NSPS Pre-Conference Workshop

1. NSPS Pre-Conference Workshop December 8, 2008

2. Agenda Panel Introduction NSPS at NPS NSPS Overview Job Objectives & Contributing Factors Assessments & Performance Indicators Pay Pool Compensation Management

3. NSPS at NPS Converted 10/28/07 Only converted 60 employees Over 350 remain on General Schedule/FWS Converted Supervisors and Professional Approximately 35 rating officials One pay pool � 10 panel members Current NSPS population 65 and growing

5. The system is intended to attract, develop, retain, and reward high-performing employees through appropriate compensation Regulations provide framework for DoD to move towards market sensitive pay Consideration of local market conditions to set pay band rates Market factors taken into account on setting pay for new hires Annual performance pay increases Based on performance/contribution to mission, rather than longevity Performance expectations linked to strategic department goals and objectives Larger increases to outstanding performers Increases not given to unacceptable performers Safeguards built into performance appraisal process to promote fairness, transparency, and accountability  Adjustments to rate ranges determined by Secretary � increases associated with rate range adjustments not given to unacceptable performers Greater flexibility in pay setting upon promotion, reassignment, etc. Pay/Compensation

6. Performance Management Designed to foster a high-performing culture, encourage employee engagement and robust communication, and enhance the overall effectiveness of the Department Cornerstone of a successful performance-based pay system Supervisors work with employees to establish performance goals and expectations, aligned with mission-related goals Recognition of conduct (behavior, professional demeanor) as an element of performance Ongoing feedback and communication between supervisor and employees Intense training (employees, supervisors, managers, HR community) Ratings reflect meaningful distinctions in employee performance (no forced distribution or quotas) Formal process established to challenge ratings

7. Hiring/Staffing Flexibilities to improve hiring processes, attract high-quality applicants, and enable DoD to meet critical mission requirements, while respecting principles of merit and fitness, and preserving veterans� preference DoD, with OPM, may establish new hiring authorities, tailored to DoD�s needs No change in veterans� preference Government-wide hiring authorities and tools retained Direct-hire authority for severe shortage or critical needs vested in Secretary Opportunity to improve, streamline examining procedures to speed up the hiring process Ability to offer more competitive, market-sensitive compensation

8. Training NSPS 101 - http://www.cpms.osd.mil/nsps/index.html Navigating NSPS Employee version Supervisor version Contractor led training Writing job objectives Self Assessment, Pay Pool & You Optional individual training available through Navy Knowledge Online (NKO)

9. Briefings Leadership updates Town hall meetings with employees and supervisors Brown bag lunches Follow-up briefings regarding lessons learned and results from the Mock Pay Pool

10. Job Objectives

11. Planning Performance Establish a written performance plan Identify Organizational Goals Identify desired outcomes of the work to be accomplished Identify how outcomes will be measured Consider performance indicators Select contributing factor(s) � recommend only 1 Establish weighting Communicate the written performance plan

12. SMART Objectives S � Specific M � Measurable A � Aligned R � Realistic T � Time bound

13. SMART Objectives Specific � State the expected accomplishment that can be observed. An objective must define an observable action, behavior, or achievement; link to a level of performance, frequency, percentage, or other number. �Specific� is related to the result, not the activities to achieve that result Measurable � State the criteria for measuring accomplishments. Provide a method to allow tracking, recording, and validation of quality of a specific behavior, action, or outcome. Define quantity (how many), quality (how good), resources (how much), and time (how long, how often).

14. Attributes of Good Measures Meaningful to customer Tells how well organizational goals and objectives are being met through processes Simple, understandable, logical and repeatable Shows a trend Clearly defined Data is economical to collect Timely Drives the appropriate action

15. Aligned � Draw a line of sight between the work of the employee, the goals of the work unit, and the mission of the organization. Well-written job objectives ensure that all employees are working toward shared goals. Realistic � Set realistic objectives so that the expected results can be achieved with available resources and time and are under the employee�s control. The objective should be sufficiently complex to challenge the individual but not so complex that it cannot be accomplished. Set relevant objectives so that expected accomplishments are commensurate with the major responsibilities and salary of the employee. SMART Objectives

16. Time Bound � State the timeline for expected results. For long-term projects that require more than one rating cycle to accomplish, job objectives should identify what results are expected within the rating cycle. The time component can be specific (by 1 July, end of 4th quarter), relative to another event (six months after�), or recurring (quarterly). SMART Objectives

17. Common Errors The objective is vague. The objective is not measurable or verifiable. The objective is too complex or lengthy. The objective is not tied to a timeline. Progress needs to be made by the end of the rating cycle. The objective places emphasis on inappropriate aspects of the work. The employee has too many objectives. The objective is not appropriate for the salary level of the employee.

