Five-Level Performance Management System

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

What is Performance Management? Performance plan Midterm or progress review Final appraisal

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

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

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

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)

Five-Level Performance Planning Plans recorded on new form: CD-430: 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

CD-430, Critical Element Page

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

CD-430, Critical Element Page

DOC Goal/NOAA Goal Indicates both the Commerce and NOAA organizational goals that your work on that element supports Each employee’s duties must advance DOC and NOAA strategic goals

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 earth’s resources to promote environmental stewardship. Management Integration Goal: Achieve organizational management excellence.

NOAA’s Mission Goals and Mission Support Goal 1. Protect, Restore, and Manage the Use of Coastal and Ocean Resources through an Ecosystem Approach to Management 2. Understand Climate Variability and Change to Enhance Society's Ability to Plan and Respond 3. Serve Society's Needs for Weather and Water Information 4. Support the Nation's Commerce with Information for Safe, Efficient, and Environmentally Sound Transportation 5. Provide Critical Support for NOAA's Mission

Linking Plans to Goals EcosystemsClimate Weather/ Water Commerce/ Transportation Support Employee SES Supervisor

CD-430, Critical Element Page

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%

CD-430, Critical Element Page

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

CD-430, Critical Element Page

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

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:

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

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)

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

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

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

Example Critical Element 1 is 30% of planRated at Level 4 30 x 4 = 120 points Critical Element 2 is 30% of planRated at Level 3 30 x 3 = 90 points Critical Element 3 is 20% of planRated at Level 5 20 x 5 = 100 points Critical Element 4 is 20% of planRated at Level 4 20 x 4 = 80 points ……………TOTAL = 390 points

Scale Overall ScoreSummary Rating 470 – 500 pointsLevel – 469 pointsLevel – 379 pointsLevel – 289 pointsLevel – 199 pointsLevel 1 Example from Previous Slide: – 390 points translates into a Level 4 rating

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 DOC’s administrative grievance procedure

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

For more information… DOC training video: Or contact your servicing Human Resources Advisor