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Department of Commerce Alternative Personnel System (CAPS) Overview.

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Presentation on theme: "Department of Commerce Alternative Personnel System (CAPS) Overview."— Presentation transcript:

1 Department of Commerce Alternative Personnel System (CAPS) Overview

2 2 Introduction Administration Position Classification Staffing Pay Administration Performance Management

3 3 Objectives l Increase efficiency of personnel system l Strengthen management accountability l Improve ability to hire, motivate and retain staff l Promote stronger partnerships l Emphasize pay for performance l Ensure fairness and equity

4 4 Administration

5 5 CAPS Board l Members include Senior Management Officials l DOC Approval Authority for Project Plan and Change/Implementing Regulations l Sets Project Policies l Delegates Authorities to Operating Units l Authorizes Exceptions to Policies

6 6 NOAA CAPS STEERING COMMITTEE l Members include Deputy Assistant Administrators for each NOAA Participating Operating Unit l Evaluate, propose, review and provide comments or recommendations on policies, procedures and system changes l Oversee implementation of CAPS policies, procedures, position classification proposals, or automated system changes l Oversee NOAA-wide training activities

7 7 Operating Personnel Management Board (OPMB) l Established for Each NOAA Participating Operating Unit l Establishes Operating Unit guidelines l Delegates authorities to FMC Deputies


9 9 Classification Principles l Provide classification equity l Simplify the process l Support the mission l Consider the whole job l Reinforce management accountability l Support pay for performance

10 10 Purpose of Classification To categorize positions by: Career Path Occupational Series Pay Band Title

11 11 Automated Classification System User System - Supervisors Validation System - HR Storage System - Both

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

13 13 Transition GS R One Pay Schedule (GS for all White Collar Occupations) R 15 Grade Levels, each with 10 steps R Many OPM Classification Standards & Individual PDs CAPS R 4 Pay Schedules: “Career Paths” - Scientific & Engineering (ZP) - Technical (ZT) - Administrative (ZA) - Support (ZS) R 5 “Pay Bands” with Range of Salaries. No Steps R Limited Number of DOC developed standards

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

15 15 Career Path Definitions 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 (ZP) Scientific/ Engineering Technician (ZT) Two-grade interval professional technical positions in the physical, engineering, biological, mathematical, computer and social sciences; and student positions for training in these disciplines.

16 16 Career Path Definitions 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. 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.

17 17 CAREER PATHS & BROAD PAY BANDS Career PathsPay Bands Scientific & Engineering ZP IIIIIIIVV Scientific & Engineering Technician ZT IIIIIIIVV Administrative ZA IIIIIIIVV Support ZS IIIIIIIVV Corresponding GS Grade


19 19 Staffing Options Merit Assignment Program (MAP) Delegated Examining (DE)

20 20 Merit Assignment Program l 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 21 Delegated Examining l Staffing Program Designed to Recruit from Sources Inside and Outside Government l 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 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.


24 24 Reduction in Force (RIF) System Follows all current RIF laws & regulations l Displacement limited to one band below present level l Preserve retained pay and retained band l Competitive area is career path commuting area l Current credit transferred on prorated basis l Augmented RIF service credit based on score

25 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


27 27 Features of Pay Banding Flexible pay-setting upon: - Hiring - Promotion (at least 6%) - Competitive reassignment - Appointment Conversion More understandable pay progression

28 28 Pay Issues l Salary range includes locality pay l Special Rates expand the pay band but only for those occupational series covered l One-year period for special pay adjustment for employees eligible for career ladder promotion l One-time payment to conversion employees eligible for within-grade increase, pro-rated for value of waiting time for next increase

29 29 Annual Comparability Increase (ACI) All employees receive the ACI except: l 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 l Employees with an “Unsatisfactory” rating

30 30 Pay Ceilings l Each pay band has five Intervals l 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 l Performance Pay for supervisory positions is maximum rate of Interval 5

31 31 Intervals and Potential Annual Increase Examples ZA - ADMINISTRATIVE BandIntervalIncrease V (GS 15) 4 – 50% – 4% 30% – 4% 20% – 5% 10% – 6% IV (GS 13–14) 4 – 50% – 6% 30% – 6% 20% – 8% 10% – 10% III (GS 11–12) 4 – 50% – 7% 30% – 7% 20% – 12% 10% – 15% ZA – ADMINISTRATIVE (CONT.) BandIntervalIncrease II (GS 7–10)4 – 50% – 8% 30% – 8% 2 0% – 16% 1 0% – 20% I (GS 1–6)4 – 50% – 7% 30% – 7% 2 0% – 12% 1 0% – 14%

32 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


34 34 Transition GS –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 Demo

35 35 Rating Official (Supervisor) l Defines critical elements l Assigns weight to each critical element l Conducts progress review meeting l Conducts performance review meeting l Submits tentative rating and scores l Conducts evaluation feedback meeting

36 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 37 Rating Eligibility An Employee is Ratable if: l Occupies a covered position as of Sept 30 AND l Has worked at least 120 days in one or more covered positions An Employee is NOT Ratable if: l Does not meet the definition of ratable l Employee has an approved Performance Improvement Plan (PIP) in place as of September 30

38 38 Performance Pay Increase Ineligibility l Employee with other than an “Eligible” rating l Received a pay adjustment within the last 120 days of the rating cycle (includes promotion) l ST 3104 appointees l Faculty appointees l Temporary Student appointees l Employees who are salary-capped l Employees on retained pay - NOTE: Employees on retained pay band are eligible for a performance pay increase

39 39 Bonus Ineligibility l Employees with other than an “Eligible” Rating * l Employees on a Performance Improvement Plan l Faculty Appointees l 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 40 Performance Elements l All Plan elements are critical - Minimum of two - Maximum of six l Element weights based upon importance, complexity and/or time required l Total of weights must equal 100 l Evaluation based on use of Benchmark Performance Standards/Point Ranges l Performance Attributes Tool available for ratings determination

41 41 Progress Reviews l One Progress Review required midway through cycle l Rating Official and Employee: - Discuss progress and any problems - Consider appropriate guidance - Determine if Plan needs to be changed

42 42 Performance Meetings l 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 l Evaluation Feedback Meeting –Rating Official Presents final rating and Provides payout information

43 43 Performance Ratings and Indicators l Eligible“E”, covers total scores ranging from 40 to 100 l Not Ratable“N”, employee not eligible to receive an appraisal l Pending“P”, final rating pending results of in-place PIP l Unsatisfactory“U”, failure to meet PIP requirements of


45 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 46 Sample Pay Pool Total Pool: 21,000 CP: ZP Pool Amount Used: 20,630 Percent New Name Score Salary Range% Recd % of% IncSal.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 47 Actions Based On Poor Performance l 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 48 Employee Reconsideration Rights Reviewable –Rating –Performance Score –Pay Increase Not Reviewable –Performance Plan –Bonus Decisions

49 49 Grievance Procedures l 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 l 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 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

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