ap- title 5, United States Code, provides for
praisal systems. the establishment of agency perform-
ance appraisal systems and requires
AUTHORITY: 5 U.S.C. chapter 43 and 5307(d).
the Office of Personnel Management
(OPM) to prescribe regulations gov-
Subpart A--Performance erning such systems. The regulations
Management in this subpart in combination with
statute set forth the requirements for
SOURCE: 60 FR 43943, Aug. 23, 1995, unless agency performance appraisal sys-
otherwise noted. tem(s) and program(s) for employees
covered by subchapter I of chapter 43.
§ 430.101 Authority. (b) Savings provision. The perform-
Chapter 43 of title 5, United States ance appraisal system portion of an
Code, provides for the performance ap- agency's Performance Management
praisal of Federal employees. This sub- Plan approved by OPM as of September
part supplements and implements this 22, 1995 shall constitute an approved
portion of the law. performance appraisal system under
the regulations in this subpart until
§ 430.102 Performance management. such time changes to the system are
approved. No provision of the regula-
(a) Performance management is the tions in this subpart shall be applied in
systematic process by which an agency such a way as to affect any administra-
involves its employees, as individuals tive proceeding related to any action
and members of a group, in improving taken under regulations in this chapter
organizational effectiveness in the ac- pending on September 22, 1995.
complishment of agency mission and (c) Equivalent ratings of record. (1) If
goals. an agency has administratively adopt-
(b) Performance management inte- ed and applied the procedures of this
grates the processes an agency uses subpart to evaluate the performance of
to-- its employees, the ratings of record re-
(1) Communicate and clarify organi- sulting from that evaluation are con-
zational goals to employees; sidered ratings of record for reduction
(2) Identify individual and, where ap- in force purposes.
plicable, team accountability for ac- (2) Other performance evaluations
complishing organizational goals; given while an employee is not covered
(3) Identify and address develop- by the provisions of this subpart are
mental needs for individuals and, considered ratings of record for reduc-
where applicable, teams; tion in force purposes when the per-
(4) Assess and improve individual, formance evaluation--
team, and organizational performance; (i) Was issued as an officially des-
(5) Use appropriate measures of per- ignated evaluation under the employ-
formance as the basis for recognizing ing agency's performance evaluation
and rewarding accomplishments; and system,
(6) Use the results of performance ap- (ii) Was derived from the appraisal of
performance against expectations that
praisal as a basis for appropriate per-
are established and communicated in
sonnel actions.
advance and are work related, and
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