Two-grade interval positions in such administrative and ..

1
Department of Commerce Alternative Personnel
System (CAPS)Overview
2
Introduction

• Administration
• Position Classification
• Staffing
• Pay Administration
• Performance Management

3
Objectives

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

4
Administration
5
CAPS Board

• 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

6
NOAA CAPS STEERING COMMITTEE

• 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

7
Operating Personnel Management Board (OPMB)

• Established for Each NOAA Participating Operating
  Unit
• Establishes Operating Unit guidelines
• Delegates authorities to FMC Deputies

8
POSITION CLASSIFICATION
9
Classification Principles

• Provide classification equity
• Simplify the process
• Support the mission
• Consider the whole job
• Reinforce management accountability
• Support pay for performance

10
Purpose of Classification

• To categorize positions by
• Career Path
• Occupational Series
• Pay Band
• Title

11
Automated Classification System

• User System - Supervisors
• Validation System - HR
• Storage System - Both

12
Position Description Components

• Principle objective
• Level designation
• Specialty descriptors
• Key phrases
• Supervisory/Lead designation
• Special qualifications

13
Transition

• GS
• One Pay Schedule (GS for all White Collar
  Occupations)
• 15 Grade Levels, each with 10 steps
• Many OPM Classification Standards Individual PDs

• CAPS
• 4 Pay Schedules Career Paths
• - Scientific Engineering (ZP)
• - Technical (ZT)
• - Administrative (ZA)
• - Support (ZS)
• 5 Pay Bands with Range of Salaries. No Steps
• Limited Number of DOC developed standards

14
Features of Career Paths

• Similar treatment for similar occupations
• Broader and simpler classification standards

15
Career Path Definitions

• Two-grade interval professional technical
  positions in the physical, engineering,
  biological, mathematical, computer and social
  sciences and student positions for training in
  these disciplines.

Scientific/ Engineering (ZP)

• One-grade interval non-professional technical
  positions that support scientific and engineering
  activities through the application of various
  skills and techniques in the electrical,
  mechanical, physical science, biology,
  mathematics, and computer fields and assistants
  and student positions for training in these
  skills.

Scientific/ Engineering Technician (ZT)
16
Career Path Definitions

• 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.

Administrative (ZA)

• 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.

Support (ZS)
17

CAREER PATHS BROAD PAY BANDS
 


18
STAFFING
19
Staffing Options

• Merit Assignment Program (MAP)
• Delegated Examining (DE)

20
Merit Assignment Program

• 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)
• Veterans preference does not apply
• Select from best qualified applicants

21
Delegated Examining

• Staffing Program Designed to Recruit from Sources
  Inside and Outside Government
• Same as MAP, except
• Open to all qualified candidates
• Veterans preference applies
• Paid advertising may be used
• Select from top 3 available applicants

22
Probationary Period

• Appointments of new Federal employees into RD
  positions within the ZP career path are subject
  to a three-year probation period
• Appointments of new Federal employees into to
  non-RD ZP positions and all ZT, ZA, and ZS
  positions are subject to a one-year probation
  period.

23
REDUCTION IN FORCE
24
Reduction in Force (RIF) System

• Follows all current RIF laws regulations
• 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

25
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

26
PAY ADMINISTRATION
27
Features of Pay Banding

• Flexible pay-setting upon
• - Hiring
• - Promotion (at least 6)
• - Competitive reassignment
• - Appointment Conversion
• More understandable pay progression

28
Pay Issues

• 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

29
Annual Comparability Increase (ACI)

• All employees receive the ACI except
• Employees on a Performance Improvement Plan (PIP)
  at time of ACI
• Employees on a PIP will receive ACI at the time
  they successfully complete the PIP
• Payment of ACI not retroactive
• Employees with an Unsatisfactory rating

30
Pay Ceilings

• 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

31
Intervals and Potential Annual Increase Examples

• ZA - ADMINISTRATIVE
• Band Interval Increase
• V
• (GS 15) 4 5 0 4
• 3 0 4
• 2 0 5
• 1 0 6
• IV
• (GS 1314) 4 5 0 6
• 3 0 6
• 2 0 8
• 1 0 10
• III
• (GS 1112) 4 5 0 7
• 3 0 7
• 2 0 12
• 1 0 15

• ZA ADMINISTRATIVE (CONT.)
• Band Interval Increase
• II
• (GS 710) 4 5 0 8
• 3 0 8
• 2 0 16
• 1 0 20
• I
• (GS 16) 4 5 0 7
• 3 0 7
• 2 0 12
• 1 0 14

32
Supervisory PerformancePay

• Full supervisory authority
• 25 of time
• No immediate pay increase. Advancement through
  Interval 5 based solely on annual performance
  score
• Applies only while in supervisory position

33
PERFORMANCE MANAGEMENT
34
Transition
GS
Demo

• 5 Level 5, 4, 3, 2, 1
• General Increases
• (Annual Comparability Increase)
• WIGI/Step Increase
• QSI
• In-band Promotion
• Special Act or Service Award

Eligible, Score Continue Incentive Pay
- Salary Increases Performance Bonuses
35
Rating Official (Supervisor)

• Defines critical elements
• Assigns weight to each critical element
• Conducts progress review meeting
• Conducts performance review meeting
• Submits tentative rating and scores
• Conducts evaluation feedback meeting

36
Pay Pool Manager

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

37
Rating Eligibility

• An Employee is Ratable if
• Occupies a covered position as of Sept 30 AND
• Has worked at least 120 days in one or more
  covered positions

• An Employee is NOT Ratable if
• Does not meet the definition of ratable
• Employee has an approved Performance Improvement
  Plan (PIP) in place as of September 30

38
Performance Pay Increase Ineligibility

• 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

39
Bonus Ineligibility

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

40
Performance Elements

• 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

41
Progress Reviews

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

42
Performance Meetings

• 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
• Evaluation Feedback Meeting
• Rating Official Presents final rating and
  Provides payout information

43
Performance Ratingsand Indicators

• 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

44
INTERLEAVING SCORES
45
PAYOUT RULES

• Highest scored employee receives highest relative
  percentage payout (0-100)
• Employees with tied scores may receive different
  relative percentage payouts
• Lower scored employee cannot receive higher
  relative percentage payout than higher scored
  employee

46
Sample Pay Pool

• Total Pool 21,000 CP ZP
  Pool Amount Used 20,630
• Percent New
• Name Score Salary Range Recd
  of Inc Sal. Excess
• Lynn 95 46237 0 - 12
  7.2 60.0 3329 49566
• Colette 92 50278 0 - 07
  4.2 60.0 2112 52210
  180
• Ellen 90 37625 0 - 15
  9.0 60.0 3386 41011
• Cathy 85 43380 0 - 12
  6.0 50.0 2602 45982
• Henry 85 37018 0 - 15
  7.0 46.6 2591 39609
• Bruce 75 40301 0 - 15
  6.0 40.0 2418 42719
• Dennis 70 53194 0 - 10
  3.0 30.0 1596 54789
• Mike 70 81914 0 - 04
  2.0 50.0 1638 83552
• Susan 67 47906 0 - 10
  5.0 50.0 958 48864
• John 50 34423 0 -
  15 0.0 00.0 0000 34423
• The of received is LARGER than a higher
  scored employee! Please fix it.

47
Actions Based On Poor Performance

• 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

48
Employee Reconsideration Rights

• Reviewable
• Rating
• Performance Score
• Pay Increase
• Not Reviewable
• Performance Plan
• Bonus Decisions

49
Grievance Procedures

• 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.

50
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/CompensationA
  ndLeave/DEV01_006181