Navigating NSPS for Employees

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Navigating NSPS for Employees

• Department of the Navy
• Office of Civilian Human Resources
• Civilian Workforce Development Division

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Pre-Course Assessment

• Please take the Pre-Course Benchmark Assessment.

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Unit 1 DON Human Capital Transformation
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Unit Objectives

• Explain the human capital challenges facing DON
  in the coming decade.
• Identify the motivating factors behind DONs
  Human Capital Transformation.
• Explain how NSPS fits into the overall DON Human
  Capital Strategy and helps achieve Naval Power
  21, Sea Power 21, and Marine Corps Strategy 21.
• List the existing DON and DoD references for
  human capital and NSPS guidance.

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DoD Human Capital Challenges

• The role of the Department of Defense is changing
  to confront new challenges
• New types of enemies
• Diffuse enemies
• New capabilities
• New defense concerns
• Global war on terrorism
• Need for rapid deployment and support (FORCEnet)

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Changing Workforce

• The Department of the Navys workforce is
  changing drastically
• Personnel and related programs now comprise over
  70 of the DONs obligational authority.
• Roles within DON are shifting from military to
  civilian.
• Contractors are becoming more prominent in the
  workplace.

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New Strategies for New Problems

• Much of the general schedule system for personnel
  management is not set up to manage an adaptive
  workforce.
• Too specified, too restrictive, too complex
• One-size-fits-all model
• These challenges require a new strategy for the
  DoD and the DON, on both a deployment and
  personnel management level.
• Mandated by the Presidents Management Agenda
  (2004)

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DON Human Capital Strategy

• The workforce must be improved by aligning
  personnel more effectively.
• Supports achievement of Naval Power 21, Sea Power
  21, Marine Corps Strategy 21 by optimizing
  workforce performance and management
• Civilian Personnel Management must be transformed
  to meet these goals
• The National Security Personnel System supports
  this transformation in civilian workforce
  alignment to the DON mission.

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DON Human Capital Transformation
Enterprise approach to Civilian Workforce
Development
DON Human Capital Transformation
Defense Transformation
Act Acquisition
Workforce Personnel System

• Uncertain Global Environment
• Evolving Military Requirements
• New Information Technologies
• Successful HR Best Practices

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Design Principles Operational Requirements

• Guiding Principles
• Put mission first support National Security
  goals and strategic objectives.
• Respect the individual protect rights guaranteed
  by law.
• Value talent, performance, leadership, and
  commitment to public service.
• Be flexible, understandable, credible,
  responsive, executable.
• Ensure accountability at all levels.
• Balance HR interoperability with unique mission
  requirements.
• Be competitive and cost effective.

• Key Performance Parameters
• High Performing Employees/supervisors are
  compensated/retained based on performance/contribu
  tion to mission.
• Agile Responsive Workforce can be easily
  sized, shaped, and deployed to meet changing
  mission requirements.
• Credible and Trusted System assures openness,
  clarity, accountability, and adherence to merit
  principles.
• Fiscally Sound Aggregate increases in civilian
  payroll, at the appropriations level, will
  conform to OMB fiscal guidance managers will
  have flexibility to manage to budget.
• Supporting Infrastructure Information technology
  support and training and change management plans
  are available and funded.
• Schedule NSPS will be operational and
  demonstrate success prior to November 2009.

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National Security Personnel System

• Human Resources System is based on a
  pay-for-performance principle.
• Pay bands are used to chart employee earning
  potential.
• Performance objectives are drafted and aligned to
  the organizations goals and mission to encourage
  greater cohesiveness.
• Employees can actively chart their own career
  development.

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National Security Personnel System Additional
Resources

• DON Interim Guidance
• NSPS Guides
• DON Human Capital Strategy
• NSPS Web Sources
• NSPS Statute
• Federal Registrar

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Unit Objectives

• Explain the human capital challenges facing DON
  in the coming decade.
• Identify the motivating factors behind DONs
  Human Capital Transformation.
• Explain how NSPS fits into the overall DON Human
  Capital Strategy and helps achieve Naval Power
  21, Sea Power 21, and Marine Corps Strategy 21.
• List the existing DON and DoD references for
  human capital and NSPS guidance.

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Unit 2 Conversion Overview
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Unit Objectives

• Describe the main rules governing NSPS and the
  new flexibilities afforded under NSPS.
• Explain what does NOT change under NSPS.
• Identify the core elements of NSPS.
• Describe NSPS design elements.
• Explain the NSPS conversion process.
• Explain the potential of NSPS for helping achieve
  mission success.
• Recognize the expanded role of supervisors in the
  operational framework of NSPS.
• Recognize the need for a workforce that is
  engaged and committed to the organization through
  aligned vision and goals.

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New Ways of Thinking

• NSPS requires new skills and new ways of
  thinking
• No longer are pay increases tied to longevity.
• No longer do supervisors have little impact on
  their employees salary.
• No longer is salary progression controlled by
  grades and steps.
• No longer can job objectives be trivial and not
  linked to mission.
• No longer can employees and supervisors get away
  with not communicating with one another.

