Department of Commerce Alternative Personnel System CAPS Overview

Department of Commerce Alternative Personnel System (CAPS) Overview

Introduction Administration Position Classification Staffing Pay Administration Performance Management 2

Objectives Increase efficiency of personnel system l Strengthen management accountability l Improve ability to hire, motivate and retain staff l Promote stronger partnerships l Emphasize pay for performance l Ensure fairness and equity l 3

Administration 4

CAPS Board l l l Members include Senior Management Officials DOC Approval Authority for Project Plan and Change/Implementing Regulations Sets Project Policies Delegates Authorities to Operating Units Authorizes Exceptions to Policies 5

NOAA CAPS STEERING COMMITTEE l l Members include Deputy Assistant Administrators for each NOAA Participating Operating Unit Evaluate, propose, review and provide comments or recommendations on policies, procedures and system changes Oversee implementation of CAPS policies, procedures, position classification proposals, or automated system changes Oversee NOAA-wide training activities 6

Operating Personnel Management Board (OPMB) l l l Established for Each NOAA Participating Operating Unit Establishes Operating Unit guidelines Delegates authorities to FMC Deputies 7

POSITION CLASSIFICATION 8

Classification Principles l l l Provide classification equity Simplify the process Support the mission Consider the whole job Reinforce management accountability Support pay for performance 9

Purpose of Classification To categorize positions by: l Career Path l Occupational Series l Pay Band l Title 10

Automated Classification System User System - Supervisors l Validation System - HR l Storage System - Both l 11

Position Description Components Principle objective l Level designation l Specialty descriptors l Key phrases l Supervisory/Lead designation l Special qualifications l 12

Transition GS R One Pay Schedule (GS for all White Collar Occupations) CAPS R 4 Pay Schedules: “Career Paths” - Scientific & Engineering (ZP) - Technical (ZT) - Administrative (ZA) - Support (ZS) R 15 Grade Levels, each with 10 steps R 5 “Pay Bands” with Range of Salaries. No Steps R Many OPM Classification Standards & Individual PDs R Limited Number of DOC developed standards 13

Features of Career Paths l Similar treatment for similar occupations l Broader and simpler classification standards 14

Career Path Definitions Scientific/ Engineering (ZP) l Two-grade interval professional technical positions in the physical, engineering, biological, mathematical, computer and social sciences; and student positions for training in these disciplines. l One-grade interval non-professional technical positions that Scientific/ support scientific and engineering activities through the Engineering application of various skills and techniques in the electrical, Technician mechanical, physical science, biology, mathematics, and computer fields; and assistants and student positions for (ZT) training in these skills. 15

Career Path Definitions Administrative (ZA) Support (ZS) l Two-grade interval positions in such administrative and managerial fields as finance, procurement, personnel, librarianship, public information, and program management and analysis; and student positions for training in these fields. l One-grade interval positions that provide administrative support through the application of typing, clerical, secretarial, assistant, and similar knowledge and skills; positions that provide specialized facilities support, such as guard and fire fighter; assistants, and student positions for training in these skills. 16

CAREER PATHS & BROAD PAY BANDS Career Paths Scientific & Engineering ZP Pay Bands II I Scientific & Engineering Technician ZT I Administrative ZA II I Support ZS I II Corresponding GS Grade 1 2 3 4 II IV IV III IV V V 5 6 7 8 9 10 11 12 13 14 15 17

STAFFING 18

Staffing Options l Merit Assignment Program (MAP) l Delegated Examining (DE) 19

Merit Assignment Program l Staffing Program Designed to Recruit from Sources Inside Government – Vacancy announcement – Open to current/previous Federal employees and special appointment authority candidates – Subject to Career Transition Assistance Program (CTAP/ICTAP) – Veteran’s preference does not apply – Select from best qualified applicants 20

Delegated Examining l l Staffing Program Designed to Recruit from Sources Inside and Outside Government Same as MAP, except: – – Open to all qualified candidates Veteran’s preference applies Paid advertising may be used Select from top 3 available applicants 21

