Five-Level Performance Management System

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Five-Level Performance Management System
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Caveat for Bargaining Unit Employees

• The following presentation is intended for
• Non-bargaining unit employees
• OR
• Bargaining unit employees whose labor unions have
  completed negotiations on the five-level
  performance management system

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What is Performance Management?

• Performance plan
• Midterm or progress review
• Final appraisal

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Performance Management is also

• The exchange of ideas and informal discussions
  with your supervisor
• How management communicates the NOAA goal(s) and
  objective(s) your work supports
• How you and your supervisor can identify training
  needs and career development

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Current Performance Management

• Covered by two-level, or pass-fail, performance
  management system
• Includes all General Schedule and Federal Wage
  System employees as well as Wage Marines
• At end of appraisal cycle, most employees will
  receive a Meets or Exceeds Expectations rating

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Migration to Five-Level System

• All current two-level employees will switch to
  five-level performance management system
• Effective 10/01/06 for all non-bargaining unit
  employees or after labor relations obligations
  have been completed
• Includes all General Schedule and Federal Wage
  System employees as well as Wage Marines
• Not Demonstration Project employees

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What does change to five-level mean?

• By end of October, employees will receive final,
  two-level appraisal
• Wage Marines will receive this by end of November
• By end of November (Dec. for Wage Marines),
  employees will receive new performance plan to be
  rated on five-level system
• At end of next appraisal cycle, you will receive
  a Level 5 (highest), Level 4, Level 3, Level 2,
  or Level 1 (unacceptable)

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Five-Level Performance Planning

• Plans recorded on new form CD-430
  http//www.osec.doc.gov/forms/pdf/cd430fll.pdf
• Plan must be presented to you within 60 days of
  beginning of appraisal cycle
• Plans must contain between 3 and 5 critical
  elements which describe the nature of your duties
• Required for all employees Customer Service
  element
• Each critical element must support both DOC and
  NOAA organizational goals

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CD-430, Critical Element Page
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Element and Objective

• Element brief description or title of the
  duties contained in this element
• Ex. Customer Service
• Objective goal of element
• Ex. To respond to internal and external
  customers, stakeholders, and the public

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CD-430, Critical Element Page
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DOC Goal/NOAA Goal

• Indicates both the Commerce and NOAA
  organizational goals that your work on that
  element supports
• Each employees duties must advance DOC and NOAA
  strategic goals

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Commerce Strategic Goals

• Provide the information and tools to maximize
  U.S. competitiveness and enable economic growth
  for American industries, workers, and consumers.
• Foster science and technological leadership by
  protecting intellectual property, enhancing
  technical standards, and advancing measurement
  science.
• Observe, protect, and management of the earths
  resources to promote environmental stewardship.
• Management Integration Goal  Achieve
  organizational management excellence.

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NOAAs Mission Goals and Mission Support Goal

• Protect, Restore, and Manage the Use of Coastal
  and Ocean Resources through an Ecosystem Approach
  to Management
• Understand Climate Variability and Change to
  Enhance Society's Ability to Plan and Respond
• Serve Society's Needs for Weather and Water
  Information
• Support the Nation's Commerce with Information
  for Safe, Efficient, and Environmentally Sound
  Transportation
• Provide Critical Support for NOAA's Mission 

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Linking Plans to Goals
Weather/Water
Commerce/ Transportation
Ecosystems
Climate
Support
SES Supervisor
Employee
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CD-430, Critical Element Page
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Weight

• Each critical element is weighted with a
  percentage Ex. 25
• Weight of all critical elements in a plan must
  equal 100
• Weight designates the importance of that element
  in advancing organizational goals
• Minimum weight 15

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CD-430, Critical Element Page
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Results of Major Activities

• Lists 3 -6 duties involved in that critical
  element
• Activities should be results-oriented
• Draft agency policies are created within the
  framework of government-wide regulations
• Activities will not contain evaluative language
• Ex. Accurate reporting timely submissions

