Federal employee performance management regulations include flexibility to design appraisal and awards programs that support the culture, type of work, and goals of team-structured organizations, as well as those structured traditionally. A few of the most frequently asked questions about teams in regard to performance appraisal and awards include:
Note: In these questions and answers, the following terms are used:
Individual Contribution to the Team: An employee's behaviors, work products or results that contribute to successful team performance and that measures the performance of a single employee
Team Performance: The processes, results or output of a group of people for which the entire group can be held responsible; performance is measured at an aggregate level
Can an agency appraise employees entirely and exclusively on team performance?
Can an agency use critical elements that address team performance?
Can individual critical elements be written to appraise the individual's contribution to the team?
A. Usually no. The regulations require each employee have at least one critical element based on individual performance. This requirement ensures an appraisal program establishes individual accountability, as the performance appraisal law intended, by providing for the demotion or removal of an employee on the basis of unacceptable performance. However, it is possible to develop a critical element and standard that holds a supervisor, manager or team leader responsible for a team's performance (taking into account their level of leadership responsibilities for the team).
Q. When deriving a rating of record above "Unacceptable," can an agency assign greater weight to non-critical elements that describe team performance in order to emphasize their importance?
A. Yes. An agency can design procedures for deriving a rating of record that assign greater weight to non-critical elements (which may be used to measure team performance and may affect the rating of record) than to critical elements. If desired, in summarizing overall performance at or above the 'Fully Successful' level, agencies can make distinctions on the basis of team performance alone.
A. Usually, no, not as team performance is defined here. Critical elements are the only basis for determining that an employee's performance is unacceptable. The law intends they be used to establish individual accountability. Consequently, critical elements generally are not appropriate for identifying and measuring team performance, which by its definition involves shared accountability.
This restriction is clearest for rank-and-file employees who may be serving as team members. A supervisor or manager can and should be held accountable for seeing that results measured at the group or team level are achieved. Critical elements assessing group performance may be appropriate to include in the performance plan of a supervisor, manager or team leader who can reasonably be expected to command the resources and authority necessary to achieve the results (i.e., be held individually accountable).
However, agencies can use other ways to factor team performance into ratings of record or other performance-related decisions, such as granting awards. One approach to bringing team performance into the process of deriving a rating of record, and certainly to the process of distributing recognition and rewards, is to establish team performance goals within the team members' performance plans as either non-critical or additional performance elements.
Q. Can individual critical elements be written to appraise the individual's contribution to the team?
A. Yes. The individual critical element required by the regulations must describe performance that is reasonably measured and controlled at the individual employee's level. Such performance includes individual contributions to the team, but does not include team performance. This means agencies have the option of making individually oriented decisions about an employee's job retention, as well as reduction-in-force retention standing, eligibility for within-grade increases, and eligibility for individually-based awards exclusively on the basis of the individual's contributions to the team, rather than team performance.
Q. Why doesn't the Office of Personnel Management permit ratings of record based entirely on team performance?
A. The principal reason is that it would violate the intent of the appraisal statute. Allowing a non-performer to "ride" the efforts of other team members and accrue all the entitlements that "Fully Successful" performance conveys would violate the fundamental principle of individual accountability on which the statute rests.
Secondly, a fundamental principle of compensation policy and practice is that adjustments to basic pay operate at an individual level. Within the Federal compensation system, periodic within-grade pay increases are granted on the basis that the employee, not the employee's team, is performing at an acceptable level of competence as reflected in a rating of record.
Finally, no Federal system can be viewed as credibly managing performance in the eyes of Congress or the American public without making it possible to identify and deal with poor performers.
As noted in answers to other questions in this document, however, summary levels (or other performance distinctions) above "Unacceptable" can be based largely on team performance. Alternatively, a determination that performance is "Fully Successful" can be based solely on an individual's contribution to the team.
Q. What options does an agency have for emphasizing the importance of teams to the organization when it does not necessarily want to base appraisal decisions on team performance?
A. One option is to establish an individual's contributions to the team as critical or non-critical elements in employee performance plans and use them in deriving the rating of record or as awards eligibility criteria. Another option is to establish team goals as additional performance elements in the employees' performance plans and use them as the basis for team awards.
Q. How else might an agency emphasize the importance of team performance, without necessarily using critical or non-critical elements?
A. The importance of team performance can be emphasized through the creation of appropriate awards. Where goals are reasonably stable, measurable and achievable, agencies may wish to establish incentive awards that are granted on the basis of achieving team performance objectives or sharing savings from gains in team efficiency and productivity among team members.
This page can be found on the web at the following url: http://www.opm.gov/perform/faqs/team.asp