Transcript Department of Commerce Demonstration Project Training for Managers

Department of Commerce
Demonstration Project
Training
for Managers
2006
INTRODUCTION
Objectives
Increase efficiency of personnel system
 Strengthen manager’s role
 Improve ability to hire, motivate and
retain staff
 Emphasize pay for performance

System Attributes
Simplified/Understandable
 Flexible
 Delegated Decision-making
 Performance Enhancing
 Partnership Based
 Budget Discipline
 Fair & Equitable

Employees Covered
Covered
GS
 GM
 ST3104 (appraisal, awards, RIF only)

Excluded
WG
 SES

Administration of the
Project
Office of Personnel Management
 Final Approval of Demo Project Plan
 Final Approval of Major Plan Changes
 Final Approval of Implementation
Regulations
 Annual Evaluations
 Reports to Congress
NOAA DEMO PROJECT
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 Demo policies,
procedures, position classification proposals, or
automated system changes
Oversee NOAA-wide training activities
Administration of the
Project
Department Personnel Management Board (DPMB)
 Members include DOC/Operating Unit Top
Management
 DOC Approval Authority for Project Plan
 DOC Approval Authority for Project Plan Change
 DOC Approval Authority for Implementing
Regulations
 Sets Project Policies
Administration of the
Project
DPMB (continued)
 Delegates Authorities to Operating
Personnel Management Boards (OPMBs)
 Authorizes Exceptions to Policies
 Establishes Project Training Plans
 Facilities Project Evaluation
Administration of the
Project
Operating Personnel Management Board (OPMB)
 Established for Each Line Operating Unit
(OAR, NMFS, NESDIS & PPI)
 Membership includes Operating Unit top
management
 Establishes Operating Unit guidelines within
delegated authorities
 Delegates authorities to Operating Unit managers
Administration of the
Project
OPMB (continued)
 Oversees training of Operating Unit
Management
 Requests exceptions to policies to DPMB
 Facilitates project evaluation
POSITION
CLASSIFICATION
Classification Objectives

Simplify classification process

Increase management authority,
accountability and flexibility
CLASSIFICATION
CURRENT

One Pay Schedule (GS for all
White Collar Occupations)
DEMO

4 Pay Schedules: “Career
Paths”
- Scientific & Engineering (ZP)
- Technical (ZT)
- Administrative (ZA)
- Support (ZS)

15 Grade Levels, each with
10 steps

5 “Pay Bands” with Range
of Salaries. No Steps

100’s of OPM Classification
Standards & Individualized
PDs.

Limited Number of DOC
developed standards
CAREER PATHS &
BROAD PAY BANDS
Career Paths
Scientific &
Engineering ZP
Pay Bands
II
III
I
Scientific &
Engineering
Technician ZT
I
Administrative
ZA
II
III
I
Support
ZS
I
II
Corresponding
GS Grade
1 2
3 4
II
III
IV
IV
III
IV
V
V
IV
V
V
5 6 7 8 9 10 11 12 13 14
15
Career Path Definitions
Scientific/
Engineering
(ZP)
 Two-grade interval professional technical positions in the
physical, engineering, biological, mathematical, computer
and social sciences; and student positions for training in
these disciplines.
 One-grade interval nonprofessional technical positions that
Scientific/
support scientific and engineering activities through the
Engineering
application of various skills and techniques in the electrical,
Technician
mechanical, physical science, biology, mathematics, and
computer fields; and student positions for training in these
(ZT)
skills.
Career Path Definitions
Administrative
(ZA)
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.
 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; and student positions for
training in these skills.
Purpose of Classification
To categorize positions by:
Career Path
Occupational Series
Pay Band
Title
Classification Principles
Provide classification equity
 Support the mission
 Consider the whole job
 Support “Pay-for-Performance”

Features of Pay
Banding
Fewer, broader and simpler standards
More understandable classification
Shorter position descriptions
Fewer classification decisions
Features of Pay Banding
(continued)
 Complements
pay for performance
 More flexible entry pay
 Better link to career stages
Features of Pay Banding
(continued)
Less documentation
Easier to automate
Facilitates delegation to line
managers
Features of Career Paths
Similar treatment for similar
occupations
Broader and simpler classification
standards
Focus on agency-specific work
Classification System
Automated Classification System
(http://hr.ohrm.doc.gov/acs/login.asp)
 User system
 Validation system
 Storage system
Automated Classification
System