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Core Elements

• Accountability
• Employees are responsible for their career,
  performance
• Performance and contributions pay off through
  salary increases and bonuses
• Flexibility
• Adaptable system allows management to put right
  people in right job at right time
• Results
• Employee contributes directly to organizational
  goals and mission

Flexibility Respond to mission changes Realign,
reorganize, and reshape the workforce Assign
work Set pay
Accountability Employee Supervisor Leadership
Results Attract and retain top talent Promote
high performance
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NSPS The Vision

• To implement a high-performing, efficient,
  understandable, and properly aligned human
  capital management system, which includes
• Tools to help steer the workforce toward the
  organizations goals
• A flexible human resources system
• A labor relations system and new adverse actions
  and appeals processes (these latter components
  are on hold and have not been implemented), while
  
• Reinforcing the commitment to preserve
  fundamental merit principles, to prevent
  prohibited personnel practices, and to honor and
  promote veterans preference.

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NSPS What Will It Do for You?

• Through NSPS, DoD will be better able to
• Align its human resources system with mission
  objectives
• Compete for high-quality talent
• Establish a more rigorous tie between performance
  and monetary rewards
• Reward outstanding performers
• Size and shape its workforce to meet mission
  needs
• Respond to new business and strategic needs
• Use the active duty force by making it easier to
  employ civilians in jobs filled by military
• Reduce administrative burden.

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NSPS Design Elements
CLASSIFICATION Simple Flexible Streamlined
COMPENSATION Performance based Market
driven Mission responsive
WORKFORCE SHAPING Mission responsive Less
disruptive Performance focused
An Integrated System
PERFORMANCEMANAGEMENT Results oriented Mission
focused
STAFFING Increased flexibilities Streamlined
process Adaptable Right person in the right
job at the right time
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Human Resources System

• ClassificationSimple, flexible
• StaffingThe right person, in the right place, at
  the right time
• CompensationPay-for-performance,
  market-sensitive
• Performance ManagementLinked to agency mission
• Workforce ShapingStreamlined, mission-responsive
• Adverse Actions/Appeals
• Enjoined
• Title V, Chapter 75 Adverse Action process
  available
• Labor Relations System
• Enjoined
• Title V, Chapter 71 rules apply to NSPS
  implementation for bargaining unit employees

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What Doesnt Change?

• Merit System Principles
• Rules against prohibited personnel practices
• Whistleblower protection
• Veterans Preference
• Benefits (retirement, health, life, etc.)
• Anti-discrimination laws
• Fundamental due process
• Allowances and travel/subsistence expenses
• Training
• Leave and work schedules
• Other personnel systems in law
• Demonstration projects (until FY 09)
• Title V incentive awards (Special Act,
  On-the-Spot)

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Conversion to NSPS Grade-Based, No Loss of Pay
Standard Career Group Professional / Analytical
(YA)
Plus Local Market Supplement
(GS-14 to GS-15)
Pay Band 3 75,879 - 127,031
(GS-9 to GS-13)
Pay Band 2 38,824 - 87,039
Pay Band 1 25,623 - 61,068
(GS-5 to GS-11)
Contract Specialist, GS-1102-9 w/potential to
GS-12
Contract Specialist, GS-1102-12 full performance
level
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Within-Grade Increase (WGI) Buy-In

• Under NSPS, all employees currently eligible for
  a within-grade increase will have their pay
  adjusted to include a one-time pay increase (WGI
  buy-in) that covers the period between the last
  WGI date and the date of conversion to NSPS.
• WGI buy-in will appear in the first paycheck
  after conversion and reflect that pay period's
  portion of the WGI buy-in.

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Conversion Challenges

• Change management and communication help DON
  successfully implement the cultural shift to
  NSPS.
• NSPS changes some fundamental business practices
  
• Job objectives will have a line of sight to
  organizational objectives.
• Raises and bonuses will be based on performance.
• Salaries will be based on market conditions.
• Make a practice of engaging in meaningful
  conversations with your supervisor on how NSPS
  will really work in your unit.
• Work with your supervisor on establishing job
  objectives that reflect the important tasks you
  do every day to ensure mission success.

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Unit Objectives

• Describe the main rules governing NSPS and the
  new flexibilities afforded under NSPS.
• Explain what does NOT change under NSPS.
• Describe the core elements of NSPS.
• Describe NSPS design elements.
• Explain the NSPS conversion process.
• Explain the potential of NSPS for helping achieve
  mission success.
• Recognize the expanded role of supervisors in the
  operational framework of NSPS.
• Recognize the need for a workforce that is
  engaged and committed to the organization through
  aligned vision and goals.

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Unit 3 NSPS Fundamentals
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Unit Objectives

• Describe what has changed and what has stayed the
  same under NSPS in the areas of classification,
  staffing and recruitment, and compensation.
• Explain your new role and what is required.

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NSPS Major Design Elements
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Supervisor Classification Responsibilities

• Supervisors must
• Assign duties, responsibilities, and authorities
  to positions to align to mission
• Balance economy, effectiveness, productivity,
  skill use, and employee motivation and
  development, while conforming with purpose of
  position
• Consider classification impact on other positions
  in their organization when assigning duties
• Document classification decisions in accordance
  with DON and DoD standards.

