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CPM 2004-13 - Attachment 1

Download this document to use when
submitting Full Certification request

SUBMISSION REQUIREMENTS FOR FULL CERTIFICATION OF PERFORMANCE APPRAISAL SYSTEMS

The regulations allowing agencies to implement a pay-for-performance system for members of the Senior Executive Service (SES) and apply a higher aggregate compensation limitation to both senior executives and senior professionals (i.e., employees in senior-level (SL) and scientific or professional (ST) positions) implement significant features of a Federal compensation system that gives the highest pay to agencies' highest performing employees. In order to access the flexibilities offered by these regulations, agencies must first obtain certification of their applicable performance appraisal system(s) under subpart D of 5 CFR part 430. To obtain certification, agencies must demonstrate that their appraisal system(s) makes meaningful distinctions based on relative performance.

This document provides guidance to Federal agencies interested in applying for performance appraisal system certification. The following table lists the documents an agency must submit to fulfill the regulatory requirements for full certification.

Please use the fourth (blank) column in the table below to indicate which document(s) the agency is submitting to fulfill the regulatory requirement shown in the first two columns. In addition, please use the fourth column to indicate the location in the cited document where the required information can be found.

Where multiple documents are listed, please submit the document(s) needed to meet the regulatory requirement. For example, if you have two documents that can demonstrate how your agency uses rating levels to differentiate senior employee performance, please select the document that best illustrates this differentiation.

For agencies subject to 5 U.S.C. chapter 43, the performance appraisal system must be approved by OPM. If your agency does not have an approved system, or if your agency has revised its system, please submit a request for system approval concurrently with your certification request.

If you have questions on certification or which documents to submit, please contact your Human Capital Officer.

NOTE: For certification purposes, performance appraisal system means the policies, practices, and procedures an agency establishes under 5 U.S.C. chapter 43 and subparts B and C of 5 CFR part 430, or other applicable legal authority, for planning, monitoring, developing, evaluating, and rewarding employee performance. This includes appraisal systems and appraisal programs for senior professionals as defined at 5 CFR 430.203 and performance management systems for senior executives as defined at 5 CFR 430.303. Senior professionals may be covered by a program under their agency's umbrella appraisal system approved by OPM or may be covered by a separate appraisal system approved by OPM.