Supervisors are the authorized users of the
system
Supervisors classify positions, as they create
position descriptions, through menu-driven
system
The ACS system stores created position
descriptions and from this database a position
description may be reviewed, copied, revised
and printed
Classification Logic
Principal Objective
Career Path
Series
Pay Band
Title
P D Components
Principle objective
 Level designation
 Specialty descriptors
 Key phrases
 Supervisory/Lead designation
 Special qualifications

STAFFING
STAFFING
MERIT SYSTEMS PRINCPLES
Staffing of all positions must be accomplished
within merit systems principles
PRIORITY CONSIDERATION
PROGRAMS
CTAP – DOC program designed to assist displaced
(RIF’d) employees in finding jobs before they
are separated from DOC.
ICTAP – Government –wide program designed to
assist displaced employee find federal jobs.
RPL – A computerized database of separated
(RIF’d) DOC employees who must receive
priority consideration for positions before an
offer of employment can be made to a non-status
or non-agency applicant.
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 outside government
– Vacancy announcement
– Open to all qualified candidates
– Subject to Career Transition Assistance Program
(CTAP/ICTAP)
– Veteran’s preference applies
– Paid advertising may be used
– Select from top 3 available applicants
Other Options to Fill
Vacancies









Reassignment
Transfer
Reinstatement
Details
Temporary Appointment
Term Appointment
Temporary Promotion
Realignment
Special Hiring Programs
Special Hiring Programs
Outstanding Scholar (3.5 GPA)
 VRA (Veteran’s Recruitment Authority)
 Handicapped
 IPA (Inter-Governmental Personnel Act)
 30% Disabled Veterans
 Student Employment Program

Probationary Period
Appointments of new Federal
employees into research and
development positions within the ZP
career path are subject to a three-year
probationary period
Appointment of new Federal
employees into non-research ZP
positions and all ZT, ZA, and ZS
positions are subject to a one-year
probation period.
REDUCTION IN FORCE
Reduction in Force
System
Follows all current RIF laws & regulations





Displacement limited to one band below
present level
Preserve retained pay and retained band
Augmented service credit based on score
Competitive area is career path commuting
area
Employs the use of RIF panels
RIF SYSTEM (continued)
Current
Demo

Displacement limited to three
grade levels

Displacement limited to current
pay band and one pay band
below

Competitive area; all
positions within organization
at geographic location

Competitive Area is all positions
in a career path in organization
within commuting area

Retained Grade & Retained
Pay

Preserve Retained Pay; Retained
Band

Augmented service credit
based on performance rating

Augmented service credit based
on score
Reduction in Force Credit
For Each pay pool:
- scores in top 30%
receive 10 years service credit
- scores below top 30% receive
5 years service credit
Applies to last 3 ratings during 4 -year
period for possible total of 30 years credit
Reduction-in-Force
Process
Human Resource Advisors
 Determine release from competitive level
 Conducts Qualifications Analysis
 Identifies positions for referral to RIF
subpanel(s)
 Convenes RIF subpanel(s)
RIF (continued)
RIF Subpanel
 Reviews positions for possible bump
 Refers possible positions to RIF Assignment
Panel (RAP)
 Comprised of two subject matter specialists
appointed by Chair-RAP
 HRA Serves as Technical Advisor &
Executive Secretary
RIF Assignment Panel
(RAP)






Reviews positions referred by RIF Subpanel for
possible bump
Requests additional info from organization
Makes final recommendations to servicing HR
Manager
Chaired by OPMB Chair
Top managers of organization participate as
members of RAP
HRA Serves as Technical Advisor & Executive
Secretary
Reduction-in-Force
Servicing HR Manager
 Receives & reviews recommendations from
RAP
 Discusses recommendations with RAP
 Makes final decision on the action
PAY ADMINISTRATION
Pay Issues

Locality pay is included in the Base Rate

Special Rates expand the pay band but
only for those occupations covered
Pay Setting
New Appointments
 Conversion Actions
 Competitive Reassignments
 Promotions (at least 6%)
 Change to Lower Band
 Change to Lower Interval