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Classification Changes

• NSPS
• Four career groups, with associated pay
  schedules, cover all GS jobs
• Jobs in broad pay bands based on nature of work
• Fewer, more generic PDs, with simplified
  standards
• Greater flexibility in assigning new or different
  work
• Promotes broader skill development and career
  opportunities within pay bands

• General Schedule
• 15 different grades and several different
  classification methods
• 10 steps in each grade
• One-grade and two-grade work combined in a
  single schedule
• Many and detailed classification standards
• Specific position descriptions
• Movement from grade to grade normally requires
  competition

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Classification Architecture
Simplified and Flexible
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Career Groups
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Career Group Compensation

• Standard Career Group
• Logistics Management Specialists
• Contract Specialists
• Budget Analysts
• Science Engineering
• Chemists
• Physicists
• Electronics Engineers
• Investigative Protective
• Criminal Investigators
• Firefighters
• Security Guards
• Medical
• Physicians
• Dentists
• Pharmacist

Budget Analyst, YA-560-2
Title
Pay Schedule Occ Code
Pay Band Level
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Levels of Duties and Responsibilities by Pay Band
Standard Career Group Professional/Analytical Pay
Schedule YA (nonsupervisory)
Band 3 Senior Expert
Band 2 Full Performance Level
Band 1 - Entry/Developmental
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Classification Select Group/Schedule

• Determine career group and pay schedule based on
  occupation.
• The class standards have specific requirements
  and/or limitations regarding their use.
• Occupations occur in only one career group and
  pay schedule.

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Classification Appeals

• Employees may not appeal
• Classification of a proposed position or one to
  which the employee is not officially assigned
• Classification of a position to which an employee
  is detailed or temporarily promoted
• Accuracy, consistency, or use of NSPS
  classification criteria
• Rate of pay

• Employees may appeal
• Any classification decision relating to their own
  position
• Title
• Occupational code
• Pay band
• Supervisory status

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Classification Review

• NSPS classification is simple and streamlined
• Occupational definitions
• Structure career groups, pay schedules, pay bands
• Classification of NSPS positions
• Classification of mixed, interdisciplinary, and
  interoccupational positions
• Classification appeals
• Questions?

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Compensation Architecture

• National Career Groups
• Standard Career Group
• Engineering and Scientific Career Group
• Medical Career Group
• Investigative and Protective Services Career
  Group
• Pay Schedules
• Professional and Analytical
• Technician/Support
• Supervisory
• Pay Bands
• Entry
• Journey (Full Performance)
• Expert

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Pay Banding Standard Career Group
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Compensation

• Reassignment
• Discretionary 5 increase
• Reduction in band
• Discretionary 5 increase

• First Assignment
• Anywhere in pay band
• Promotion
• Minimum 6 or bottom of pay band
• Maximum 20

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Compensation

• Standard Career Group Professional / Analytical
  (YA)

Rate Range Adjustmentsminimum or maximum or
both
Between Pay BandsPromotion 6 to 20
Pay Band 3
Pay Band 2
Plus Local Market Supplement
Pay Band 1

• Within Band Pay Adjustments
• Performance-based Pay
• Discretionary Performance Payouts
• Extraordinary Pay Increase (EPI)
• Organizational/Team Achievement Recognition
  (OAR)
• ReassignmentUp to 5
• Accelerated Compensation for Developmental
  Positions (ACDP)only in Pay Band 1 of YA, YD ,
  YH , and YK pay schedules generally shall not
  exceed 20 awarded at any time

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Compensation Update

• DON NSPS Compensation Vision
• Market Based, Performance Driven
• DoD Compensation Working Group
• Managers Interim Guidance for EstablishingPay
  for Employees in NSPS
• DON Pay Pool Consultancy

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Staffing and Recruitment What Stays the Same

• Affirmative Action
• Merit Principles
• Rules against prohibitive personnel practices
• Veterans preference
• EEO/anti-discrimination laws

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Staffing and Recruitment New Flexibilities

• Special appointing authorities
• Severe shortage
• Critical hiring
• DoD approval required
• Priority placement plan applied differently
• Modified public notice requirements
• May limit consideration to local commuting area
  or other targeted recruitment sources
• Category rating
• Selection certificate expiration 30 days
  w/30-day extension
• Probationary periods can be longer than one-year
  limit, w//DoD approval
• Time-in-grade requirement eliminated

• NOTE These changes all have a context in which
  they apply. Consult your HRO/ HRSC for proper
  application of staffing changes.

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Alternative Forms of Competition

• Alternate Certification
• By-name request
• Candidate must meet criteria of highest group
• Exceptional Performance Promotion
• Requires Level 5 performance rating
• Same occupational series and function
• Assessment Boards
• Pre-established criteria, ranked specific to the
  occupation
• Selection unique to actual vacancy

Cultural Change These options represent a
significant change from current practice. Care
should be taken to ensure that employees
understand these options if they are to be used
effectively.
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Competitive vs. Non-Competitive Placements

• Competitive
• Merit Principles
• Exceptional Performance Promotion
• Alternate Certification
• Assessment Boards
• Reassignments
• Temporary Promotions

• Non-Competitive
• Career-Ladder Promotions
• Reassignments
• Additional Duties and Responsibilities
  (Accretion)
• Temporary Promotions
• Higher Pay Band New Classification Issuance
• Classification Correction
• Position Change Due to RIF

Denotes competitive or noncompetitive actions
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Rules for Standard Career Group
Cultural Change Non-competitive reassignments
within a band, and between bands, can occur in
cases where competitive promotion rules are used
in the General Schedule system. Employees need to
be fully informed of the use of this flexibility.
Merit Systems Principles and Equal Employment
Opportunity requirements still apply.
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Unit Objectives

• Describe what has changed and what has stayed the
  same under NSPS in the areas of classification,
  staffing and recruitment, and compensation.
• Explain your new role and what is required.

