5 C.F.R. § 9701.404
Definitions.
Cite as 5 C.F.R. § 9701.404 (2026)
In this subpart—
Appraisal
means the review and evaluation of an employee's performance.
Appraisal period
means the period of time established under a performance management system for reviewing employee performance.
Competencies
means the measurable or observable knowledge, skills, abilities, behaviors, and other characteristics required by a position.
Contribution
means a work product, service, output, or result provided or produced by an employee that supports the Departmental or organizational mission, goals, or objectives.
Minimum period
means the period of time established by DHS during which an employee must perform before receiving a rating of record.
Performance
means accomplishment of work assignments or responsibilities.
Performance expectations
means that which an employee is required to do, as described in § 9701.406, and may include observable or verifiable descriptions of quality, quantity, timeliness, and cost effectiveness.
Performance management
means applying the integrated processes of setting and communicating performance expectations, monitoring performance and providing feedback, developing performance and addressing poor performance, and rating and rewarding performance in support of the organization's goals and objectives.
Performance management system
means the policies and requirements established under this subpart, as supplemented by DHS implementing directives, for setting and communicating employee performance expectations, monitoring performance and providing feedback, developing performance and addressing poor performance, and rating and rewarding performance.
Rating of record
means a performance appraisal prepared—
(1) At the end of an appraisal period covering an employee's performance of assigned duties against performance expectations over the applicable period; or
(2) To support a pay determination, including one granted in accordance with subpart C of this part, a within-grade increase granted under 5 CFR 531.404, or a pay determination granted under other applicable rules.
Unacceptable performance
means the failure to meet one or more performance expectations.
- Cross-references to the CFR
- 5:531.4049701.406