1. Department of Commerce Alternative Personnel System (CAPS) Overview1

2. Position Classification Performance Management
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 - Supervisors
Validation System - HR
Storage System - Both

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

13. 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

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

15. 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)

16. 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)

17. 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

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 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

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 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%

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 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

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 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

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 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

44. 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

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 Pool Total Pool: 21,000 CP: ZP Pool Amount Used: 20,630
Percent New
Name Score Salary Range% Recd % of% Inc Sal. Excess
Lynn
Colette
Ellen
Cathy
Henry
Bruce
Dennis
Mike *
Susan *
John
*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 )
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:
A-Z Index – C for CAPS