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Unit 4 Performance Management
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Unit Objectives

• Identify and explain the basic elements of the
  performance management system.
• Identify the criteria and methods for developing
  and evaluating job objectives.
• Acknowledge that the supervisors role has not
  changed, although its impact has.
• Describe NSPS performance management elements and
  how they are used in the rating process.
• Explain when performance plans can and should be
  adjusted.
• Explain importance of closeout assessments and
  when they are to be conducted.
• Identify how automated tools are used in planning
  and monitoring performance and explain how to
  access those tools.
• Describe steps for dealing with performance
  deficiencies.
• Identify opportunities for developing or
  enhancing performance.
• Explain importance of continuous feedback.
• Describe the purpose of the interim review and
  factors considered at review.

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Performance Management System

• Performance Management System
• Designed to
• Foster high-performing culture
• Encourage employee engagement and robust
  communication
• Enhance overall effectiveness of organization.
• Supervisors work with employees to establish
  performance goals and expectations, aligned with
  mission-related goals.
• System encourages ongoing feedback and
  communication between supervisor and employees.
• System recognizes conduct (behavior, professional
  demeanor) as an element of performance.

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Performance Management Cycle

• Four Phases
• Plan
• Supervisor and/or Rating Official and employee
  develop performance plan.
• Monitor and Develop
• Supervisor and/or Rating Official and employee
  have ongoing dialogue about performance,
  training, and growth opportunities to address
  gaps or additional expectations.
• Assess
• A two-step process to determine levels of
  accomplishment
• Official recommends rating and share allocation
• Pay Pool Manager determines final rating of
  record and share allocation
• Reward
• Increase base salary and/or authorize one-time
  lump sum payment in recognition of contributions
  to mission.

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NSPS Online Tools

• Performance Appraisal Application (PAA)
• Tool that supports the NSPS performance
  management system
• Streamlines and automates performance management
  processes and documentation requirements
• Makes it easier and more efficient to track and
  monitor performance
• Compensation Workbench (CWB)
• Pay pool assessment and payout

• My Biz (Employees and Supervisors)
• On-line access to view information from official
  personnel records
• Provides access to the Performance Appraisal
  Application (PAA)
• My Workplace (Supervisors)
• Provides access to employee information and PAA
• Military supervisors must complete a User Account
  Request Form
• Self-Service Hierarchy (SSH)
• Mandatory for supervisory/rating official access
  to the PAA
• User Account Request Forms must be submitted to
  HRO

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Timeline
The NSPS Performance Cycle 1 Oct-30 Sep
90day Requirement
Monitor and Develop
Oct
Jan
Sep
Jun
Jul
Reward
Assess
Plan
A 12-month performance cycle A 16-month
process
( varies during conversion to NSPS)
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Phase 1 Planning Performance

• Identify strategic goal to which objectives
  align.
• Identify work to be accomplished.
• Identify desired outcomes
• Identify how outcomes will be measured.
• Consider performance indicators.
• Establish a written performance plan
• Identify and develop objectives
• Select contributing factor(s)
• Establish weighting (if any)
• Obtain higher-level review and approval of plan.
• Communicate the written performance plan.

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Align Work to Mission

• Leaders define the organizations mission and
  strategic goals.
• Cascaded to the work unit and employee objectives
• Can also align work horizontally
• Objectives must draw a line of sight between the
  employees work, the work units goals, and the
  organizations success.
• When work is aligned to the mission, from any
  perspective selected, everyone is working
  together towards shared goals.

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Alignment and Outcomes

• Which of your organizational goals does your work
  support?
• Ensure that the goal selected is from the
  appropriate level of the organization (i.e., team
  or division, not agency or command).
• What are the desired results of the work that
  align to your organizational goals?
• Ensure that your objectives contain an expected
  outcome.

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Identify Outcome Measures

• Establish time requirements (absolute standard)
• What are the milestones for completion of this
  objective?
• Provide measurement criteria
• What metrics will be used to evaluate this
  outcome?
• Objectives must have assess-ability
• Measurement does not have to be numeric.
• Measurement can be objective, subjective,
  quantitative, or qualitative, as long as the
  parties agree to the metric. Ask
• How will I/we know success when I/we see it?