Probationary Period l Appointments of new Federal employees into R&D positions within the ZP career path are subject to a three-year probation period l Appointments of new Federal employees into to non-R&D ZP positions and all ZT, ZA, and ZS positions are subject to a one-year probation period. 22

REDUCTION IN FORCE 23

Reduction in Force (RIF) System Follows all current RIF laws & regulations l l l Displacement limited to one band below present level Preserve retained pay and retained band Competitive area is career path commuting area Current credit transferred on prorated basis Augmented RIF service credit based on score 24

Augmented RIF Service Credit For Each Pay Pool: - Employees with scores in top 30% - 10 yrs - Employees with scores below top 30% - 5 yrs Accrual based on last three ratings during four-yr period up to 30 yrs credit 25

PAY ADMINISTRATION 26

Features of Pay Banding l Flexible pay-setting upon: - Hiring - Promotion (at least 6%) - Competitive reassignment - Appointment Conversion l More understandable pay progression 27

Pay Issues l l Salary range includes locality pay Special Rates expand the pay band but only for those occupational series covered One-year period for special pay adjustment for employees eligible for career ladder promotion One-time payment to conversion employees eligible for within-grade increase, pro-rated for value of waiting time for next increase 28

Annual Comparability Increase (ACI) All employees receive the ACI except: l Employees on a Performance Improvement Plan (PIP) at time of ACI ØEmployees on a PIP will receive ACI at the time they successfully complete the PIP ØPayment of ACI not retroactive l Employees with an “Unsatisfactory” rating 29

Pay Ceilings l l l Each pay band has five Intervals Performance Pay for non-supervisory positions is maximum rate of Interval 3 - Range of Step 1 of the lowest grade to Step 10 of the highest grade in each pay band Performance Pay for supervisory positions is maximum rate of Interval 5 30

Intervals and Potential Annual Increase Examples ZA - ADMINISTRATIVE Band V (GS 15) ZA – ADMINISTRATIVE (CONT. ) Interval Increase 4 – 5 3 2 1 0% – 4% 0% – 5% 0% – 6% IV (GS 13– 14) 4 – 5 3 2 1 III (GS 11– 12) 4 – 5 3 2 1 0% – 6% 0% – 8% 0% – 10% 0% – 7% 0% – 12% 0% – 15% Band Interval II (GS 7– 10) 4 – 5 3 2 1 I (GS 1– 6) 4 – 5 3 2 1 Increase 0% – 8% 0% – 16% 0% – 20% 0% – 7% 0% – 12% 0% – 14% 31

Supervisory Performance Pay l Full supervisory authority l 25% of time l No immediate pay increase. Advancement through Interval 5 based solely on annual performance score l Applies only while in supervisory position 32

PERFORMANCE MANAGEMENT 33

Transition GS Demo – 5 Level – 5, 4, 3, 2, 1 Eligible, Score – General Increases (Annual Comparability Increase) Continue – – – WIGI/Step Increase QSI In-band Promotion Incentive Pay - Salary Increases – Special Act or Service Award Performance Bonuses 34

Rating Official (Supervisor) Defines critical elements l Assigns weight to each critical element l Conducts progress review meeting l Conducts performance review meeting l Submits tentative rating and scores l Conducts evaluation feedback meeting l 35

Pay Pool Manager l Approves changes to Performance Plans l Manages the pay pools (up to four) l Renders final decisions on scores, ratings, and performance pay increases/bonuses 36

Rating Eligibility An Employee is Ratable if: An Employee is NOT Ratable if: l Occupies a covered position as of Sept 30 AND l l Has worked at least 120 days in one or more covered positions l Does not meet the definition of ratable Employee has an approved Performance Improvement Plan (PIP) in place as of September 30 37

Performance Pay Increase Ineligibility l l l l Employee with other than an “Eligible” rating Received a pay adjustment within the last 120 days of the rating cycle (includes promotion) ST 3104 appointees Faculty appointees Temporary Student appointees Employees who are salary-capped Employees on retained pay - NOTE: Employees on retained pay band are eligible for a performance pay increase 38