Pay Ceilings

Basic Pay for non-supervisory position maximum rate of Interval 3

Basic Pay for supervisory position maximum rate of Interval 5
Setting pay for New Hires
Pay for new hires can be set anywhere
within the pay band except for intervals 4
and 5
 Salary offers can be negotiated
 Recruitment bonus can be offered to
scientific, engineering and other hard to
fill positions
 Special salary rates expand the pay band

Things to Consider when
setting pay for a new hire









Qualifications of applicant and level of experience
Competitive salaries offered for similar positions
Comparison of salaries of existing staff
Expected learning curve & training requirements
Budget Issues in the organizations
Negotiation of salaries
Pay progression
ACI – Annual comparability increase
Eligibility for Performance increase – June 4th
Pay Setting Promotions
& Reassignments
Pay may be set anywhere at any level in the
new band
 Promotions must receive a minimum of a
6% increase
 Competitive movement from one position to
another within the same career path and pay
band
 No in band promotions

Recruitment Bonus
Criteria







Special Qualifications for hard to fill positions
High turnover rate
Relocation/Dislocation issues
May not exceed 25% of base salary
Paid in lump sum or incrementally
Service Agreement required
Salary comparability and salary offer issues
Retention Bonus Criteria
Highly qualified employee leaving federal
service
 OPMB approval required
 Emerging Technology
 May not exceed 25% of base salary
 Special qualifications
 Service Agreement required

Relocation Bonus
Criteria





May be paid when, in the absence of the bonus, it
will be difficult to fill a position.
Must be justified in writing.
A relocation bonus is calculated as a percentage of
the employee's rate of basic pay (may not exceed
25% of basic pay) and paid as a lump sum.
Before being paid a relocation bonus, the
employee must establish a residence in the new
commuting area.
Service Agreement required.
Supervisory Pay Criteria





Must be classified as supervisor
Up to 6% beyond top of pay band
Salaries for new supervisors are not set in intervals
4 and 5
Movement through intervals 4 and 5 must be
earned through annual performance increases
Supervisory pay is terminated if you leave a
supervisory position
PERFORMANCE
MANAGEMENT
What is Performance
Management ?
Planning work
 Monitoring work effort
 Developing employees
 Appraising employees
 Rewarding employees

System Overview
Two-level Rating System

- Eligible

- Unsatisfactory
Pay for Performance System

- Performance Pay Increase

- Bonuses

- Annual Comparability Increase
PAY FOR PERFORMANCE
Performance Pay Increases & Bonuses:
Current
Demo
–
General Increases
(Annual Comparability Increase)
Continue
–
–
–
WGI/Step Increase
QSI
Inband Promotion
Incentive Pay Pool
- Salary Increases
–
Special Act or Service Award
Bonus Pool
Rating Official
Defines critical elements
 Assigns weight to each critical element
 Establishes supplemental standards
 Conducts progress review
 Conducts performance review meeting
 Submits tentative rating
 Conducts final appraisal

Pay Pool Manager
Controls the pay pool
Renders final decisions on scores,
ratings, and performance pay
increases/bonuses
Reviewing Official

Who:
– Person at an organizational level above Pay
Pool Manager

Responsibilities:
– Review of performance decisions when Pay
Pool Manager and Rating Official are the
same person
Pay Pool

Organizational level where one or
more employees within same career
path are combined for performance
decisions
– Rating
– Score
– Performance Pay Increase
– Bonus
Rating Eligibility
An Employee is Ratable An Employee is NOT
if:
Ratable if:

Occupies a covered position as
of Sept 30 AND

Does not meet conditions
stated as Ratable

Has worked at least 120 days
in one or more covered
positions

Employee has been placed
on a Performance
Improvement Plan (PIP)
Performance Pay Increase
Ineligibility








Employee with other than an “Eligible” rating
Employees on a Performance Improvement
Plan
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 pay increase
Performance Improvement
Plan (PIP)
Discussion of deficiencies
 Must be in writing
 Reasonable opportunity to improve
 Steps supervisor will take to assist
 Consequences of failure to improve
 Concurrence from Servicing HR Office
and OGC

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
Temporary Promotions
If an employee has been on a
temporary promotion for at least 120
days, employee is rated on
temporary position
Plan Development

Remains the Same
– Determination of critical elements
– Assignment of weights
– Development of criteria for evaluation