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Performance Indicators

• What Are Performance Indicators?
• Applied in the rating of job objectives
• Describe levels or thresholds of performance
• Standardized across the DoD
• Arranged by pay schedule and pay band
• Defined benchmarks at Level 3 and Level 5
  performance

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Performance Indicator Example
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Objectives vs. Task Descriptions
Objectives are not task lists!
Suggestion Work being identified for measurement
in an objective should be foreseeable,
substantial, and significant in scope,
duration, and effect.
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Use of SMART

• SMART is one method for developing (and
  evaluating) job objectives
• Specific
• Measurable
• Aligned
• Realistic/Relevant
• Timed

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Some Pitfalls of SMART

• Using SMART by itself does not guarantee
  objectives that are useful to the employee, the
  rating official, or the pay pool panel.
• SMART may not be the best method for writing
  objectives for individuals who do non-repetitive
  work or have responsibilities that are primarily
  knowledge-based
• Either way, SMART objectives are only one part of
  the performance management equation. Other key
  elements include
• Line of sight to organizational goals
• Performance indicators
• Contributing factors

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Common Errors of Writing Objectives

• The objective does not clearly align to an
  organizational goal.
• Organizational goal(s) selected are from too high
  a level within the organization.
• The objective is vague.
• The objective is not measurable or verifiable.
• The objective is too complex or lengthy.
• The objective is not tied to a timeline.
• The objective places emphasis on inappropriate
  aspects of the work.
• The employee has too many objectives.

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Requirements for Performance Plans
An objective is a description of a future
situation
DON Performance Management Interim Guidance,
Section 6., a.
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Evaluating Performance Objectives

• Is the outcome clearly identified?
• Is the objective measurable or quantifiable?
• Remember Everything is measurable in some way,
  shape, or form.
• Is the objective recognizably aligned to the
  correct organizational goal for the rating cycle?
• How does achieving the objective lead to or
  assist in accomplishing the organizations
  mission?
• Does the objective establish time requirements?

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Contributing Factors
Contributing factors describe the manner in which
the job objectives were achieved (the how as
compared to the what of job objectives) by
assessing work behaviors.

• At least one contributing factor must be selected
  for each job objective
• Attributes of job performance that are
  significant to the accomplishment of individual
  job objectives
• Further defined by work behaviors and
  benchmark descriptors
• Described in the benchmark descriptions at the
  expected and enhanced level
• Standard across DoD

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Contributing Factors Benchmark Example
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Selecting Contributing Factors
For Supervisor For Employee
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Weighting Objectives

• Job objectives are not required to be weighted,
  but not doing so means that they will all be
  weighted equally.
• Weight should be established at the start of the
  rating cycle when the objectives are established
  and contributing factors identified weighting
  should be adjusted as needed if anything changes
  during the rating cycle.
• Guidance states
• Job objectives must be in no less than 5-percent
  increments.
• No objective can be weighted less than 10
  percent.
• Total weight must equal 100 percent.
• If an objective is not rated (NR), the weight of
  that objective must be redistributed among the
  other objectives.

DON Performance Management Interim Guidance
Section 6., b., (4)
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Effect on Rating
ContributingFactor
DON Performance Management Interim Guidance
Section 12., b.
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The Performance Plan Conversation
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Phase 2 Monitoring and Developing Performance

• Supervisors must regularly monitor the
  performance of employees.
• Must provide feedback
• Specific
• Fair
• Accurate
• Timely (addresses recent performance)
• Helpful to employees in accomplishing jobs
  according to job objectives and performance
  expectations.

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Timely and Specific Feedback Should Be Part of
Interaction

• Routine meetings
• Memos
• E-mail, voice mail
• Open-door policy
• Short notes or letters
• Daily dialogue

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Feedback Loop Exercise
Scenario 1 Jane joined your team six weeks ago.
She has been regularly contributing ideas in
staff meetings.
Scenario 2 Dawn has been part of your team for
two years. You know that she is seeking more
responsibility. Lately, you have noticed that her
reports contain more misspellings than usual. You
mentioned it to her in passing the week before,
but the number of misspellings does not appear to
be back to Dawns normal, more acceptable level.
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Collaborating to Develop Performance

• Options
• Seek performance-related discussion with
  supervisors, mentors, or coaches.
• Request creation/updating of an Individual
  Development Plan.
• Participate in
• Training opportunities
• Process-improvement teams
• Special details and assignments.
• Look for mentoring and coaching opportunities
• Seek out formal and informal opportunities.
• Look for high performing co-workers who motivate
  and inspire you.
• Understand how your job performance supports and
  contributes to the mission of your organization.
• Take the initiative to help make this happen!

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Addressing Performance Deficiencies

• Options
• Mentoring and Coaching
• Remedial training
• Reassignment
• Performance Improvement Plan
• Letter of counseling
• Verbal or written warning
• Written reprimand
• Adverse action

Escalating
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Developing Performance Not Just Your
Supervisors Job

• Responsibility and ownership
• Identify who is accountable for what outcomes.
• Take responsibility for performance and
  accomplishing work.
• Be accountable for communicating status and
  progress.
• Take ownership for successfully meeting goals.

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Interim Review

• One of three required performance management
  events
• Conducted and documented at least once midway
  through appraisal period
• Emphasizes performance strengths
• Focuses on future performance
• Reviews performance plan and adjusts if there are
  significant changes to work or organizational
  goals
• Documents specific conduct concerns here

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Prepare and Participate Interim Review Exercise
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Adjusting Job Objectives

• Job objectives may be adjusted (modified, added,
  or deleted) as needed during the performance
  cycle.
• Supervisors will discuss adjustments and
  expectations with employees.
• When new objectives are assigned, job objectives
  must communicate that portion of a major
  performance expectation that can be accomplished
  within the time remaining in the appraisal
  period.

