Department of Defense National Security Personnel System

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Department of DefenseNational Security Personnel
System
CASCOM NSPS Town Hall MOCK Pay Pool Process 16
April 2008
Flexibility Accountability Results
www.cpms.osd.mil/nsps
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Agenda

• NSPS Implementation
• The Performance Cycle
• Performance Objectives
• Assessments
• Mock Pay Pool Panel Process
• Performance Conversations

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NSPS Implementation Progress
White Collar, Non-Bargaining Unit Workforce
NDAA 100K per year to spiral
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• The Performance Cycle

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Performance Cycle
The NSPS Rating Cycle 1 Oct - 30 Sep
Planning
Monitoring and Developing
Oct
Jan
Sep
Oct
Interim
Payout
Rating
Planning

• A 12-month performance cycle.
• A 16-month process.

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May
You Are Here
CASCOM FY08 NSPS Mock Pay Pool Panel Timeline
5 - 9 May Mock Pay Pool Panel
April
21 - 30 Apr Administrators review input and
prepare for Pay Pool Panel
X
18 Apr Higher Level Review Complete
14 17 Apr Pay Pool Administrator Training
11 Apr Rating Official Assessment Complete
March
28 Mar Employee Self Assessment Complete
13-14 Mar Pay Pool Panel Training
7 Mar Employees Begin Self Assessments
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Partners in the Process How Ratings Are Decided

• Rating Official reviews self-assessment,
  evaluates performance, and recommends
• Rating
• Share allocation
• Payout distribution

Employee Creates Self - Assessment
Rating Official informs Employee
Pay Pool Panel reviews recommendations and
finalizes ratings, shares, and payouts
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Why Employees Are Important

• Deliver results aligned with organizational
  mission and goals.
• Play an active role in maximizing performance by
  requesting and acting on feedback.
• Collect data on performance accomplishments
  throughout the year.
• Create self-assessment that describes observable
  results in terms of Performance Indicators and
  Contributing Factors.
• Engage in the process by preparing for each
  performance conversation.

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Employee Actions

• During the performance cycle, employees must
• Be aware of how work contributes towards
  organizational goals and objectives.
• Understand how the appropriate Performance
  Indicators and Contributing Factors apply to job
  objectives.
• Maintain records on performance throughout the
  year.
• Play an active role in the process.
• Seek feedback on performance throughout the year.
• Write a concise, relevant, and fact-filled
  self-assessment.

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Why Rating Officials Are Important

• Align employees work with organizational mission
  and goals.
• Guide employees to maximize performance through
  clear job objectives and continuous feedback.
• Coach employees to write effective
  self-assessments.
• Advocate for employees by writing evaluations
  that outline observable results based on
  application of Performance Indicators and
  Contributing Factors.
• Discuss recommended ratings and represent the
  employees with the pay pool panel, as needed.

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Rating Official Actions

• During the performance cycle, rating officials
  must
• Provide well-written job objectives and
  evaluations.
• Select appropriate Contributing Factors.
• Monitor performance and provide feedback
  throughout the year.
• Use Performance Indicators and Contributing
  Factors to evaluate performance.
• Provide specific behavioral examples instead of
  vague statements.
• Focus on the facts.
• Write concisely (bullets - clear opening
  statement).
• Recommend rating, shares and payout distribution.

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Objectives
Performance Objectives
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SMART Objectives

• S - Specific
• M - Measurable
• A - Aligned
• R - Realistic and Relevant
• T - Timed

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Adjusting Objectives

• AI-SC 1940.5.7.3 Army Standard Job Objective for
  Supervisors (SMART)
• Execute the full range of human resources
  (including performance management as outlined in
  DoD 1400.25-M, SC 1940.5.7.4) and fiscal
  responsibilities within established timelines and
  in accordance with applicable regulations.
  Adhere to merit principles. Develop a vision for
  the work unit align performance expectations
  with organizational goals. Complete all
  subordinate Performance Plans and Performance
  Conversations NLT 30 days into the rating period.
  Maintain a safe work environment and promptly
  address allegations of noncompliance. Ensure
  EEO/EO principles are adhered to throughout the
  organization. Ensure continuing application of,
  and compliance with, applicable laws, regulations
  and policies governing prohibited personnel
  practices promptly address allegations of
  prohibited discrimination, harassment, and
  retaliation. Complete all Interim Assessments
  and Performance Conversations NLT April 14. Have
  no more than one overall final rating downgraded
  by the Pay Pool Panel.

