**[Submission Requirements for Provisional Certification of Performance
Appraisal Systems]{.smallcaps}**

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.

[Note:]{.smallcaps} For certification purposes, *performance appraisal
system* means the policies, practices, and procedures an agency
establishes under 5 U.S.C. chapter 43 and subparts B and C of 5 CFR part
430, or other applicable legal authority, for planning, monitoring,
developing, evaluating, and rewarding employee performance. This
includes appraisal systems and appraisal programs for senior
professionals as defined at 5 CFR 430.203 and performance management
systems for senior executives as defined at 5 CFR 430.303. Senior
professionals may be covered by a program under their agency's umbrella
appraisal system approved by OPM or may be covered by a separate
appraisal system approved by OPM.

+---------------+----------+---------------------+--------------------+
| **REGULATORY  | **LEGAL  | **DOCUMENTS TO      | **AGENCY           |
| REQUIREMENT** | CI       | SUBMIT**            | DOCUMENTATION**    |
|               | TATION** |                     |                    |
|               |          | Where given a       | Please use this    |
|               | **(5     | choice of multiple  | column to indicate |
|               | CFR)**   | documents, please   | which document the |
|               |          | submit the          | agency is          |
|               |          | document(s) needed  | submitting to      |
|               |          | to meet the         | fulfill the        |
|               |          | regulatory          | regulatory         |
|               |          | requirement.        | requirement and    |
|               |          |                     | where the specific |
|               |          |                     | information can be |
|               |          |                     | found.             |
+===============+==========+=====================+====================+
| 1\. Written   | 43       | -   Letter to the   | > []{.mark}        |
| request for   | 0.405(b) |     Director of OPM |                    |
| provisional   |          |     from the head   |                    |
| certification |          |     of the agency   |                    |
|               |          |     or designee.    |                    |
|               |          |     The letter must |                    |
|               |          |     specify that    |                    |
|               |          |     the agency      |                    |
|               |          |     requests        |                    |
|               |          |     provisional     |                    |
|               |          |     certification.  |                    |
|               |          |                     |                    |
|               |          | > []{.mark}         |                    |
+---------------+----------+---------------------+--------------------+
| 2\. Full      | 430.4    | -   Performance     |                    |
| description   | 05(b)(1) |     appraisal       |                    |
| of the        |          |     system          |                    |
| appraisal     |          |     description     |                    |
| system(s)     |          |                     |                    |
+---------------+----------+---------------------+--------------------+
| 3\.           | 430.405( | -   Performance     |                    |
| O             | b)(1)(i) |     appraisal       |                    |
| rganizational |          |     system          |                    |
| and employee  |          |     description     |                    |
| coverage      |          |                     |                    |
| information   |          | -   Operating       |                    |
|               |          |     manual          |                    |
|               |          |                     |                    |
|               |          | -   Memoranda to    |                    |
|               |          |     employees       |                    |
+---------------+----------+---------------------+--------------------+
| 4\.           | 4        | -   Performance     |                    |
| Applicable    | 30.405(b |     appraisal       |                    |
| a             | )(1)(ii) |     system          |                    |
| dministrative |          |     description     |                    |
| instructions  |          |                     |                    |
| and           |          | -   Operating       |                    |
| implementing  |          |     manual          |                    |
| guidance      |          |                     |                    |
|               |          | -   Blank appraisal |                    |
| []{.mark}     |          |     form            |                    |
|               |          |                     |                    |
|               |          | -   Memoranda to    |                    |
|               |          |     employees       |                    |
|               |          |                     |                    |
|               |          | -   Written         |                    |
|               |          |     instructions    |                    |
|               |          |     for raters or   |                    |
|               |          |     reviewers       |                    |
+---------------+----------+---------------------+--------------------+
| 5\. Rating    | 43       | -   Performance     |                    |
| levels that   | 0.405(b) |     appraisal       |                    |
| differentiate | (1)(iii) |     system          |                    |
| senior        |          |     description     |                    |
| employee      |          |                     |                    |
| performance   |          | -   Senior employee |                    |
|               |          |     performance     |                    |
|               |          |     plans that show |                    |
|               |          |     performance     |                    |
|               |          |     level           |                    |
|               |          |     distinctions\*  |                    |
|               |          |                     |                    |
|               |          | -   The rating      |                    |
|               |          |     level pattern   |                    |
|               |          |     used for        |                    |
|               |          |     reporting data  |                    |
|               |          |     to the Central  |                    |
|               |          |     Personnel Data  |                    |
|               |          |     File ---        |                    |
|               |          |                     |                    |
|               |          |     -   for senior  |                    |
|               |          |         executives, |                    |
|               |          |         pattern F   |                    |
|               |          |         (Levels 1,  |                    |
|               |          |         2, 3, 5) or |                    |
|               |          |         pattern H   |                    |
|               |          |         (Levels 1,  |                    |