18. Evaluating Job Objectives Is the outcome clearly identified? Is the objective measurable or quantifiable? Remember: Everything is measurable in some way, shape or form. Is the objective recognizably aligned to the correct organizational goal for the rating cycle. How does achieving the objective lead to or assist in accomplishing the organization�s mission? Does the objective establish time requirements?

19. Example 1 Systems Medical Librarian Throughout the performance year and in support of quality patient care, education and research ensure that 90% of all networking issues and computer problems are reported within one working day to the Information Management Department Trouble Desk.

20. Example 2 Research and Reference In support of the university's mission in preparing leaders to evaluate national security challenges, provide accurate and timely research and reference services. Answer requests for research and/or information within 2 business days, or time set by patron, for at least 90% of requests during rating period. At least 95% of answers are accurate and complete as indicated by patrons' responses, library survey results and supervisor's review for compliance with RIS written guidelines.

21. Example 3 Management of Library Systems and Operations� S- Manage the acquisition, installation, operation and support of Library systems.  M - Track work progress and stakeholder priorities on a quarterly basis. Actively solicit regular stakeholder input to stay in line with changing requirements. Take advantage of collaborative opportunities and resources as they arise. Ensure minimal unanticipated interruptions to Library services.  A � Analyze, document and follow stakeholders� functional and technical requirements. Adhere to applicable directives and regulations. Prioritize work based on Library and institutional goals.  R- Assumes resources are available to complete work.  T- Follows timelines agreed upon with stakeholders. Provides status updates to stakeholders at least three times a quarter. �

22. Contributing Factors

23. What is a Contributing Factor? Contributing factors describe the manner in which the job objectives were achieved. It is the �how� as compared to the �what� of the job objective. They assess work behaviors. The qualitative evaluation of how you conduct yourself in the accomplishment of the objective. Further defined by �work behaviors� and � benchmark descriptors�Described in the benchmark descriptions at the �Expected� and �Enhanced� level. Standard across DoD

24. Contributing Factors DoD has defined 7 contributing factors: Communication Cooperation & Teamwork Critical Thinking Customer Focus Leadership Resource Management Technical Proficiency

25. CF Example

26. Selecting Contributing Factors At least one contributing factor must be selected for each objective. Tied to objective, rather than employee. They should reflect the manner of performance important for accomplishing the objective. �Leadership� must be selected for the supervisory job objective.

27. Summary Objectives should be written jointly by employee and rating official Objective should be achievable Communicate specific individual, team or organizational responsibilities and expected contributions and related outcomes Draw a line of sight between the employee�s work, the work unit�s goals and the organization�s success in accomplishing it�s mission Should be outcome-based & mission-focused Should be appropriate for current salary and pay band May be weighted Can change during the course of the rating cycle.

28. Assessments

29. Self-Assessments Document your measurable results Portrays a complete picture of your accomplishments Make a connection between what you did and how you did it and why it helped the organization. Note the challenges that you faced and how you addressed them Include additional accomplishments Is the basis for determining how your performance will be rated and rewarded

30. Rating Official Assessment Completes the picture of the employee�s performance Supplements the self assessment with additional measurable results Communicates added value Is the basis for determining the recommended ratings

31. Performance Indicators Applied in the rating of job objectives Describe levels or thresholds of performance Standardized across the DoD Arranged by pay schedule and pay band Defined benchmarks at Level 3 and Level 5 performance Performance indicators are general descriptions of levels or thresholds of employee performance that are used to measure, evaluate, and score an employee�s achievement of his or her job objective. Performance Indicators are standardized across the DoD to allow the assessment of individual levels of performance. The performance indicators act as guidelines to provide a consistent measuring stick for performance. Each job objective is evaluated based on the employee�s accomplishments related to his or her job objectives and measured by the application of the performance indicators. Performance indicators are general descriptions of levels or thresholds of employee performance that are used to measure, evaluate, and score an employee�s achievement of his or her job objective. Performance Indicators are standardized across the DoD to allow the assessment of individual levels of performance. The performance indicators act as guidelines to provide a consistent measuring stick for performance. Each job objective is evaluated based on the employee�s accomplishments related to his or her job objectives and measured by the application of the performance indicators.

