Frequently Asked Questions Performance Management

If an employee has fewer than three ratings of record during the last four years, the actual rating(s) of record available would serve as the sole basis of the employee's credit (no assumed ratings would be used). Consequently, if an employee has received only two actual ratings of record during this period, the value assigned to each rating would be added together and divided by two to determine the amount of additional retention service credit. If an employee has only one actual rating of record, the value assigned to that rating would be used. If, however, the employee has no ratings of record during the last four years, the modal rating for the appraisal program that covers the employee's position of record at the time of the reduction in force is used to grant performance credit.

No. The regulations specifically restrict the delay of a within-grade determination to two conditions. Permitting the delay of a within-grade determination for employees completing a PIP would give an unfair advantage to an employee whose performance has been determined to be unacceptable (a condition upon which the PIP is based) over employees whose most recent rating of record is Level 2 (marginal, minimally successful, etc.) and who are not eligible for a within-grade increase. There is no requirement to give an employee a rating of record before beginning a PIP. If a within-grade increase determination is due during an employee's PIP, the agency needs to make sure it reviews the employee's most recent rating of record and determines whether a new rating of record is needed to support the within-grade decision. If the last rating of record does not support a within-grade denial, a new rating of record must be given for that purpose. If the agency chooses to use the last rating of record of Level 3 (Fully Successful or equivalent) or better and grant the within-grade, they need to realize they are certifying the employee as performing at that level and jeopardizing any future performance-based action that might have been based on performance during that time period.

No. Prizes cannot be granted under law and regulation governing awards. The awards law does not support including the element of chance (e.g., as it occurs with a raffle drawing) in an employee awards program.

Yes, as long as employees with higher ratings of record receive higher dollar amounts than those with lower ratings of record (e.g., an award program must grant GS-9's who receive an outstanding rating a higher dollar amount than GS-9's who receive a fully successful rating). Agencies may use their discretion whether to pay rating-based awards as a lump-sum dollar amount or a percentage of base pay.

Yes, but only to the extent that the program covers awards for suggestions, inventions, or scientific achievements.

No.  Higher-level review of ratings of record above Level 1 is not a Governmentwide requirement.  However, agencies may decide that higher-level review is a good practice and provides a measure of fairness.

An agency program must specify the length of its minimum period and that minimum must fall within any limits established by the agency appraisal system.  When an agency decides to use the minimum period as the length of the opportunity period, the minimum period is one of the program features that may be subject to third-party review.  Agencies are advised to be careful in determining the time limits to be used and avoid setting minimum periods that might be judged unreasonably short.

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.