|               |          |         2, 3, 4, 5) |                    |
|               |          |                     |                    |
|               |          |     -   for senior  |                    |
|               |          |                     |                    |
|               |          |      professionals, |                    |
|               |          |         pattern B   |                    |
|               |          |         (Levels 1,  |                    |
|               |          |         3, 5),      |                    |
|               |          |         pattern E   |                    |
|               |          |         (Levels 1,  |                    |
|               |          |         3, 4, 5),   |                    |
|               |          |         pattern F   |                    |
|               |          |         (Levels 1,  |                    |
|               |          |         2, 3, 5),   |                    |
|               |          |         or pattern  |                    |
|               |          |         H (Levels   |                    |
|               |          |         1, 2, 3, 4, |                    |
|               |          |         5)          |                    |
+---------------+----------+---------------------+--------------------+
| 6\. Clearly   | 430.405( | -   Performance     |                    |
| defined       | b)(2)(i) |     appraisal       |                    |
| process for   |          |     system          |                    |
| reviewing the |          |     description     |                    |
| initial       |          |                     |                    |
| summary       |          | -   Operating       |                    |
| ratings and   |          |     manual          |                    |
| ratings of    |          |                     |                    |
| record of     |          | -   Memoranda or    |                    |
| senior        |          |     written         |                    |
| employees to  |          |     instructions    |                    |
| ensure        |          |     for raters,     |                    |
| ratings are   |          |     reviewers, or   |                    |
| not given     |          |     Performance     |                    |
| arbitrarily   |          |     Review Board    |                    |
| or on a       |          |     members         |                    |
| rotational    |          |                     |                    |
| basis         |          | -   Narrative       |                    |
|               |          |     attachment      |                    |
+---------------+----------+---------------------+--------------------+
| 7\. Clearly   | 430.     | -   Performance     |                    |
| defined       | 405(b)(2 |     appraisal       |                    |
| process for   | )(ii)(A) |     system          |                    |
| reviewing the |          |     description     |                    |
| expectations  |          |                     |                    |
| of the        |          | -   Operating       |                    |
| subordinates  |          |     manual          |                    |
| of            |          |                     |                    |
| supervisory   |          | -   Narrative       |                    |
| senior        |          |     attachment      |                    |
| employees to  |          |                     |                    |
| verify that   |          |                     |                    |
| supervisory   |          |                     |                    |
| senior        |          |                     |                    |
| employees     |          |                     |                    |
| clearly link  |          |                     |                    |
| subordinates' |          |                     |                    |
| performance   |          |                     |                    |
| expectations  |          |                     |                    |
| to            |          |                     |                    |
| o             |          |                     |                    |
| rganizational |          |                     |                    |
| goals         |          |                     |                    |
+---------------+----------+---------------------+--------------------+
| 8\. Clearly   | 430.     | -   Performance     |                    |
| defined       | 405(b)(2 |     appraisal       |                    |
| process for   | )(ii)(B) |     system          |                    |
| reviewing the |          |     description     |                    |
| expectations  |          |                     |                    |
| and ratings   |          | -   Operating       |                    |
| of the        |          |     manual          |                    |
| subordinates  |          |                     |                    |
| of            |          | -   Narrative       |                    |
| supervisory   |          |     attachment      |                    |
| senior        |          |                     |                    |
| employees to  |          |                     |                    |
| verify that   |          |                     |                    |
| supervisory   |          |                     |                    |
| senior        |          |                     |                    |
| employees     |          |                     |                    |
| make          |          |                     |                    |
| performance   |          |                     |                    |
| distinctions  |          |                     |                    |
| in the        |          |                     |                    |
| appraisal of  |          |                     |                    |
| their         |          |                     |                    |
| subordinates  |          |                     |                    |
| that reflect  |          |                     |                    |
| individual    |          |                     |                    |
| and           |          |                     |                    |
| o             |          |                     |                    |
| rganizational |          |                     |                    |
| performance   |          |                     |                    |
+---------------+----------+---------------------+--------------------+
| 9\. The       | 430.405( | 1\) Alignment       |                    |
| appraisal     | b)(3)(i) |                     |                    |
| system(s)     |          | -   Agency's        |                    |
| meets the     | 4        |     strategic plan, |                    |
| certification | 30.404(a |     annual          |                    |
| criteria set  | )(1)-(4) |     performance     |                    |
| forth in 5    |          |     plan, or        |                    |
| CFR           |          |     applicable      |                    |
| 430.          |          |     strategic       |                    |
| 404(a)(1)-(4) |          |     planning        |                    |
|               |          |     document(s) to  |                    |
|               |          |     establish       |                    |
|               |          |     alignment with  |                    |
