Transcript Department of Commerce Alternative Personnel System (CAPS) Overview

Department of Commerce
Alternative Personnel System
(CAPS)
Overview
Introduction
Administration
Position Classification
Staffing
Pay Administration
Performance Management
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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

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Administration
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CAPS Board
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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
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NOAA CAPS STEERING
COMMITTEE
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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
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Operating Personnel
Management Board (OPMB)


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Established for Each NOAA Participating
Operating Unit
Establishes Operating Unit guidelines
Delegates authorities to FMC Deputies
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POSITION
CLASSIFICATION
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Classification Principles
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Provide classification equity
Simplify the process
Support the mission
Consider the whole job
Reinforce management accountability
Support pay for performance
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Purpose of Classification
To categorize positions by:
 Career Path
 Occupational Series
 Pay Band
 Title
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Automated Classification
System
User System - Supervisors
 Validation System - HR
 Storage System - Both

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Position Description
Components
Principle objective
 Level designation
 Specialty descriptors
 Key phrases
 Supervisory/Lead designation
 Special qualifications

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Transition
GS

One Pay Schedule (GS for all
White Collar Occupations)
CAPS

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

Many OPM Classification
Standards & Individual PDs

Limited Number of DOC
developed standards
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Features of Career Paths
 Similar treatment for similar occupations
 Broader and simpler classification standards
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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 non-professional 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 assistants and student positions for
(ZT)
training in these skills.
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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; assistants, and student
positions for training in these skills.
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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
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STAFFING
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Staffing Options

Merit Assignment Program (MAP)
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Delegated Examining (DE)
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Merit Assignment Program
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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
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Delegated Examining
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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
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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.
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REDUCTION IN FORCE
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Reduction in Force (RIF)
System
Follows all current RIF laws & regulations
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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
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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
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PAY ADMINISTRATION
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Features of Pay Banding
 Flexible pay-setting upon:
- Hiring
- Promotion (at least 6%)
- Competitive reassignment
- Appointment Conversion
 More understandable pay progression
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Pay Issues
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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
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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
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Pay Ceilings
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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
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Intervals and Potential
Annual Increase Examples
ZA – ADMINISTRATIVE (CONT.)
ZA - ADMINISTRATIVE
Band
V
(GS 15)
Interval
Increase
4–5
3
2
1
0% – 4%
0% – 4%
0% – 5%
0% – 6%
IV
(GS 13–14) 4 – 5
3
2
1
III
(GS 11–12) 4 – 5
3
2
1
0% – 6%
0% – 6%
0% – 8%
0% – 10%
0% – 7%
0% – 7%
0% – 12%
0% – 15%
Band
Interval
II
(GS 7–10) 4 – 5
3
2
1
I
(GS 1–6) 4 – 5
3
2
1
Increase
0% – 8%
0% – 8%
0% – 16%
0% – 20%
0% – 7%
0% – 7%
0% – 12%
0% – 14%
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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
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PERFORMANCE
MANAGEMENT
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Transition
GS
Demo
–
5 Level – 5, 4, 3, 2, 1
Eligible, Score
–
General Increases
(Annual Comparability
Increase)
Continue
–
–
–
WIGI/Step Increase
QSI
In-band Promotion
Incentive Pay
- Salary Increases
–
Special Act or Service Award
Performance Bonuses
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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
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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
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Rating Eligibility
An Employee is Ratable An Employee is NOT
if:
Ratable if:

Occupies a covered position as
of Sept 30 AND
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Has worked at least 120 days in
one or more covered positions
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Does not meet the definition
of ratable
Employee has an approved
Performance Improvement
Plan (PIP) in place as of
September 30
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Performance Pay Increase
Ineligibility
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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
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Bonus Ineligibility

Employees with other than an “Eligible”
Rating *
Employees on a Performance Improvement
Plan
Faculty Appointees
Temporary Student Appointees
•
*NOTE:
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Employees are eligible if they have a Department of
Commerce rating equivalent to Fully Successful or better in the last 13
months
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Performance Elements
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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
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Progress Reviews
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One Progress Review required midway through
cycle
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Rating Official and Employee:
- Discuss progress and any problems
- Consider appropriate guidance
- Determine if Plan needs to be changed
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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
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Performance Ratings
and Indicators

Eligible

Not Ratable
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Pending

Unsatisfactory
“E”, covers total scores
ranging from 40 to 100
“N”, employee not eligible to
receive an appraisal
“P”, final rating pending
results of in-place PIP
“U”, failure to meet PIP
requirements of
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INTERLEAVING SCORES
Pay Pool Manager
(ZP)
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
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Rating Official #2
NAME
SCORE
LYNN
HENRY
MICHAEL
SUSAN
JOHN
95
85
70
67
50
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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
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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.
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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
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Employee
Reconsideration Rights
 Reviewable
– Rating
– Performance Score
– Pay Increase
 Not Reviewable
– Performance Plan
– Bonus Decisions
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Grievance Procedures
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
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.
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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
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