DON Performance Management Interim Guidance
Section 6., b., (5)
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Unit Objectives

• Identify and explain the basic elements of the
  performance management system.
• Identify the criteria and methods for developing
  and evaluating job objectives.
• Acknowledge that the supervisors role has not
  changed, although its impact has.
• Describe NSPS performance management elements and
  how they are used in the rating process.
• Explain when performance plans can and should be
  adjusted.
• Explain importance of closeout assessments and
  when they are to be conducted.
• Identify how automated tools are used in planning
  and monitoring performance and explain how to
  access those tools.
• Describe steps for dealing with performance
  deficiencies.
• Identify opportunities for developing or
  enhancing performance.
• Explain importance of continuous feedback.
• Describe the purpose of the interim review and
  factors considered at review.

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Unit 5 Rewarding Performance
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Unit Objectives

• Describe method of conducting a performance
  management review.
• Identify how NSPS performance management elements
  are used in rating process.
• Explain difference between End-of-Cycle Review
  and Annual Appraisal.
• Describe the impact of rating determination on
  eligibility for Pay Pool share distribution.
• Identify and explain the Pay Pool Process.
• Describe the typical composition of Pay Pools and
  Pay Pool Panels.
• Describe types of performance payouts available
  to employees.
• Describe the reconsideration process and
  timeframes required to appeal a rating decision.

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Unit References

• DON Performance Management, Interim Guidance,
  Version 1 April 2006
• Title XI, U.S.C. Chapter 99
• 5 CFR Chapter XCIX and Part 9901
• DoD 1400.25-M, DoD Civilian Personnel Manual,
  Subchapter 1940, Performance Management
• DoD 1400.25-M, DoD Civilian Personnel Manual,
  Subchapter 1930, Compensation Architecture Pay
  Policy

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Key Compensation Changes

• Prior to NSPS
• Performance objectives
• Varied cycles
• Scale two ratings
• Acceptable
• Unacceptable
• Typical rating acceptable
• 120 day minimum rating period
• Senior rater approves
• Variable pay retention timeframes
• Overtime rates based on grade-step

• NSPS
• Job objectives
• One cycle (1 Oct 30 Sep)
• Scale 1 (unacceptable) through 5 (role model)
• Typical rating 3 (valued performer)
• 90-day minimum rating period
• Pay Pool Manager approves
• Pay retention 2 year limit
• Overtime rate YA-2s (former non-supervisory
  GS-9s through GS-13s) 1.5x regular rate

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Lessons Learned

• Rating and compensation decisions are tied to
  business rules.
• Many business rules are established at
  organizational level.
• Documentation is vital.
• Implementation planning and Pay Pool strategies
  begin early.
• Communication of business rules is key.

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Compensation Processes

• Two interwoven simultaneous processes
• Performance Management
• Pay Pool

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Performance Management and Compensation Exercise

• Divide into groups
• Use flip chart sheet, sticky notes, and markers
• Place and arrange performance management terms
  according to who you believe should assume
  responsibility for each and in order of its
  occurrence in the cycle be prepared to discuss
• Terms may be used multiple times as required

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Roles Whos Involved
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Assess, Rate, and Reward

• Conclusion of rating cycle (Sep 30)
• Employees complete self-assessments (by 31 Oct)
• Assessment and Rating (1-17 Nov)
• Pay Pool Panels meet reconcile ratings
  (Nov-Dec)
• Pay Pool Manager approves Rating of Record and
  payout
• Supervisors notify employees of Rating of Record
  (Annual Appraisal) (Dec-Jan)
• Payout first full pay period (Jan)

Oct
Jan
Sep
Payout
Rating
Panels
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Compensation Rules

• 90-day minimum performance appraisal period
• Extensions in special circumstances
• Closeout assessments supervisor or employee
  changing position
• Early annual recommended rating manager or
  employee leaves position within 90-days of end of
  cycle
• Special purpose rating documents performance
  improvements from Level 1

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End-of-Cycle Review

• Employee
• Completes and submits self-assessment
• Discusses performance with manager/supervisor
• Suggests improvements to increase performance
• Understands link between demonstrated
  performance, its value to organization, and
  compensation received.

• Supervisor/Rating Official
• Evaluates employee performance
• Completes performance appraisal
• Submits recommended rating
• Notifies employee of final rating or record,
  number of shares and payout distribution

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Performance Criteria

• Performance is assess by
• Performance level and pay band
• Levels of
• Effort
• Complexity
• Achievement
• Quality of outcome
• Independence
• Level of skill and expertise
• Motivation and modeling behavior of role model
  employees

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End-of-Cycle Review Meeting

• Starts with employee self-assessment
• Prepare agenda and questions
• Supervisor meets with employee
• Reviews submitted self-assessment
• Ask questions
• Clarify understanding of accomplishments and
  contributions
• Note specific employee accomplishments
• To be cited in narrative of supervisory
  assessment

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Assessment Reporting

• Narrative assessing/describing employee
• Accomplishments /contributions to
  organization/team
• Relative to their Performance Plan
• Prepare by considering
• Employees self-assessment
• Purpose/Work of organization
• Contribution to organization or team
• Closeout assessments from other supervisors
• Rating process
• Outcome
• Recommended rating, share and payout

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Self-Assessment Lessons Learned

• Highlight your most significant achievements.
• Do the accomplishments
• Match stated objectives?
• Include references to appropriate Performance
  Indicators?
• Reflect selected Contributing Factors?
• Make the connection between What you did and Why
  that helps your organization.
• Note challenges you faced and how you fared.
• Include any additional accomplishments.

