6109.13_10
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FSH 6109.13 – PERFORMANCE, TRAINING, AND AWARDS HANDBOOK
CHAPTER 10
– PERFORMANCE APPRAISAL
Supplement No.: 6109.13-93-2
Effective Date: September 16, 1993
Duration: This supplement is effective until superseded or removed.
Approved: LARRY HENSON
Regional Forester
Date Approved: 09/16/1993
Posting Instructions: Supplements are numbered consecutively by Handbook number and calendar year. Post by document; remove the entire document and replace with this supplement.
Retain this transmittal as the first page(s) of this document. The last supplement to this
Handbook was 6109.13-93-1 to chapter 30.
New Document(s):
Superseded Document(s) by
Issuance Number and
6109.13_10
Effective Date
Digest:
18 - Provides procedures for denying a within-grade increase when employee's work
6 Pages performance falls below the fully successful level of competence in a critical element or in the composite rating.
Provides procedures for documentation and notification of work performance below the fully successful level of competence in a critical element or in the composite rating.

R3 SUPPLEMENT 6109.13-93-2
EFFECTIVE DATE: 09/10/1993
DURATION: This supplement is effective until superseded or removed
6109.13_10
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FSH 6109.13 – PERFORMANCE, TRAINING, AND AWARDS HANDBOOK
CHAPTER 10 – PERFORMANCE APPRAISAL
18 - PERFORMANCE BELOW THE FULLY SUCCESSFUL LEVEL.
1. Within-Grade Denial. An employee's within-grade increase (WGI) should be denied when the employee's work performance falls below the fully successful level of competence in a critical element or in the composite rating.
2. Determination. Determination should be based on an appraisal of the employee's performance during the waiting period for the WGI as it relates to the performance standards.
3. Communication of Performance Requirements. Employees must be informed in writing of the specific requirements for performance at the fully successful level of competence.
This may be accomplished by providing the employee with performance standards, guidance, counseling, and written/verbal instruction.
4. Warning Notice. The employee should be informed in writing 30 to 60 days before the WGI due date: a. That he/she is not performing within the fully successful level of competence, and that the WGI will be withheld unless his/her performance sufficiently improves before the WGI due date. b. The specific reasons for the determination. Cite examples of performance deficiencies. c. What he/she needs to do to improve his/her performance. d. What the supervisor will do to help improve his/her performance.
Send a copy of the warning to the ER/LMR Group in the Regional Office.
Failure to give the employee a warning notice as stated above does not delay the WGI determination. This means that a decision must be made whether or not the employee is performing at the fully successful level of competence, regardless of whether that employee was given a warning notice. If no warning notice has been issued and the determination is that the employee is not performing at a fully successful level, the WGI must be delayed and the employee given 60 to 90 days to improve performance. The form, AD-685, Within-Grade
Increase Record, is used to grant or deny the WGI. This form should be submitted to the
Personnel Office at least one (1) pay period prior to the effective pay period.

R3 SUPPLEMENT 6109.13-93-2
EFFECTIVE DATE: 09/10/1993
DURATION: This supplement is effective until superseded or removed
6109.13_10
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FSH 6109.13 – PERFORMANCE, TRAINING, AND AWARDS HANDBOOK
CHAPTER 10 – PERFORMANCE APPRAISAL
5. How to Deny a WGI. If at the due date of the WGI, the employee's performance has not improved to a fully successful level of competence, the negative determination shall be communicated to the employee in writing as soon as possible after completion of the waiting period. (See Exhibit 01).
If the performance is brought up to the fully successful level after the 60 to 90 day delay, the
WGI is granted retroactively to the day it was due.
Forest Supervisors and Regional Office Staff Directors have delegated authority for withholding the WGI.
Employees can request reconsideration within fifteen (15) days of receipt of the notice. The appropriate official to receive reconsideration requests is the Director of Human Resources,
Regional Office. If the reconsideration decision is negative, then nonbargaining unit employees may appeal to the Merit Systems Protection Board (MSPB) and bargaining unit employees have the right to grieve under the negotiated grievance procedure (NGP), but not to appeal to the
MSPB.
The notice shall contain: a. Specific reasons for the negative determination. b. What the employee needs to do to improve performance. c. The employee's grievance rights concerning the negative determination. d. The following concluding statement should be included in the notice to bargaining unit employees:
You have the right to grieve the negative reconsideration decision in accordance with the negotiated grievance procedure. If you choose to grieve, you must present your grievance in writing to (name) , (title) , (address) , within twenty-one (21) days of this action.
Only Local _______ or a representative approved by the Local may represent your grievance, or have it resolved without representation by Local ______.
Provide that Local ______ be given an opportunity to be present at all discussions during the grievance process and resolution. Enclosed is a copy of Article ______ which will give you information on the grievance process. Further information may be obtained from the ER Specialist at (telephone number).
6. Documentation Required to Deny a WGI. a. Within-Grade Increase Record, Form AD-658, denying the within-grade increase. b. Performance Appraisal, Form AD-435, reflecting less than fully successful rating in a critical element or in the overall composite rating. A new performance appraisal must be completed if the most current appraisal of record reflects a fully