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SMART Objectives

• Job Objectives What
• Written jointly by employee and supervisor
• Communicate specific individual, team, or
  organizational responsibilities and expected
  contributions with related outcomes and
  accomplishments
• Draw a line of sight between the employees work,
  the work units goals, and the organizations
  success
• Results-oriented and mission-focused
• Must be weighted
• Written in the SMART framework

When communicating job objectives to employees,
supervisors need to fully explain the
relationship between an employees
accomplishments and achieving organizational goals
Cultural Change
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Tips for Writing Job Objectives

• Results
• What are the large buckets of work that I do?
• As a result of my tasks, what should occur?
• For what purpose am I accomplishing this task?

• Measurements
• Are there predetermined measures that can be
  used?
• What are the most important factors to accomplish
  this work successfully?
• Is it possible to collect data to evaluate
  performance against the measurement?

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Contributing Factors

• At least one, usually no more than three per
  objective (generally less is better than more)
• Should be tied to the objective, not the employee
• The objective tells the employee WHAT to do,
  addressing the CF in the assessment describes
  HOW it was done
• If you have more than one CF you MUST address all
  if you want to impact the rating
• Leadership CF required for Supervisor Objective

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Assessments
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Challenges Evaluators Face

• As a rating official, how easy or difficult is it
  for you to evaluate your employees performance?
• As an employee, how easy or difficult is it for
  you to write your self-assessment?
• As a rating official, what are the challenges you
  have encountered when evaluating your employees?
• What tips or techniques can alleviate evaluation
  challenges?

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Importance of Self-Assessments

• Gives the employee the opportunity to represent
  his or her performance.
• Clarifies rating officials understanding of the
  employees performance.
• Provides additional information to evaluate the
  employees performance.

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Follow the STAR

• Situation
• Task
• Action
• Result

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Assessments

• S - Situation, describe the situation
• T Task, clearly identify what is to be done and
  its relation to the organizations mission
• A Action, what did the employee do?
• R Result, what was the impact?

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Tips for Writing Assessments

• Address each job objective in a separate
  paragraph, identifying it by number and title or
  brief description.
• Describe accomplishments in terms of results and
  the impact of actions.
• Reference appropriate Performance Indicators and
  Contributing Factors.
• Avoid cutting and pasting language directly from
  the Performance Indicators and Contributing
  Factors benchmark descriptors.
• Provide behavioral evidence to support the chosen
  performance level.
• Add at the end any other information that is
  important to performance that is not covered in
  the job objectives.
• Focus on substance over style.

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Assessments

• Start each assessment with something like, John
  met all standards or John exceeded all
  standards
• Clearly tie the accomplishments to the objective,
  as a supervisor or In program management,
  John exceeded
• Get to the point, be clear and concise
• Describe the results of the work done

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Tips for Writing Assessments

• Do
• Collect performance data throughout the year.
• Address each job objective in a separate
  paragraph.
• Describe performance in terms of results.
• Refer to the appropriate Performance Indicators
  and Contributing Factors.

• Dont
• Use only recent events to evaluate performance.
• Write a long list of tasks the employee
  completed.
• Write vague, elaborate statements.
• Limit the evaluation to the employees
  performance deficiencies.

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The Pay Pool Process
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TRADOC NSPS Philosophy

• Execute pay pool process in a fair, consistent,
  and equitable manner
• Meaningful distinction in levels of performance
• Consistent with position and level of
  responsibility
• Reward higher levels of performance at a higher
  rate
• Based on individual accomplishments and
  contribution to mission

LTG Valcourt Consistent approach between
activities geographically co-located.
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Pay Pool Process
Performance Review Authority
Pay Pool Panel Manager
Employee
Pay Pool Panel
Rating Official
Pay Pool
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Pay Pool Process

• Employee
• Tracks and provides accomplishments.
• Assists in developing performance objectives.
• Rating Official
• Recommends performance rating, shares, and
  distribution.
• Higher level reviewer
• Reviews supervisors recommendations, directs
  changes as appropriate.
• Pay Pool Panel
• Reconciles/changes ratings, shares, and
  distribution within pay pool.
• Pay Pool Manager
• Makes final decisions on rating of record,
  shares, and distribution.
• Performance Review Authority
• Assures equity across pay pools, resolves
  requests for reconsiderations.
• Supervisor
• Conveys final rating, shares, and distribution to
  employees.