Bonus Ineligibility l Employees with other than an “Eligible” Rating * Employees on a Performance Improvement Plan Faculty Appointees Temporary Student Appointees • *NOTE: l l l Employees are eligible if they have a Department of Commerce rating equivalent to Fully Successful or better in the last 13 months 39

Performance Elements l l l All Plan elements are critical - Minimum of two - Maximum of six Element weights based upon importance, complexity and/or time required Total of weights must equal 100 Evaluation based on use of Benchmark Performance Standards/Point Ranges Performance Attributes Tool available for ratings determination 40

Progress Reviews l One Progress Review required midway through cycle l Rating Official and Employee: - Discuss progress and any problems - Consider appropriate guidance - Determine if Plan needs to be changed 41

Performance Meetings l Performance Review Meeting – Employee must provide written accomplishments – Rating Official and Employee discuss accomplishments – No rating discussed at this meeting – Rating Official and Pay Pool Manager discuss ratings and scores l Evaluation Feedback Meeting – Rating Official Presents final rating and Provides payout information 42

Performance Ratings and Indicators l l Eligible “E”, covers total scores ranging from 40 to 100 Not Ratable “N”, employee not eligible to receive an appraisal Pending “P”, final rating pending results of in-place PIP Unsatisfactory “U”, failure to meet PIP requirements of 43

INTERLEAVING SCORES Pay Pool Manager (ZP) Rating Official #1 NAME SCORE COLETTE ELLEN CATHY BRUCE DENNIS 92 90 85 75 70 NAME LYNN COLETTE ELLEN CATHY HENRY BRUCE DENNIS MICHAEL SUSAN JOHN SCORE 95 92 90 85 85 75 70 70 67 50 Rating Official #2 NAME SCORE LYNN HENRY MICHAEL SUSAN JOHN 95 85 70 67 50 44

PAYOUT RULES l. Highest scored employee receives highest relative percentage payout (0 -100%) l. Employees with tied scores may receive different relative percentage payouts l. Lower scored employee cannot receive higher relative percentage payout than higher scored employee 45

Sample Pay Pool Total Pool: 21, 000 Name Lynn Colette Ellen Cathy Henry Bruce Dennis Mike Susan John CP: ZP Pool Amount Used: 20, 630 Score Salary Percent Range% Recd % of% Inc 95 92 90 85 85 75 70 70 67 50 46237 50278 37625 43380 37018 40301 53194 81914 47906 34423 0 - 12 0 - 07 0 - 15 0 - 12 0 - 15 0 - 10 0 - 04 0 - 10 0 - 15 7. 2 4. 2 9. 0 6. 0 7. 0 6. 0 3. 0 2. 0 5. 0 0. 0 60. 0 50. 0 46. 6 40. 0 30. 0 50. 0* 00. 0 3329 2112 3386 2602 2591 2418 1596 1638 958 0000 New Sal. 49566 52210 41011 45982 39609 42719 54789 83552 48864 34423 Excess 180 *The % of % received is LARGER than a higher scored employee! Please fix it. 46

Actions Based On Poor Performance l Unsatisfactory performance - Loss of consideration for performance pay increase/bonus – Loss of Annual Comparability Increase – AND – Reduction in pay band/interval, or – Reassignment, or – Removal 47

Employee Reconsideration Rights l Reviewable – Rating – Performance Score – Pay Increase l Not Reviewable – Performance Plan – Bonus Decisions 48

Grievance Procedures l l v Request for Reconsideration – 15 calendar days for employees to file Request for Reconsideration (an informal grievance) – 15 calendar days for management to formally respond to informal grievance Formal Grievance (DAO 202 -771) – 10 calendar days for employee to file formal grievance – 45 calendar days for management to respond to formal grievance Bargaining Unit Employees covered by a negotiated agreement must follow the terms of that agreement to grieve a score, rating, or pay increase. If no negotiated agreement exists, the DOC Grievance Procedures may be used. 49

Additional Information ( For further information or questions, please contact Your Servicing Workforce Management Office Representative : Additional resources are available at: • http: //www. wfm. noaa. gov A-Z Index – C for CAPS • http: //hr. commerce. gov/Practitioners/Compensation. And. Leave/DEV 01_006181 50