Five-Level Performance Management System

1. Five-Level Performance Management System

2. Caveat for Bargaining Unit Employees • The following presentation is intended for: • Non-bargaining unit employees OR • Bargaining unit employees whose labor unions have completed negotiations on the five-level performance management system

3. What is Performance Management? • Performance plan • Midterm or progress review • Final appraisal

4. Performance Management is also: • The exchange of ideas and informal discussions with your supervisor • How management communicates the NOAA goal(s) and objective(s) your work supports • How you and your supervisor can identify training needs and career development

5. Current Performance Management • Covered by two-level, or pass-fail, performance management system • Includes all General Schedule and Federal Wage System employees as well as Wage Marines • At end of appraisal cycle, most employees will receive a “Meets or Exceeds Expectations” rating

6. Migration to Five-Level System • All current two-level employees will switch to five-level performance management system • Effective 10/01/06 for all non-bargaining unit employees or after labor relations obligations have been completed • Includes all General Schedule and Federal Wage System employees as well as Wage Marines • Not Demonstration Project employees

7. What does change to five-level mean? • By end of October, employees will receive final, two-level appraisal • Wage Marines will receive this by end of November • By end of November (Dec. for Wage Marines), employees will receive new performance plan to be rated on five-level system • At end of next appraisal cycle, you will receive a: Level 5 (highest), Level 4, Level 3, Level 2, or Level 1 (unacceptable)

8. Five-Level Performance Planning • Plans recorded on new form: CD-430:http://www.osec.doc.gov/forms/pdf/cd430fll.pdf • Plan must be presented to you within 60 days of beginning of appraisal cycle • Plans must contain between 3 and 5 critical elements which describe the nature of your duties • Required for all employees: Customer Service element • Each critical element must support both DOC and NOAA organizational goals

9. CD-430, Critical Element Page

10. Element and Objective • Element: brief description or title of the duties contained in this element • Ex. – Customer Service • Objective: goal of element • Ex. – To respond to internal and external customers, stakeholders, and the public

11. CD-430, Critical Element Page

12. DOC Goal/NOAA Goal • Indicates both the Commerce and NOAA organizational goals that your work on that element supports • Each employee’s duties must advance DOC and NOAA strategic goals

13. Commerce Strategic Goals • Provide the information and tools to maximize U.S. competitiveness and enable economic growth for American industries, workers, and consumers. • Foster science and technological leadership by protecting intellectual property, enhancing technical standards, and advancing measurement science. • Observe, protect, and management of the earth’s resources to promote environmental stewardship. • Management Integration Goal:  Achieve organizational management excellence.

14. NOAA’s Mission Goals and Mission Support Goal • Protect, Restore, and Manage the Use of Coastal and Ocean Resources through an Ecosystem Approach to Management • Understand Climate Variability and Change to Enhance Society's Ability to Plan and Respond • Serve Society's Needs for Weather and Water Information • Support the Nation's Commerce with Information for Safe, Efficient, and Environmentally Sound Transportation • Provide Critical Support for NOAA's Mission

15. Linking Plans to Goals Weather/Water Commerce/ Transportation Ecosystems Climate Support SES Supervisor Employee

16. CD-430, Critical Element Page

17. Weight • Each critical element is weighted with a percentage: Ex. – 25% • Weight of all critical elements in a plan must equal 100% • Weight designates the importance of that element in advancing organizational goals • Minimum weight = 15%

18. CD-430, Critical Element Page

19. Results of Major Activities • Lists 3 -6 duties involved in that critical element • Activities should be results-oriented • Draft agency policies are created within the framework of government-wide regulations • Activities will not contain evaluative language • Ex. – Accurate reporting; timely submissions

20. CD-430, Critical Element Page

21. Criteria for Evaluation/Supplemental Standards • Depict the level of work required to earn a Level 3 on that critical element: Quality, Quantity, Timeliness, Cost-Effectiveness • Work above the described level = Level 4 or Level 5 rating • Work below the described level = Level 2 or Level 1 • Ex. – Submissions are usually accurate and are usually submitted by the established deadline

22. Generic Performance Standards • Used in addition to Supplemental Standards to give general guidelines on how to achieve each rating level (Level 5, Level 4, etc.) • Part of CD-430, performance plan • Can also be found online: http://ohrm.os.doc.gov/Performance/ssLINK/prod01_001139

23. Finalizing Your Performance Plan • Ensure that you understand required duties and how they link to organizational goals • Ensure that Level 3 work described in Supplemental Standards are achievable • Sign and date plan • If you refuse to sign, the plan is still in effect and supervisor notes refusal to sign

24. Progress Reviews • One progress review required at mid-point of appraisal cycle (approx. March or April) • Additional progress reviews can be requested by employee or supervisor • Supervisor documents that performance is at or above Level 3 or indicates elements on which performance is below Level 3 • Note: When performance falls to Level 1, supervisor will establish a Performance Improvement Plan (PIP)

25. End-of-Year Appraisals • Eligibility for Rating: • Must have worked at least 120 days in one or more covered positions during the appraisal cycle • Must occupy a covered position on the last day of the performance cycle • Employees should compile a listing of accomplishments completed during appraisal cycle • Employee may request a pre-appraisal meeting to present accomplishments listing

26. Performance Appraisal Meeting • Supervisor presents employee with final rating: • Level 5, Level 4, Level 3, Level 2, or Level 1 • Level 1 on any critical element = Level 1 final rating • Must be conducted within 30 days of end of cycle • Supervisor must have provided overall justification of rating or must have justified each critical element • Employee signs and dates signaling discussion of final rating with supervisor • Employee may refuse to sign

27. How a Final Rating is Determined • Supervisor rates each critical element from 1 – 5, using Supplemental/Generic Standards as guide • Only whole numbers: Level 4, not Level 4.5 • Supervisor multiplies rating on each critical element by weight on that critical element • Ex. – 15 (%) x (Level) 4 = 60 points • Points for each critical element are totaled • Use scale to determine which rating corresponds to point total

28. Example • Critical Element 1 is 30% of plan Rated at Level 4 30 x 4 = 120 points • Critical Element 2 is 30% of plan Rated at Level 3 30 x 3 = 90 points • Critical Element 3 is 20% of plan Rated at Level 5 20 x 5 = 100 points • Critical Element 4 is 20% of plan Rated at Level 4 20 x 4 = 80 points 120 + 90 + 100 + 80……………TOTAL = 390 points

29. Scale Overall Score Summary Rating • 470 – 500 points Level 5 • 380 – 469 points Level 4 • 290 – 379 points Level 3 • 200 – 289 points Level 2 • 100 – 199 points Level 1 Example from Previous Slide: • 390 points translates into a Level 4 rating

30. Reconsideration of Rating • If employee is not satisfied with rating, he/she may request reconsideration • Informal Reconsideration: work with rating and approving officials to justify higher rating • Formal Reconsideration: processed under the appropriate negotiated grievance procedures or under the DOC’s administrative grievance procedure

31. Performance Awards • Performance awards will be reinstated under five-level system • Highest performers will receive highest awards • Other awards--Special Act, Time Off, CIYA--still available for use throughout year

32. For more information… • http://ohrm.os.doc.gov/Performance/PROD01_001118 • DOC training video:http://www.wfm.noaa.gov/performancemgmt/media/test.asx • Or contact your servicing Human Resources Advisor