32. PI Example

33. CF Example

34. PIs & CFs Performance indicators are the tools used to determine the level of performance. When writing assessments, provide examples for each objective of how you or your employee performed at the rating level using the PI information as a guide. Contributing factors describe the manner in which the job objectives were achieved by assessing the work behaviors. Consider the behaviors you would expect to see at both the expected and the enhanced levels. Provide examples for each objective.

35. Example � Self-Assessment OBJECTIVE: I successfully met the objective of supporting the Library's goal of archiving and making available NPS documents and other research items of interest.RESULTS:* Identified, reviewed and extracted more than 1000 NPS public release items in Library's restricted collection to make them available to a broader audience via the Library's open collection,* Planned for the upcoming re-shelving of the restricted collection, ran reports and generated list of documents for review and potential removal from the collection. When staff originally identified for carrying out the shifting were moved to another project, I took the initiative to take on their task myself, and was able to complete 12% of the re-shelving.CONTRIB. FACTOR (Critical Thinking):* Achieved enhanced performance level for the contributing factor by providing supervisor with a proposal and data for extending compacting and re-shelving plan to the unclassified thesis collection* Contributed results beyond the objective by identifying and extracting over 200 additional public release documents for adding to the open source catalog.ADDED VALUE:Due to staff shortages, this process has been neglected for over a decade. It is critical for ensuring that: * documents in the collection are stored properly and are do not incur physical damage,* documents are reviewed for appropriateness of content and classification level,* security requirements are met and that NPS is an effective steward of its classified and restricted collections.

36. Pay Pools

37. Pay Pool Structure Organizations may have multiple pay pools Consisting of 35 to 350 employees DoN recommendation is 50 to 150 employees Considerations Business need Organization structure and/or mission Employee job function and/or location

38. Roles Performance Review Authority Highest level reviewer Provides financial guidance Oversees pay pool manager Decides challenges to ratings of record Pay Pool Manager (PPM) Ensures equality across the pay pool Reconciles ratings, shares and payouts Higher Level Reviewer Ensures quality of written assessment Reviews recommended ratings, shares and payout Rating Official Usually the immediate supervisor who is approved by the PPM to assess the employee

39. Funding

40. Pay Pool Process - NPS Panel members receive book containing: Job Objectives Self-Assessment Rating Official Assessment Panel members review information and come to meeting prepared to discuss each employee. Rating official assessments are reviewed with the performance indicator and contributing factor information. If additional input is required, panel contacts rating official during deliberations. Panel votes on recommended rating and PPM notifies rating official if changes are required.

41. Rating Distribution

42. Compensation Management DoN Guidance

44. What�s in it for you? Recognizes and rewards employees based on performance and value of personal contributions to mission Opens communication between supervisors and employees: all know expectations Encourages employees to take ownership of their performance and success Promotes broader skill development and advancement opportunities in pay bands

45. DoN Lessons Learned We did not know what we did not know Needed to develop compensation guidance Needed to develop salary ranges within the pay bands for our most populous and most critical positions Needed to define expectations for the workforce Communicate � communicate � communicate

46. DoN Compensation Management Framework Establishes structured flexibility for lifecycle management of compensation and performance under NSPS Provides a consistent approach to managing compensation Helps managers make good compensation decisions Uses compensation models that integrate the value of the position with the employee competencies and performance

47. Compensation Model

48. YA-2210-02

49. YA-14XX-02

50. YC, YN-XXXX-02

51. YC, YN-XXXX-03

52. Contact Information Julie Carpenter: jcarpenter@nps.edu Laura Cole: lacole@nps.edu Greta Marlatt: gmarlatt@nps.edu Eleanor Uhlinger: euhlinger@nps.edu