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Reporting SES Perfomance Ratings and Bonuses for FY 2002 Rating Periods

Friday, September 27, 2002
MSG-068a
MEMORANDUM FOR: 
Human Resources Directors
From: 
K. Joyce Edwards, Director, OERM
Subject: 
Reporting SES Perfomance Ratings and Bonuses for FY 2002 Rating Periods

Since the beginning of the Senior Executive Service (SES), OPM has collected information on SES members' performance ratings and awards. We are frequently asked for data by a wide range of stakeholders, including the White House, Office of Management and Budget (OMB), Congress, General Accounting Office (GAO), public administration organizations, and others. Your assistance and cooperation in reporting last year's SES performance ratings and bonus information was greatly appreciated. For fiscal year 2002, SES performance ratings and bonuses will be particularly important as a key indicator of the Administration's efforts to promote a Government that is results-oriented, citizen-centered, and market-based. Therefore, it is essential that federal agencies provide complete, accurate, and current data on SES ratings and bonuses, which consolidates the program information for their subordinate components.

Attached are the forms necessary for reporting ratings and awards for SES rating periods which end in fiscal year 2002. Also attached are detailed instructions on how to complete these forms. Please note that these reports must be completed by the department/agency SES contact; we cannot accept reports directly from component organizations. This year we are asking for additional data concerning Inspector General ratings and awards, and the actual percentage of aggregate base salary used to fund this year's bonus pool. We are also requesting that departments/agencies provide aggregate data for each SES rating pattern permitted under their SES performance management system (e.g. 3-level, 4-level and/or 5-level).

You should submit these reports within 14 days after final award determinations are made. If your department/agency paid no awards, you should submit the reports within 14 days after final performance ratings are assigned. If rating and/or award decisions have already been made, you should submit the reports within 14 days of receipt of this memorandum. Please send your report(s) to D. Everett in the Office of Executive Resources Management (OERM) at:

    Office of Personnel Management
    Office of Executive Resources Management, Room 6484
    1900 E Street, NW
    Washington, DC 20415-5100

You may also FAX your report to her at (202) 606-2126.

If you have any questions concerning this year's SES performance ratings and awards or these reporting requirements, please contact Ms. Everett at (202) 606-1050 or e-mail at dxeveret@opm.gov.

Attachments: as stated

cc: SES Contacts

INSTRUCTIONS FOR COMPLETING FY 2002 REPORT ON
SES PERFORMANCE RATINGS AND AWARDS

General Instructions

The SES Performance Ratings and Awards Distribution Report is a two-part report that each Department/Agency provides to OPM after the end of their annual SES performance appraisal cycle. The Department/Agency should submit the report to the Office of Executive Resources Management (OERM) within 14 days after the department/agency head (or designee) makes final award/bonus determinations or, if no awards/bonuses are paid, within 14 days after final performance ratings are assigned. Please note these reports are completed by the Department/Agency SES contact; we cannot accept reports directly from component organizations.

Executives covered by this report:

-- For performance awards, SES career appointees and Presidential appointees who are former career appointees and who retained eligibility for performance awards.

-- For performance ratings, SES career, noncareer, and limited appointees and Presidential appointees who are former career appointees and who retained eligibility for performance awards.

If a Department/Agency operates more than one SES performance program plan (e.g. different rating cycles, different rating patterns, etc.) it should submit a separate report for each plan. For example, if one component uses a July 1 to June 30 cycle and another uses an October 1 to September 30 cycle, the Department/Agency should submit a separate report for each separate cycle. Similarly, if some components use a 3-level rating pattern and others use a 5-level rating pattern, the Department/Agency should submit reports for each separate rating pattern. Use a separate form for each SES performance program plan. Please do not combine the results from different program plans on a single form, except when providing aggregate data (see below).

Departments/Agencies should also aggregate (i.e. roll-up) rating and award/bonus information for each SES rating pattern permitted under their Department/Agency SES performance management system (e.g. 3-level, 4-level and/or 5-level). For instance, if a department/agency operates multiple SES performance program plans using 3-level, 4-level and 5-level rating patterns, it should provide reports on each plan AND provide an aggregate of the 3-level, 4-level and 5-level plans at the Department/Agency-level.

Finally, this year we are requesting that Departments/Agencies provide separate information concerning the number of SES ratings and awards issued to their Inspector General (IG) offices. Although, we recognize these subcomponents are generally included within the reports of your other SES performance program plans, we require separate IG information to address questions concerning the distribution of SES ratings and awards across the Federal government.

Please complete (1) one form for each SES performance program plan; (2) one form to aggregate information for each rating pattern permitted by your Department's/Agency's SES performance management system (e.g. 3-level, 4-level and/or 5-level); and (3) one form for ratings and awards/bonuses issued to your IG offices.

PART 1 - STATISTICAL SUMMARY

The first part of the report is a statistical summary of SES performance ratings and awards. The report forms for this summary are attached to these instructions. If your Department's/Agency's award pool is based on a percentage of the aggregate base pay* for career SES appointees, you should use OPM Form 1558. If your Department's/Agency's award pool is based on 20 percent of the average annual rates of base pay* for career SES appointees, you should use OPM Form 1558A. (Please note that the 20% method will produce a larger pool only if your organization has but one career SES member.)

