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The law intends critical elements to be used to establish individual accountability. This restriction is clearest for non-supervisory employees who may be serving as team members. Consequently, critical elements generally are not appropriate for identifying and measuring team performance, which by its definition involves shared accountability.
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.
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In designing their award programs, agencies have a responsibility to look beyond the award regulations themselves and make sure that the specific reward and incentive programs that are being proposed do not conflict with other laws or regulations. Examples of other rules that can be directly related to incentive/reward schemes are procurement, travel, Fair Labor Standards Act, and tax withholding. These compliance issues surface most often when we are asked to review an agency's proposal for an innovative award scheme.
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No, there is no comparison across competitive areas to determine if a mix of patterns exists. Only if there is a mix of patterns within a single competitive area can an agency vary credit.
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Yes. OPM encourages agencies to hold supervisors accountable for fulfilling their performance management responsibilities. Agencies often establish elements and standards in the raters' performance plans to hold them accountable for the performance management of their subordinates.
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Yes. OPM must approve any cash award over $10,000 up to $25,000. Awards over $25,000 must be submitted through OPM for the President's approval. The Department of Defense and the Internal Revenue Service (IRS) may approve awards up to $25,000. (
SES performance awards and
Presidential rank awards for SES and SL/ST employees have their own requirements).
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No. The level designators (Level 1, Level 2, Level 3, Level 4, Level 5) described in Governmentwide regulations address summary levels only. An agency appraisal program can be designed to appraise elements using a mix of rating levels. For example, critical elements might be appraised at five levels and non-critical elements appraised as pass/fail. A methodology for deriving a summary rating must be in place, however. Agencies have flexibility to determine how their elements are appraised and their particular program design choices that agencies and their subcomponents make should reflect their own situations and needs.
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Governmentwide regulations specify three types of performance elements:
- critical elements
- non-critical elements
- additional performance elements
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No. Regulations do not require that the appraisal period be ended to change appraisal programs. However, agencies need to remember that the regulations permit only a single rating of record in a given appraisal period.
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Yes, under current law, performance ratings must be a factor in the reduction in force process. Only under a demonstration project that waives pertinent law or regulation could an agency drop the use of performance in a reduction in force.
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Performance at the individual level means the accomplishment of outputs and work processes for which the employee can be held individually accountable. Because failure of a critical element can result in an employee's reduction in grade or removal, critical elements would measure those outputs/outcomes and processes over which the employee is expected or intended to have control and exercise authority.
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