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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 provisional 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.
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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. |
AGENCY DOCUMENTATION Please use this column to indicate which document the agency is submitting to fulfill the regulatory requirement and where the specific information can be found. |
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1. Written request for provisional certification | 430.405(b) |
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2. Full description of the appraisal system(s) | 430.405(b)(1) |
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3. Organizational and employee coverage information | 430.405(b)(1)(i) |
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4. Applicable administrative instructions and implementing guidance | 430.405(b)(1)(ii) |
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5. Rating levels that differentiate senior employee performance | 430.405(b)(1)(iii) |
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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) |
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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) |
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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) |
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9. The appraisal system(s) meets the certification criteria set forth in 5 CFR 430.404(a)(1)-(4) | 430.405(b)(3)(i) |
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*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.