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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 - SupervisorsValidation System - HRStorage System - Both
12
Position Description Components
Principle objective Level designation Specialty descriptors Key phrases Supervisory/Lead designation Special qualifications
13
TransitionGS 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
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 (ZP)
Scientific/EngineeringTechnician (ZT)
Two-grade interval professional technical positions in the physical, engineering, biological, mathematical, computer and social sciences; and student positions for training in these disciplines.
16
Career Path Definitions
Support(ZS)
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.
17
CAREER PATHS &
BROAD PAY BANDS
Career Paths Pay BandsScientific &
Engineering ZPI II III IV V
Scientific &
Engineering
Technician ZT I II III IV V
Administrative
ZAI II III IV V
Support
ZSI II III IV V
Corresponding
GS Grade 1 2 3 4 5 6 7 8 9 10 11 1213
14 15
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)
– Veteran’s 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
– Veteran’s preference applies
– Paid advertising may be used
– Select from top 3 available applicants
22
Probationary Period
Appointments of new Federal employees into R&D positions within the ZP career path are subject to a three-year probation period
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.
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 ACIEmployees on a PIP will receive ACI at the time
they successfully complete the PIPPayment 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
ExamplesZA - ADMINISTRATIVE
Band Interval Increase V(GS 15) 4 – 5 0% – 4%
3 0% – 4% 2 0% – 5% 1 0% – 6%
IV(GS 13–14) 4 – 5 0% – 6%
3 0% – 6% 2 0% – 8%
1 0% – 10% III(GS 11–12) 4 – 5 0% – 7%
3 0% – 7% 2 0% – 12% 1 0% – 15%
ZA – ADMINISTRATIVE (CONT.)
Band Interval Increase
II
(GS 7–10) 4 – 5 0% – 8%
3 0% – 8%
2 0% – 16%
1 0% – 20%
I
(GS 1–6) 4 – 5 0% – 7%
3 0% – 7%
2 0% – 12%
1 0% – 14%
32
Supervisory Performance
Pay 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– 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
Demo
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 EligibilityAn 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
Pay Pool Manager (ZP)
NAMELYNNCOLETTEELLENCATHYHENRYBRUCEDENNISMICHAELSUSANJOHN
SCORE95929085857570706750
Rating Official #2NAME
LYNNHENRY
MICHAELSUSANJOHN
SCORE
9585706750
Rating Official #1NAME
COLETTEELLENCATHYBRUCEDENNIS
SCORE
9290857570
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 PoolSample Pay PoolTotal Pool: 21,000 CP: ZP Pool Amount
Used: 20,630
Percent NewName 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 41011Cathy 85 43380 0 - 12 6.0 50.0 2602 45982Henry 85 37018 0 - 15 7.0 46.6 2591 39609Bruce 75 40301 0 - 15 6.0 40.0 2418 42719Dennis 70 53194 0 - 10 3.0 30.0 1596 54789Mike 70 81914 0 - 04 2.0 50.0* 1638 83552Susan 67 47906 0 - 10 5.0 50.0* 958 48864John 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/CompensationAndLeave/DEV01_0061
81