R3 SUPPLEMENT 6109.13-93-2
EFFECTIVE DATE: 09/10/1993
DURATION: This supplement is effective until superseded or removed
6109.13_10
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FSH 6109.13 – PERFORMANCE, TRAINING, AND AWARDS HANDBOOK
CHAPTER 10 – PERFORMANCE APPRAISAL successful or better rating in all critical elements or in the overall composite rating. c. Copies of the material relied upon to support the negative determination must be available. This may include copies of work documents, position papers, typing, reports, etc. d. A copy of the performance standards. Submit the above documentation to
Human Resources, Regional Office, with a copy of the notification letter to the employee.
7. Continuing Evaluation After Withholding a WGI. a. The WGI may be granted anytime after the determination that the employee has demonstrated sustained performance at the fully successful level of competence. It usually takes between 30 and 90 days (but can be longer) to determine if an employee has demonstrated sustained performance at the fully successful level, depending on the nature of the employee's work. At minimum, a determination must be made after each 52 calendar weeks following the original eligibility date for the WGI for which the WGI was denied. b. A new Performance Appraisal, Form AD-435, and WGI Record, Form AD-
658, must be prepared and sent to NFC once an employee demonstrates sustained performance at the fully successful level of competence. It is not necessary to wait until the next appraisal period to make a redetermination of the WGI. The
WGI is not retroactive to the original due date.
8. Postponement of Determination. A fully successful level of competence determination may be postponed when: a. An employee has not been informed of the specific requirements for performance at the fully successful level of competence in the current position, and has not been given a performance rating in any position within 90 days prior to the end of the waiting period; or b. An employee is reduced in grade because of unacceptable performance, and will become eligible for a WGI within 90 days.
The employee shall be informed that their determination is postponed and given the specific requirements for performance at fully successful level of competence. The period of postponement shall not be less than 60 or more than 90 days. If at the end of this period the employee is performing at a fully successful level of competence, the WGI will be retroactive to the original due date. If a determination is made that the employee is not performing at the fully successful level of competence, follow the procedure for a WGI denial.
9. References a. 5 CFR-531,4 SUBPART D - Within-grade Increase b. DPM-531, Subchapter 4 - Within-grade Increase

R3 SUPPLEMENT 6109.13-93-2
EFFECTIVE DATE: 09/10/1993
DURATION: This supplement is effective until superseded or removed
6109.13_10
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FSH 6109.13 – PERFORMANCE, TRAINING, AND AWARDS HANDBOOK
CHAPTER 10 – PERFORMANCE APPRAISAL
18 - Exhibit 01
Revise to fit your situation (use informal letterhead).
SUBJECT: Denial of Within-Grade Increase
TO:
This is to notify you that your within-grade increase which was due (date) is being withheld because your performance is below the fully successful level in a critical element of your performance standards or composite rating. You must demonstrate a fully successful level of work performance in all critical elements and in your overall composite rating to be granted a within-grade increase.
From (date) through this date, your performance has been marginal in your critical element,
"Prepares and reviews correspondence for signature of supervisor or other officials." You were given a marginal rating in this element because the correspondence you prepared and reviewed during this period has been marginal. (You may also discuss deficiencies in other elements in this notice.)
I will continue to review your performance on a monthly basis. When your performance reaches the fully successful level in all critical elements and your summary rating is fully successful, your within-grade increase will be granted. To improve your performance in this area, I suggest you review the Government Printing Office Style Manual, and a Secretary's Handbook to brush up on grammar, punctuation, and spelling. Several U.S. Department of Agriculture courses are available to assist you in bringing your performance to a satisfactory level.
In addition, I will work with you in our weekly discussions to help you identify problem areas and suggest ways to correct them.
You may grieve this negative determination under the negotiated grievance procedure. You have a right to a personal representative at any step of the procedure. You will be allowed a reasonable amount of official time to review the material relied upon to support the negative determination.
(name) , Employee Relations Specialist, can advise you on any questions about your rights and the procedures to follow. He/She can be reached at (telephone number).
(Supervisor's name)
(Title)
Received (Employee)
Signature Date