* This is basic pay only; it does not include locality pay.

The summary report includes the following information:

-- Appraisal period begin and end dates (month, day, and year) and date (month and year) awards are paid.

-- Total number of SES career appointees at each pay level and the aggregate base pay.**

-- Size of the award pool and the percentage of aggregate base pay on which it was calculated.**

-- Total dollar amount of award payments and the percentage of aggregate base pay actually used.**

-- Number of awardees at each percentage level of base pay.**

-- Total number of awardees.**

-- Total number of SES career, noncareer, and limited appointees at the end of the rating period

-- Highest possible rating under the SES performance appraisal plan.

-- Total number of SES career, noncareer, and limited appointees rated at each performance rating level.

** Leave blank if no awards are paid.

PART 2 - SUPPLEMENTARY INFORMATION

The second part of the report is supplementary information for each executive who received a less than fully successful performance rating (i.e., minimally satisfactory or unsatisfactory). The Supplementary Information Form is attached to these instructions. The following information is requested.

-- Name and social security number of the executive.

-- The performance rating the executive received.

-- The date of final performance rating.

-- Whether there was a pay decrease as a result of the rating.

-- Any action taken as a result of the rating and the date of that action--for example, reassignment to another SES position, removal from the SES and placement in a GS-15 position, optional retirement, discontinued service retirement, resignation, etc. If the individual was placed in a position outside the SES, indicate whether this was for:

  • one unsatisfactory rating,
  • two unsatisfactory ratings in 5 years, or
  • two less than fully successful ratings in 3 years.

SES PERFORMANCE RATINGS AND AWARDS DISTRIBUTION FY 2002

(Based on Percentage of Aggregate Career SES Base Pay)

1. Department/Agency 2. Appraisal Period (mm/dd/yy)
From To
3. Awards Paid or to be Paid
(Month and Year)
4. Aggregate career SES base pay as of the end of the fiscal year preceding payment, i.e., September 30, 19 .
PAY RATE NO. OF CAREER APPOINTEES BASE PAY TOTAL BASE PAY
1
2
3
4
5
6
Presidential Appointee
AGGREGATE
5. Award Pool =
.10 x $ (aggregate base pay) and $
6. Total Award Payments =
._____% x $ (aggregate base pay) and $
7. NUMBER OF AWARDEES AT EACH PERCENTAGE LEVEL OF BASE PAY
PERCENTAGE LEVEL NUMBER OF AWARDEES
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
TOTAL
8. TOTAL AWARDS (from Item 7) = or % total number career appointees as of the end of the appraisal period as shown in Item 2.
9. TOTAL NUMBER OF SES APPOINTEES AT END OF RATING PERIOD Career Noncareer Limited
10. NUMBER OF SES PERFORMANCE RATINGS
RATING LEVEL Put an "X" at the highest possible rating NUMBER RATED
Career Noncareer Limited
1 (Unsatisfactory)
2 (Minimally Satisfactory)
3 (Fully Successful)
4
5
TOTAL

U. S. Office of Personnel Management REPRODUCE LOCALLY OPM Form 1558

SES PERFORMANCE RATINGS AND AWARDS DISTRIBUTION FY 2002

(Based on 20% of Average Career SES Base Pay)

1. Department/Agency 2. Appraisal Period (mm/dd/yy)
From To
3. Awards Paid or to be Paid
(Month and Year)
4. Aggregate career SES base pay as of the end of the fiscal year preceding payment, i.e., September 30, 19 .
PAY RATE NO. OF CAREER APPOINTEES BASE PAY TOTAL BASE PAY
1
2
3
4
5
6
Presidential Appointee
AGGREGATE
5. Award Pool =
.20 x $ (aggregate base pay) and $
6. Total Award Payments =
._____% x $ (aggregate base pay) and $
7. NUMBER OF AWARDEES AT EACH PERCENTAGE LEVEL OF BASE PAY
PERCENTAGE LEVEL NUMBER OF AWARDEES
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
TOTAL
8. TOTAL AWARDS (from Item 7) = or % total number career appointees as of the end of the appraisal period as shown in Item 2.
9. TOTAL NUMBER OF SES APPOINTEES AT END OF RATING PERIOD Career Noncareer Limited
10. NUMBER OF SES PERFORMANCE RATINGS
RATING LEVEL Put an "X" at the highest possible rating NUMBER RATED
Career Noncareer Limited
1 (Unsatisfactory)
2 (Minimally Satisfactory)
3 (Fully Successful)
4
5
TOTAL

U. S. Office of Personnel Management REPRODUCE LOCALLY OPM Form 1558A

SES PERFORMANCE RATINGS AND AWARDS REPORT SUPPLEMENTARY INFORMATION FOR FY 2002

The following Supplementary Information is requested for executives who received less than fully successful performance ratings.

Department/Agency

Performance Appraisal Period Ending (MM/DD/YY)

Name of Executive and SSN Performance Rating Date of Final Rating Pay Decrease (Yes/No) Action and Effective Date