Performance Management Performance Management FAQs

An Unacceptable rating of record bars granting step increases, may result in a performance-based adverse action, and removes retention rights in a reduction in force.  For these reasons, there must be an extra measure of assurance that a Level 1 rating of record has been properly assigned.  The requirement for higher-level review of a rating of record that could have significant consequences for the employee is a prudent measure of protection for employees.

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

At a minimum, these four features must have a single definition for each program:

• employee coverage
• appraisal period length
• pattern of summary levels for ratings of record
• summary level derivation method

If multiple definitions are intended for any one of these features, separate programs must be established.

Yes. Cash and time-off awards given to an individual or to a group must be reported to the EHRI. When submitting dynamics files, agencies must submit the award gross amount to EHRI for each record affected.

Yes. Each competitive area must be looked at individually to analyze what the situation is regarding the ratings of record being credited.

The regulations specify that appraisal periods shall generally be designated so that employees are provided a rating of record annually.  Agencies may establish different appraisal cycles (starting and ending dates) for different employees under the same appraisal period.

Yes. Under statute and the implementing regulations, such awards are subject to the OPM and Presidential approval, respectively. Note: The Department of Defense and the Internal Revenue Service only have to seek approval from OPM to grant awards over $25,000.

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.

Performance management regulations specifically address veterans seeking medical treatment. Agencies may not lower the rating of record or performance rating of a disabled veteran seeking medical treatment.

Yes.  Statute requires that employees be evaluated against their performance standards.

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.

Once an agency determines how it will assign the amounts of additional service credit based on performance, everyone who has ratings of record with the same summary level within the same pattern in the same competitive area will get the same amount of additional service credit. This is a uniform and consistent application of service credit for everyone who meets the specified criteria (i.e., level, pattern, and competitive area).

No. The only basis for granting additional service credit for reduction in force is a rating of record.

As a general principle, when an agency has discretion over a condition of employment of bargaining unit employees, and that discretion is not reserved to management by law, there is a duty to bargain on how the agency will exercise that discretion. Even when the decision is reserved to management, there is a duty to give notice to the union and, upon request, bargain on the impact and implementation of the otherwise protected decision.

No. The number of summary levels is an exercise of management rights and not subject to collective bargaining. However, where the agency system permits some flexibility in deciding about a program's pattern of summary levels, employee involvement could play an important role in program acceptance.

Cash surrogate is a special form of cash award.  Recipients of cash surrogates must have the same freedom and control over how that award may be used as they would have over currency or a U.S. Treasury check. Cash surrogates should not be confused with merchant gift certificates. Cash surrogates must meet the following criteria: meet all the limitations and requirements that apply to cash awards must be convertible easily and immediately to cash not restricted as to where they can be redeemed subject to all relevant procurement regulations when purchased from a vendor or financial institution

Yes. Even if an agency uses a single summary level pattern, if there is any employee with one or more ratings of record being credited in the reduction in force that were given under a different summary level pattern, the agency has a mix of patterns.

Agencies must look at the nature of the work done by various organizations and determine what length of time is appropriate as the basis for measuring employee performance.  Agencies are encouraged to designate a single appraisal period (i.e., 1 year) as the standard appraisal period throughout the agency, with the built-in flexibility to accommodate individual or mass transitions between programs.  Otherwise, an agency system must define any limits (maximum length, minimum length, or acceptable range) within which it will permit appraisal programs to select their appraisal periods.

Yes, so long as the employees the agency excludes are covered by another performance appraisal system (unless the employees are in the excepted service and the agency has obtained, from OPM, a separate approval for their exclusion).