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Rating Levels
Standard rating levels used in DoD
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Rating Methodology

• Performance review assesses
• What employee accomplished
• Output rated on scale of 1 to 5
• How employee accomplished
• Contributing factors influencing accomplishment
  of objective rated on scale of 1, -1, or 0

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Performance Indicators

• Pay Schedule
• Pay Band
• Benchmark Descriptors at Level 3 and 5

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Contributing Factors

• Contributing Factors How
• One to three selected for each objective
• Can influence objectives by 1, -1, or 0
• Attributes of job performance that are
  significant to the accomplishment of individual
  job objectives
• Further defined by work behaviors and
  benchmark descriptors
• Standard across DoD
• Described at the Expected and Enhanced level

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Rating Methodology Diagram
3
50
x
x
x
x
x
x
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Rating Methodology Diagram
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Weighting and Rounding

• Weight the adjusted ratings
• Job objectives must be in no less than 5-percent
  increments
• No objective can be weighted less than 10 percent
• Total weight must equal 100 percent
• If an objective is not rated (NR), the weight of
  that objective must be re-distributed among the
  other objectives
• Total the results
• Round the result

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Share Ranges

• Shares in the Pay Pool are awarded as shown in
  the table
• Share ranges allow further distinction between
  levels of contribution
• The estimated value of a share reflects a
  percentage of salary (the actual share value will
  not be known until the Pay Pool Panel completes
  its work)

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Higher-Level Reviewer

• Higher-level reviewer may change the rating
  officials recommendations.
• The Pay Pool Panel may change the rating
  officials recommendations.
• No rating is final until approved by the Pay Pool
  Manager and/or Performance Review Authority.
• Recommendations will not be shared with employees
  until rating finalized by Pay Pool Manager.

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Pay Pool Basics

• What is a Pay Pool?
• Employees who share in distribution of Pay Pool
  fund
• Actual pool of money that funds performance
  payouts
• How are membership and boundaries of a Pay Pool
  determined?
• By organizational structure
• By similar lines of occupations or jobs
• By geographical location
• By organizational mission
• Other considerations pay bands, career groups,
  etc.
• DON Guidance Recommended size range 50 to 150
• Pay Pools will be structured differently in
  different organizations

DoN Performance Management, Interim Guidance,
Section 13, c.
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Pay Pools

• Pay Pool structures may be redefined each cycle.
• All Pay Pool officials/raters will be management
  officials.
• Sub-Pay Pools may be considered when size exceeds
  150.
• Separate pools may be created for supervisors.

DoN Performance Management, Interim Guidance,
Section 13, c. SC 1940.11
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Financial Considerations
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Reward Process
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Pay Pool Funding Elements
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Value of a Share

• The value of a share depends on
• The total amount of available Pay Pool funds
• The total number of shares awarded to employees
  in that Pay Pool
• The base salary of employees who have been
  awarded a payout
• The value of a share cannot be exactly determined
  until the Pay Pool Panel process is complete
• The size of an employees payout should reflect
  that employees relative contribution to the
  organization in comparison to other employees in
  the organization

The more shares assigned within the Pay Pool ,
the less the value of each share
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Calculating Performance Payouts

• Payouts are calculated by multiplying the
  employees base salary (at the end of the
  appraisal period) by the number of shares the
  employee earned by the share value
• Employee Performance Payout
• Base Salary X No. of Shares X Share Value per
  Share ()
• Total performance payout is distributed between
  an increase in base salary or a bonus, or a
  combination of the two
• Employee Performance Payout
• Salary Increase Bonus
• The payout distribution must be consistent with
  NSPS implementing issuances, financial management
  policies/directives, and Merit System Principles.

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Pay PoolsCommunicating with Employees

• Employees will be notified of
• Roles and responsibilities of employees, raters,
  Pay Pool Panel members, and Pay Pool Managers
• Pay Pool composition
• Pay Pool Panel membership
• General Pay Pool policies and business rules
• The factors that may be considered in making
  specific share assignments
• Supervisor communicate at Annual Appraisal
• Approved rating of record
• Share assignment
• Payout distribution

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Annual Appraisal Conversation

• Supervisor/Rating Official explains outcomes of
  annual assessment and rating process.
• There should be no surprises.
• Steps to addressing performance gaps may be
  discussed.
• Formal notification of final Rating of Record and
  performance reward.