REGULATORY REQUIREMENT	LEGAL CITATION(5 CFR)	DOCUMENTS TO SUBMIT Where given a choice of multiple documents, please submit the document(s) needed to meet the regulatory requirement.
1. Written request for full certification	430.405(b)	Letter to the Director of OPM from the head of the agency or designee. The letter must specify that the agency requests full certification.
2. Full description of the appraisal system(s)	430.405(b)(1)	Performance appraisal system description
3. Organizational and employee coverage information	430.405(b)(1)(i)	Performance appraisal system description Operating manual Memoranda to employees
4. Applicable administrative instructions and implementing guidance	430.405(b)(1)(ii)	Performance appraisal system description Operating manual Blank appraisal form Memoranda to employees Written instructions for raters or reviewers
5. Rating levels that differentiate senior employee performance	430.405(b)(1)(iii)	Performance appraisal system description Senior employee performance plans that show performance level distinctions* The rating level pattern used for reporting data to the Central Personnel Data File - for senior executives, pattern F (Levels 1, 2, 3, 5) or pattern H (Levels 1, 2, 3, 4, 5) for senior professionals, pattern B (Levels 1, 3, 5), pattern E (Levels 1, 3, 4, 5), pattern F (Levels 1, 2, 3, 5), or pattern H (Levels 1, 2, 3, 4, 5)
6. Clearly defined process for reviewing the initial summary ratings and ratings of record of senior employees to ensure ratings are not given arbitrarily or on a rotational basis	430.405(b)(2)(i)	Performance appraisal system description Operating manual Memoranda or written instructions for raters, reviewers, or Performance Review Board members Narrative attachment
7. Clearly defined process for reviewing the expectations of the subordinates of supervisory senior employees to verify that supervisory senior employees clearly link subordinates' performance expectations to organizational goals	430.405(b)(2)(ii)(A)	Performance appraisal system description Operating manual Narrative attachment
8. Clearly defined process for reviewing the expectations and ratings of the subordinates of supervisory senior employees to verify that supervisory senior employees make performance distinctions in the appraisal of their subordinates that reflect individual and organizational performance	430.405(b)(2)(ii)(B)	Performance appraisal system description Operating manual Narrative attachment
9. The appraisal system(s) meets the certification criteria set forth in 5 CFR 430.404(a)(1)-(9)	430.405(b)(3)(ii) 430.404(a)(1)-(9)	Alignment Agency's strategic plan, annual performance plan, or applicable strategic planning document(s) to establish alignment with employee performance plans Performance appraisal system description that explains how the agency links senior employee performance plans to strategic planning initiatives Senior employee performance plans that show expectations are linked to strategic planning initiatives* Narrative attachment that describes how the agency's senior employee performance plans link to the agency's mission and goals Consultation Performance appraisal system description that explains how employees are involved in developing performance plans and how performance plans are communicated to senior employees at the beginning of the appraisal period Senior employee performance plans that show employees were provided their plans at the beginning of the appraisal period and show that employees were involved in developing the performance plans* Narrative attachment that describes how the agency involves its employees, individually or in the aggregate, in developing employee performance plans Results Performance appraisal system description that explains how performance expectations are written to reflect organizational and individual results and are observable, measurable, and/or demonstrable Senior employee performance plans that show expectations include organizational and individual results and requirements/standards that are observable, measurable, and/or demonstrable* Narrative attachment that describes how the agency ensures expectations include organizational and individual results and are observable, measurable, and/or demonstrable Balance Performance appraisal system description that explains how performance expectations include balanced measures Senior employee performance plans that show appropriate measures such as employee and/or customer/stakeholder feedback; quality, quantity, timeliness, and cost effectiveness; technical, leadership, and/or managerial competencies* Narrative attachment that describes how the agency identifies critical competencies and behaviors for the appraisal process and how it measures or observes them Narrative attachment that describes how the agency incorporates customer satisfaction and employee perspectives into its senior employee performance plans Assessments and Guidelines Agency head or designee's guidance to rating and reviewing officials and Performance Review Board members Oversight Narrative attachment that describes how the senior employee ratings and awards take into account, as appropriate, the assessment of the agency's performance Documentation the agency used to assess organizational performance Accountability Senior employee performance plans that show how senior employees are accountable for rigorous performance management and for aligning their subordinate employees' performance plans to organizational goals* Performance appraisal system description that explains how senior employees are accountable for rigorous performance management and for aligning their subordinate employees' performance plans to organizational goals Performance Differentiation Performance appraisal system description that provides for an outstanding summary level Same documents listed under regulatory requirement #10, below Pay Differentiation Awards program description Narrative attachment that describes how the agency determines pay adjustments Same documents listed under regulatory requirement #11, below
10. Data on senior employees' ratings	430.405(b)(4)	Ratings data for the two appraisal periods preceding the certification request for all senior employees covered by the appraisal system(s) to be certified- Distribution of ratings and Ratings for each covered employee Note: Contact your Human Capital Officer for an electronic template to submit required data.
11. Data on senior employees' pay and cash awards	430.405(b)(4)	Pay and awards data for the two fiscal years preceding the certification request for all senior employees covered by the appraisal system(s) to be certified, as applicable - Levels of pay for new appointees, Performance-based pay adjustments, Salaries before and after pay adjustments, and Cash awards Note: Contact your Human Capital Officer for an electronic template to submit required data.

*For senior employee performance plans, agencies must provide either a 10 percent sample of covered employee performance plans or a total of 20 plans, whichever is greater. For agencies with fewer than 20 covered employees, all employee performance plans must be submitted.

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