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CD-430, Critical Element Page
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Criteria for Evaluation/Supplemental Standards

• Depict the level of work required to earn a Level
  3 on that critical element Quality, Quantity,
  Timeliness, Cost-Effectiveness
• Work above the described level Level 4 or Level
  5 rating
• Work below the described level Level 2 or Level
  1
• Ex. Submissions are usually accurate and are
  usually submitted by the established deadline

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Generic Performance Standards

• Used in addition to Supplemental Standards to
  give general guidelines on how to achieve each
  rating level (Level 5, Level 4, etc.)
• Part of CD-430, performance plan
• Can also be found online http//ohrm.os.doc.gov/
  Performance/ssLINK/prod01_001139

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Finalizing Your Performance Plan

• Ensure that you understand required duties and
  how they link to organizational goals
• Ensure that Level 3 work described in
  Supplemental Standards are achievable
• Sign and date plan
• If you refuse to sign, the plan is still in
  effect and supervisor notes refusal to sign

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Progress Reviews

• One progress review required at mid-point of
  appraisal cycle (approx. March or April)
• Additional progress reviews can be requested by
  employee or supervisor
• Supervisor documents that performance is at or
  above Level 3 or indicates elements on which
  performance is below Level 3
• Note When performance falls to Level 1,
  supervisor will establish a Performance
  Improvement Plan (PIP)

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End-of-Year Appraisals

• Eligibility for Rating
• Must have worked at least 120 days in one or more
  covered positions during the appraisal cycle
• Must occupy a covered position on the last day of
  the performance cycle
• Employees should compile a listing of
  accomplishments completed during appraisal cycle
• Employee may request a pre-appraisal meeting to
  present accomplishments listing

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Performance Appraisal Meeting

• Supervisor presents employee with final rating
• Level 5, Level 4, Level 3, Level 2, or Level 1
• Level 1 on any critical element Level 1 final
  rating
• Must be conducted within 30 days of end of cycle
• Supervisor must have provided overall
  justification of rating or must have justified
  each critical element
• Employee signs and dates signaling discussion of
  final rating with supervisor
• Employee may refuse to sign

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How a Final Rating is Determined

• Supervisor rates each critical element from 1
  5, using Supplemental/Generic Standards as guide
• Only whole numbers Level 4, not Level 4.5
• Supervisor multiplies rating on each critical
  element by weight on that critical element
• Ex. 15 () x (Level) 4 60 points
• Points for each critical element are totaled
• Use scale to determine which rating corresponds
  to point total

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Example

• Critical Element 1 is 30 of plan Rated at Level
  4 30 x 4 120 points
• Critical Element 2 is 30 of plan Rated at Level
  3 30 x 3 90 points
• Critical Element 3 is 20 of plan Rated at Level
  5 20 x 5 100 points
• Critical Element 4 is 20 of plan Rated at Level
  4 20 x 4 80 points
• 120 90 100 80TOTAL 390 points

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Scale

• Overall Score Summary Rating
• 470 500 points Level 5
• 380 469 points Level 4
• 290 379 points Level 3
• 200 289 points Level 2
• 100 199 points Level 1
• Example from Previous Slide
• 390 points translates into a Level 4 rating

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Reconsideration of Rating

• If employee is not satisfied with rating, he/she
  may request reconsideration
• Informal Reconsideration work with rating and
  approving officials to justify higher rating
• Formal Reconsideration processed under the
  appropriate negotiated grievance procedures or
  under the DOCs administrative grievance
  procedure

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Performance Awards

• Performance awards will be reinstated under
  five-level system
• Highest performers will receive highest awards
• Other awards--Special Act, Time Off, CIYA--still
  available for use throughout year

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For more information

• http//ohrm.os.doc.gov/Performance/PROD01_001118
• DOC training video http//www.wfm.noaa.gov/perfor
  mancemgmt/media/test.asx
• Or contact your servicing Human Resources Advisor