|               |          |     employee        |                    |
|               |          |     performance     |                    |
|               |          |     plans           |                    |
|               |          |                     |                    |
|               |          | -   Performance     |                    |
|               |          |     appraisal       |                    |
|               |          |     system          |                    |
|               |          |     description     |                    |
|               |          |     that explains   |                    |
|               |          |     how the agency  |                    |
|               |          |     links senior    |                    |
|               |          |     employee        |                    |
|               |          |     performance     |                    |
|               |          |     plans to        |                    |
|               |          |     strategic       |                    |
|               |          |     planning        |                    |
|               |          |     initiatives     |                    |
|               |          |                     |                    |
|               |          | -   Senior employee |                    |
|               |          |     performance     |                    |
|               |          |     plans that show |                    |
|               |          |     expectations    |                    |
|               |          |     are linked to   |                    |
|               |          |     strategic       |                    |
|               |          |     planning        |                    |
|               |          |     initiatives\*   |                    |
|               |          |                     |                    |
|               |          | -   Narrative       |                    |
|               |          |     attachment that |                    |
|               |          |     describes how   |                    |
|               |          |     the agency's    |                    |
|               |          |     senior employee |                    |
|               |          |     performance     |                    |
|               |          |     plans link to   |                    |
|               |          |     the agency's    |                    |
|               |          |     mission and     |                    |
|               |          |     goals           |                    |
|               |          |                     |                    |
|               |          | 2\) Consultation    |                    |
|               |          |                     |                    |
|               |          | -   Performance     |                    |
|               |          |     appraisal       |                    |
|               |          |     system          |                    |
|               |          |     description     |                    |
|               |          |     that explains   |                    |
|               |          |     how employees   |                    |
|               |          |     are involved in |                    |
|               |          |     developing      |                    |
|               |          |     performance     |                    |
|               |          |     plans and how   |                    |
|               |          |     performance     |                    |
|               |          |     plans are       |                    |
|               |          |     communicated to |                    |
|               |          |     senior          |                    |
|               |          |     employees at    |                    |
|               |          |     the beginning   |                    |
|               |          |     of the          |                    |
|               |          |     appraisal       |                    |
|               |          |     period          |                    |
|               |          |                     |                    |
|               |          | -   Senior employee |                    |
|               |          |     performance     |                    |
|               |          |     plans that show |                    |
|               |          |     employees were  |                    |
|               |          |     provided their  |                    |
|               |          |     plans at the    |                    |
|               |          |     beginning of    |                    |
|               |          |     the appraisal   |                    |
|               |          |     period and show |                    |
|               |          |     that employees  |                    |
|               |          |     were involved   |                    |
|               |          |     in developing   |                    |
|               |          |     the performance |                    |
|               |          |     plans\*         |                    |
|               |          |                     |                    |
|               |          | ```{=html}          |                    |
|               |          | <!-- -->            |                    |
|               |          | ```                 |                    |
|               |          | -   Narrative       |                    |
|               |          |     attachment that |                    |
|               |          |     describes how   |                    |
|               |          |     the agency      |                    |
|               |          |     involves its    |                    |
|               |          |     employees,      |                    |
|               |          |     individually or |                    |
|               |          |     in the          |                    |
|               |          |     aggregate, in   |                    |
|               |          |     developing      |                    |
|               |          |     employee        |                    |
|               |          |     performance     |                    |
|               |          |     plans           |                    |
|               |          |                     |                    |
|               |          | 3\) Results         |                    |
|               |          |                     |                    |
|               |          | -   Performance     |                    |
|               |          |     appraisal       |                    |
|               |          |     system          |                    |
|               |          |     description     |                    |
|               |          |     that explains   |                    |
|               |          |     how performance |                    |
|               |          |     expectations    |                    |
|               |          |     are written to  |                    |
|               |          |     reflect         |                    |
|               |          |     organizational  |                    |
|               |          |     and individual  |                    |