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Reconsiderations

• Lessons Learned
• Reconsiderations are part of the process
• Treated each as a separate case
• Considered evidence against criteria
• Work closely with HRO

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Reconsideration Process
Pay Pool Manager Renders Written Decision To
Employee
May Request to Address Pay Pool Manager and/or
Pay Pool Panel
Rating
Within 15 days of Receipt of Employees
Request for Reconsideration
Employee Seeks Reconsideration
Within 10 calendar days of Receipt of Rating of
Record, Submit Written Administrative
Reconsideration with Alternative Dispute
Resolution, if chosen.
SC 1940.12.4.13. When calculating time limits
under the administrative reconsideration
procedure, the day of an action or receipt of a
document is not counted. The last day of the time
limit is counted unless it is a Saturday, a
Sunday, a legal holiday, or a day on which the
employee is not regularly scheduled to work. In
those cases, the last day of the time limit shall
be moved to the next regularly scheduled work
day. All time limits are counted in calendar
days.
Decision
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Reconsideration Process
Renders Written Decision Within 15 Calendar
Days Of Receipt of Request To PRA
Conducts Further Inquiry As Deemed Appropriate
Reviews and Confers With Pay Pool Manager
Decision of PRA or PRA Designee is final.
Performance Review Authority (PRA) or PRA
Designee
Within 5 Calendar Days of Receipt of Pay Pool
Managers Decision
Employee Submit Written Request For Final
Review To PRA
Decision
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Starting Over

• Purpose Set up and communicate performance
  expectations and job objectives for the coming
  year
• Done in October when the performance cycle starts
  over
• Note that the new cycle begins before the former
  cycle completes
• Coverage
• Discuss goals and expectations for the next
  period
• Help your employee improve his or her performance
• Summarize the discussion and sign documentation

Sep
Jan
Oct
Oct
Planning
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Unit Objectives

• Describe method of conducting a performance
  management review.
• Identify how NSPS performance management elements
  are used in rating process.
• Explain difference between End-of-Cycle Review
  and Annual Appraisal.
• Describe the impact of rating determination on
  eligibility for Pay Pool share distribution.
• Identify and explain the Pay Pool Process.
• Describe the typical composition of Pay Pools and
  Pay Pool Panels.
• Describe types of performance payouts available
  to employees.
• Describe the reconsideration process and
  timeframes required to appeal a rating decision.

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Unit 6 Workforce Shaping
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Unit Objectives

• Define workforce shaping
• Molding the workforce of today to meet the
  demands of an evolving mission
• Identify new RIF processes under NSPS.

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Workforce Shaping Must Be Managed

• Assuring proper mix of skills
• Variety of workforce shaping alternatives
• RIF is alternative LAST resort

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Workforce Shaping under NSPS

• Major changes
• COMPETITIVE AREAS geographical location, line
  of business, product line, organizational unit,
  funding line
• COMPETITIVE GROUPS career group, pay schedule,
  pay band, occupational code, trainee status
• ORDER of RETENTION STANDING
• NO BUMPING or RETREATING

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Workforce Shaping under NSPS Competitive Areas
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Workforce Shaping under NSPS Competitive Groups
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Workforce Shaping under NSPS Competitive Groups
(continued)
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Priority for Retention Within Group
Retention Order

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RIF Regulations under NSPS

• Employee with highest retention standing whose
  position has been abolished is identified first
• Qualifications reviewed to determine if qualified
  for position held by another employee with lower
  RIF retention standing
• Employee is qualified he or she is placed into
  vacant position or position held by lower
  standing employee
• Employee is not qualified, and there is no other
  placement
• Employee is released from his or her retention
  list and identified for RIF separation

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Displacement Procedures under NSPS

• No more bumping and retreating
• Based on retention list standing
• Highest on list placed first
• Procedure involves displacement within a
  competitive group based upon retention standing
  and qualification

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NSPS RIF Displacement Procedures

• Position offered must be no more than one pay
  band level or equivalent below current pay band.
• Employee is entitled to pay retention if s/he is
  reduced in pay band.

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Transfer of Function

• Definition
• Transfer of work when moved form one competitive
  area to another or when an entire competitive
  area is moved
• Significant Changes
• Work must cease to exist in losing competitive
  area but may already exist in the new competitive
  area.
• Losing competitive area determines number/type of
  positions encompassing the transferring work (no
  longer needs to be grade controlling).

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Relevant Interim Guidance

• (b) DoD 1400.25-M, DoD Civilian Personnel Manual,
  Subchapter 1960, Workforce Shaping
• Civilian Human Resources Manual, Subchapter 9XX.X

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Unit Objectives

• Define workforce shaping
• Molding the workforce of today to meet the
  demands of an evolving mission.
• Identify new RIF processes under NSPS.

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Unit 7 Success in NSPS
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Unit Objectives

• Describe the NSPS theme of performance
  management.
• Explain how to thrive under NSPS as an employee.

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Performance Under NSPS

• NSPS pay-for-performance system rewards job
  performance.
• Performance goals must align to organizational
  goals
• Essential to the process
• Serve as the basis for judgment of all other
  objectives
• Performance indicators
• Method of measuring performance, key to appraisal
• Contributing factors
• Rating cycle milestones/reminders

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Performance/Communication

• Communicating with your supervisor
• Communication between employee and supervisor is
  crucial to the effective implementat