Differences
– Pay Pool manager signs plan
– Benchmark Performance Standards
 Element point ranges are used
Performance Elements
All elements are critical
 Minimum of two
 Maximum of six
 Assign weight based upon importance
and/or time required
 Total weight must equal 100

Performance Plan Checklist





Are elements directly related to duties?
Are elements properly weighted to duties?
Are major activities directly related to
elements?
Are supplemental standards included as
appropriate?
Are elements/activities/standards clearly
described?
Evaluation Criteria

Benchmark performance standards

Supplemental standards
Progress Review
Require one review midway through cycle
 Discuss progress
 Identify strengths
 Identify needed improvements
 Provide guidance
 Determine if plan needs to be changed

Performance Plan
Modifications
 Modification
Requires Pay Pool
Manager/Reviewing Official
Signature
Performance Meetings

Performance review
– Employee must provide accomplishments to
supervisor in writing
– Supervisor/Employee discuss accomplishments
– No rating discussed at this meeting
– Supervisor & Pay Pool Manager discuss ratings

Evaluation feedback
– Present final rating
– Provide payout information
Evaluation Process
Rating Official (RO)



RO scores employees by peer group according
to performance using the Element Point
Ranges and Performance Standards
Submits rating, score, payout and bonus
recommendations to Pay Pool Manager (PM)
through any intervening higher level
supervisor(s)
Discusses ratings with Pay Pool Manager
Performance Ratings
and Indicators

Eligible
“E”, covers total scores ranging
from 40 to 100

Unsatisfactory
“U”, failure to meet the minimum
requirements of any element

Not Ratable
“N”, employee not eligible to
receive an appraisal

Pending
“P”, final rating pending results
of PIP
PAYOUT RULES
Highest scored employee receives highest
relative percentage payout
Tied scores may not receive same relative
payout
Lower scored employee cannot receive
greater relative percentage payout
INTERLEAVING SCORES
Pay Pool Manager
Rating Official #1
NAME
SCORE
COLETTE
ELLEN
CATHY
BRUCE
DENNIS
92
90
85
75
70
NAME
LYNN
COLETTE
ELLEN
CATHY
HENRY
BRUCE
DENNIS
MICHAEL
SUSAN
JOHN
SCORE
95
92
90
85
85
75
70
70
67
50
Rating Official #2
NAME
SCORE
LYNN
HENRY
MICHAEL
SUSAN
JOHN
95
85
70
67
50
Sample Pay Pool
Total Pool: 21,000
Name
Lynn
Colette
Ellen
Cathy
Henry
Bruce
Dennis
Mike
Susan
John
CP: ZP
Pool Amount Used: 20,630
Score
Salary
Percent
Range% Recd % of% Inc
95
92
90
85
85
75
70
70
67
50
46237
50278
37625
43380
37018
40301
53194
81914
47906
34423
0 - 12
0 - 07
0 - 15
0 - 12
0 - 15
0 - 15
0 - 10
0 - 04
0 - 10
0 - 15
7.2
4.2
9.0
6.0
7.0
6.0
3.0
2.0
5.0
0.0
60.0
60.0
60.0
50.0
46.6
40.0
30.0
50.0*
50.0*
00.0
3329
2112
3386
2602
2591
2418
1596
1638
958
0000
New
Sal.
49566
52210
41011
45982
39609
42719
54789
83552
48864
34423
Excess
180
*The % of % received is LARGER than a higher scored employee! Please fix it.
Actions Based On Poor
Performance

Unsatisfactory performance
–
–
–
–
–
Removal
Reduction in pay band/interval
Reassignment
Loss of comparability increase
Loss of consideration for performance pay
increase/bonus
Grievance Rights
Grievable
– Performance Score
– Rating
– Pay Increase
Not Grievable
– Performance Plan
– Bonus Decisions
Grievance Procedures




15 calendar days for employees to file a request
for reconsideration (informal grievance)
15 calendar days for management to formally
respond to informal grievance
10 calendar days for employee to file formal
grievance
90 calendar days for management to respond to
formal grievance
ADDITIONAL INFORMATION
For further information or questions, please
contact:
• Your Servicing Human Resources Office
• Line Office Systems Administrator
Additional resources are available at:
www.ohrm.os.doc.gov/Demo
www.wfm.noaa.gov