Department of Commerce Alternative Personnel System (CAPS) Overview

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

2. 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 categorizepositions 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. 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 Transition

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

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. 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% Intervals and Potential Annual Increase Examples

32. Supervisory PerformancePay • Full supervisory authority • 25% of time • No immediate pay increase. Advancement through Interval 5 based solely on annual performance score • Applies only whilein 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

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. 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 Rating Eligibility

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 Ratingsand 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

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 95 46237 0 - 12 7.2 60.0 3329 49566 Colette 92 50278 0 - 07 4.2 60.0 2112 52210 180 Ellen 90 37625 0 - 15 9.0 60.0 3386 41011 Cathy 85 43380 0 - 12 6.0 50.0 2602 45982 Henry 85 37018 0 - 15 7.0 46.6 2591 39609 Bruce 75 40301 0 - 15 6.0 40.0 2418 42719 Dennis 70 53194 0 - 10 3.0 30.0 1596 54789 Mike 70 81914 0 - 04 2.0 50.0* 1638 83552 Susan 67 47906 0 - 10 5.0 50.0* 958 48864 John 50 34423 0 - 15 0.0 00.0 0000 34423 *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 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.

50. 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