Department of Commerce Alternative Personnel System (CAPS) Overview 1

Position Classification Performance Management Introduction Administration Position Classification Staffing Pay Administration Performance Management

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

Administration

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

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

Operating Personnel Management Board (OPMB) Established for Each NOAA Participating Operating Unit Establishes Operating Unit guidelines Delegates authorities to FMC Deputies

POSITION CLASSIFICATION

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

Purpose of Classification To categorize positions by: Career Path Occupational Series Pay Band Title

Automated Classification System User System - Supervisors Validation System - HR Storage System - Both

Position Description Components Principle objective Level designation Specialty descriptors Key phrases Supervisory/Lead designation Special qualifications

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

Features of Career Paths Similar treatment for similar occupations Broader and simpler classification standards

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)

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)

CAREER PATHS & BROAD PAY BANDS Scientific & Engineering ZP I II III IV V Engineering Technician ZT Administrative ZA Support ZS Corresponding GS Grade 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15   13

STAFFING

Staffing Options Merit Assignment Program (MAP) Delegated Examining (DE)

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

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

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.

REDUCTION IN FORCE

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

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

PAY ADMINISTRATION

Features of Pay Banding Flexible pay-setting upon: - Hiring - Promotion (at least 6%) - Competitive reassignment - Appointment Conversion More understandable pay progression

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

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

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

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 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%

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

PERFORMANCE MANAGEMENT

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 24

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

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

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

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

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

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

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

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

Performance Ratings and 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

INTERLEAVING SCORES Pay Pool Manager (ZP) NAME LYNN COLETTE ELLEN CATHY HENRY BRUCE DENNIS MICHAEL SUSAN JOHN SCORE 95 92 90 85 75 70 67 50 Rating Official #1 NAME COLETTE ELLEN CATHY BRUCE DENNIS SCORE 92 90 85 75 70 Rating Official #2 NAME LYNN HENRY MICHAEL SUSAN JOHN SCORE 95 85 70 67 50

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

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.

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

Employee Reconsideration Rights Reviewable Rating Performance Score Pay Increase Not Reviewable Performance Plan Bonus Decisions

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.

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_006181