Important Supervisor cannot communicate
recommended rating prior to pay pool decision.
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Rating Process

• Rating Official (supervisor) recommends
• Performance rating
• Number of shares
• Distribution between salary increase and bonus

• After pay pool manager is done, conveys final
  rating, shares and distribution to employees

• Higher level reviewer
• Reviews supervisors recommendations, directs
  changes as appropriate

• Pay Pool Panel
• Reconciles ratings, shares, and distribution
  within the pay pool changes as appropriate

• Pay Pool Manager
• Makes final decisions on rating of record, number
  of shares, and distribution

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Why Pay Pool Panels Are Important

• Validate decisions made at the individual level
  within the context of mission and organization.
• Primary means of achieving internal and external
  equity
• Ensure fairness and consistency across the
  organization.
• Pay Pool Administrator (PPA)
• Compensation Workbench (CWB)
• Preserve the integrity of the performance
  management system.

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Pay Pool Panel Actions

• During the pay pool panel meeting, pay pool panel
  members must
• Provide SME insight to the other panel members.
• Use Performance Indicators and Contributing
  Factors to differentiate performance within the
  context of jobs and organizational activities.
• Focus on the facts how do the objective,
  assessments, and recommended rating relate?
• Listen actively and take notes (destroyed upon
  completion).
• Conduct a dialogue, not a debate.
• Panel Members Sign Non-disclosure Statements.

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Rating Process
Total 3.45
Apply rounding
RecommendedRating 3
Weight Importance
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Contributing Factors Benchmark Example
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Tips for Addressing the Pay Pool Panel
Be well informed of your employees
accomplishments, the appropriate Performance
Indicators, and Contributing Factors.
PREPARE

• Use the STAR model to organize your thoughts.
• Present your position with confidence.

PRESENT

• Listen to understand.
• Present your opinion while considering the
  concerns of the panel members.

PAY ATTENTION
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Performance Conversations
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Performance Conversations

• Have as many as needed, but three are required to
  be documented
• Performance Plan establish performance
  expectations and job objectives
• Interim Review check and adjust employee
  performance
• Annual Appraisal share final ratings, shares,
  and payout distribution

(optional)
End of Rating
Monitoring and Developing
Oct
Jan
Sep
Oct
Annual Appraisal (final)
Interim Review
Perf Plan
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Performance Conversations

• Review written appraisal.
• Provide feedback for continuing success and
  development
• Communicate rating of record and performance
  payout of shares and payout distribution (Final
  Annual Appraisal).

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Performance Conversation Tips

• Prepare for the conversation by reviewing all
  relevant documentation.
• Conduct the conversation in a safe, confidential
  location.
• Discuss facts and behaviors.
• Reference appropriate Performance Indicators and
  Contributing Factors.
• Discuss developmental plans.

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Performance Conversation Tips

• Rating Official
• Prepare to discuss strengths and developmental
  opportunities.
• Anticipate any probable objections and practice
  responses.
• Acknowledge employee concerns.
• Remain calm, professional, and objective.
• Avoid any subjective conclusions.
• Do not criticize or blame the pay pool panel for
  lowering a rating (Annual).
• Employee
• Ask clarifying questions.
• Ask for developmental opportunities.
• Remain calm, professional, and objective.
• Request a follow up meeting, if needed.

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Tips for Performance Conversations

• Do
• Prepare by reviewing and bringing appropriate
  documentation.
• Stick to the agenda.
• Focus on the results.
• Listen actively.
• Ask clarifying questions.
• Strive for positive, mutual outcomes.

• Dont
• Let emotions get out of control.
• Expect the other person to do all the work or
  talking.
• Ask questions that the other is not able or
  allowed to answer.
• Turn the conversation into a win-lose debate.
• Blame the pay pool panel.

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Summary

• DoD will Spiral 100K Employees/year into NSPS
• NSPS is a Cultural Shift for All Employees
• NSPS Requires Us to Think, Share Your Good Ideas!
• Ensure Assessments Match the Objectives
• Dont Force the Pay Pool Panel to be the Decision
  Maker
• We All Need Feedback -Use Performance
  Conversations!
• Be Flexible Things Will Continue to Change!

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Questions