|               |          |     results and are |                    |
|               |          |     observable,     |                    |
|               |          |     measurable,     |                    |
|               |          |     and/or          |                    |
|               |          |     demonstrable    |                    |
|               |          |                     |                    |
|               |          | -   Senior employee |                    |
|               |          |     performance     |                    |
|               |          |     plans that show |                    |
|               |          |     expectations    |                    |
|               |          |     include         |                    |
|               |          |     organizational  |                    |
|               |          |     and individual  |                    |
|               |          |     results and     |                    |
|               |          |     req             |                    |
|               |          | uirements/standards |                    |
|               |          |     that are        |                    |
|               |          |     observable,     |                    |
|               |          |     measurable,     |                    |
|               |          |     and/or          |                    |
|               |          |     demonstrable\*  |                    |
|               |          |                     |                    |
|               |          | ```{=html}          |                    |
|               |          | <!-- -->            |                    |
|               |          | ```                 |                    |
|               |          | -   Narrative       |                    |
|               |          |     attachment that |                    |
|               |          |     describes how   |                    |
|               |          |     the agency      |                    |
|               |          |     ensures         |                    |
|               |          |     expectations    |                    |
|               |          |     include         |                    |
|               |          |     organizational  |                    |
|               |          |     and individual  |                    |
|               |          |     results and are |                    |
|               |          |     observable,     |                    |
|               |          |     measurable,     |                    |
|               |          |     and/or          |                    |
|               |          |     demonstrable    |                    |
|               |          |                     |                    |
|               |          | 4\) Balance         |                    |
|               |          |                     |                    |
|               |          | -   Performance     |                    |
|               |          |     appraisal       |                    |
|               |          |     system          |                    |
|               |          |     description     |                    |
|               |          |     that explains   |                    |
|               |          |     how performance |                    |
|               |          |     expectations    |                    |
|               |          |     include         |                    |
|               |          |     balanced        |                    |
|               |          |     measures        |                    |
|               |          |                     |                    |
|               |          | ```{=html}          |                    |
|               |          | <!-- -->            |                    |
|               |          | ```                 |                    |
|               |          | -   Senior employee |                    |
|               |          |     performance     |                    |
|               |          |     plans that show |                    |
|               |          |     appropriate     |                    |
|               |          |     measures such   |                    |
|               |          |     as employee     |                    |
|               |          |     and/or          |                    |
|               |          |     c               |                    |
|               |          | ustomer/stakeholder |                    |
|               |          |     feedback;       |                    |
|               |          |     quality,        |                    |
|               |          |     quantity,       |                    |
|               |          |     timeliness, and |                    |
|               |          |     cost            |                    |
|               |          |     effectiveness;  |                    |
|               |          |                     |                    |
|               |          | > technical,        |                    |
|               |          | > leadership,       |                    |
|               |          | > and/or managerial |                    |
|               |          | > competencies\*    |                    |
|               |          |                     |                    |
|               |          | -   Narrative       |                    |
|               |          |     attachment that |                    |
|               |          |     describes how   |                    |
|               |          |     the agency      |                    |
|               |          |     identifies      |                    |
|               |          |     critical        |                    |
|               |          |     competencies    |                    |
|               |          |     and behaviors   |                    |
|               |          |     for the         |                    |
|               |          |     appraisal       |                    |
|               |          |     process and how |                    |
|               |          |     it measures or  |                    |
|               |          |     observes them   |                    |
|               |          |                     |                    |
|               |          | -   Narrative       |                    |
|               |          |     attachment that |                    |
|               |          |     describes how   |                    |
|               |          |     the agency      |                    |
|               |          |     incorporates    |                    |
|               |          |     customer        |                    |
|               |          |     satisfaction    |                    |
|               |          |     and employee    |                    |
|               |          |     perspectives    |                    |
|               |          |     into its senior |                    |
|               |          |     employee        |                    |
|               |          |     performance     |                    |
|               |          |     plans           |                    |
+---------------+----------+---------------------+--------------------+

\*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.