Civil Service FAQ Performance and Promotion 2 — Questions and Answers
Question 1: Under the Civil Service Reform Act's performance management requirements, what must a supervisor communicate to an employee at the beginning of each appraisal period?
- The employee's tentative performance rating for the prior year
- The critical elements and performance standards against which the employee will be appraised (Correct answer)
- The agency's overall mission and strategic goals for the fiscal year
- The employee's promotion potential and career ladder target grade
Correct answer: The critical elements and performance standards against which the employee will be appraised
Before each appraisal period begins, supervisors must communicate to employees the specific critical elements and measurable performance standards against which their performance will be evaluated, as required by 5 U.S.C. Chapter 43.
5 U.S.C. § 4302 requires agencies to establish performance appraisal systems that inform employees of the critical elements of their positions at the beginning of the appraisal period. Critical elements must be individually focused (not group-based), within the employee's control, and have written standards describing expectations at each performance level. OPM's implementing regulations at 5 C.F.R. Part 430 require this communication before or at the start of the appraisal period, ensuring employees know the expectations they will be held to.
Question 2: What is 'within-grade increase' (WGI) eligibility based on?
- A competitive selection process open to all employees at the same grade
- A rating of record of at least 'Fully Successful' and completion of the required waiting period at the current step (Correct answer)
- Supervisor recommendation approved by the agency head
- Completion of a designated training program tied to the position
Correct answer: A rating of record of at least 'Fully Successful' and completion of the required waiting period at the current step
Within-grade increases are step increases granted automatically after an employee completes the required waiting period (1, 2, or 3 years depending on the step) and receives a rating of record at or above 'Fully Successful' (Level 3 or equivalent).
5 U.S.C. § 5335 authorizes WGIs (also called 'step increases') for GS employees. The waiting periods are: steps 1–3 (one year each), steps 4–6 (two years each), and steps 7–9 (three years each). An acceptable performance determination must be made, which involves supervisor certification that performance meets 'Fully Successful' standards. A negative WGI determination can be issued if performance drops below acceptable, delaying the increase and requiring a performance improvement plan.
Question 3: What is a 'Quality Step Increase' (QSI) and when is it awarded?
- A promotional increase to the next GS grade for exceptional project completion
- A non-competitive within-grade increase granted for sustained high-quality performance at the 'Outstanding' level (Correct answer)
- An immediate step increase given when a position is reclassified upward
- A monetary award equal to one step's value, given in lieu of a step increase
Correct answer: A non-competitive within-grade increase granted for sustained high-quality performance at the 'Outstanding' level
A Quality Step Increase (QSI) is an accelerated within-grade increase that advances an employee one step without waiting for the normal waiting period, awarded for sustained performance at the 'Outstanding' level — the highest performance rating.
Under 5 U.S.C. § 5336 and 5 C.F.R. § 531.504, agencies may grant QSIs to employees with a current rating of record at the highest summary level (typically 'Outstanding' or Level 5). A QSI advances the employee one step immediately, and a new waiting period begins for the next regular WGI. Agencies set their own QSI policies within OPM guidelines, and not every high performer is guaranteed a QSI — agencies must budget for them and may limit frequency. A QSI cannot be granted if the employee is already at step 10 (the maximum step).
Question 4: What is 'merit promotion' in federal service?
- An automatic promotion granted based on years of service
- A competitive promotion process requiring agencies to evaluate candidates based on job-related criteria (Correct answer)
- A presidential award recognizing outstanding federal employees
- A salary increase tied to the national GS pay schedule adjustment
Correct answer: A competitive promotion process requiring agencies to evaluate candidates based on job-related criteria
Merit promotion is the competitive process by which current or former federal employees compete for promotion to higher-graded positions based on job-related knowledge, skills, and abilities, evaluated through a fair and objective process under OPM's merit promotion regulations.
5 C.F.R. Part 335 requires agencies to establish merit promotion plans that ensure promotions are based on merit. Agencies must post merit promotion announcements (internal to eligible federal employees), rate and rank applicants using job-related criteria, and make selections from among the best-qualified candidates. Supervisors may not play favorites or make selections based on prohibited factors. Employees may file grievances or appeal to MSPB if they believe a merit promotion was improper.
Question 5: Under the performance-based actions provisions of the Civil Service Reform Act, what must an agency do before demoting or removing an employee for unacceptable performance?
- Obtain MSPB approval before issuing any notice of proposed action
- Provide the employee with an opportunity to demonstrate acceptable performance through a Performance Improvement Plan (PIP) (Correct answer)
- Issue at least three written reprimands before initiating a demotion action
- File a prohibited personnel practice complaint with the Office of Special Counsel
Correct answer: Provide the employee with an opportunity to demonstrate acceptable performance through a Performance Improvement Plan (PIP)
Before taking a performance-based adverse action (demotion or removal), an agency must place the employee on a Performance Improvement Plan (PIP) — also called an Opportunity to Demonstrate Acceptable Performance — giving them a reasonable time and assistance to bring performance to an acceptable level.
5 U.S.C. § 4302(c)(6) and 5 C.F.R. Part 432 require agencies to warn employees of unacceptable performance in one or more critical elements and provide them a reasonable opportunity to improve (typically 30–90 days through a PIP). The PIP must specify the performance standard to be met, provide assistance and resources, and give a realistic timeframe. If performance remains unacceptable after the PIP, the agency may propose demotion or removal. The employee has the right to respond and may appeal an adverse action to MSPB under 5 U.S.C. Chapter 75.
Question 6: What is the 'time-in-grade' requirement for promotion to a GS-12 position?
- One year at GS-10 or higher
- One year at GS-11 or higher (Correct answer)
- Two years at GS-10 or higher
- Six months at GS-11 and an 'Outstanding' rating
Correct answer: One year at GS-11 or higher
For competitive promotions, employees must generally have served at least one year at the next lower grade level (GS-11 for a GS-12 promotion) to satisfy the time-in-grade requirement.
5 C.F.R. § 300.604 requires that applicants competing for promotion in the competitive service must have served 52 weeks (one year) at the next lower grade level. For GS-12, this means one year at GS-11. The time-in-grade requirement applies to most promotions and ensures employees have sufficient experience at each level. Exceptions include direct hiring authorities (which may waive TIG), certain SES positions, and conversions from excepted service where equivalent experience is credited.
Civil Service FAQ Performance and Promotion 2
Under the Civil Service Reform Act's performance management requirements, what must a supervisor communicate to an employee at the beginning of each appraisal period?