The Five-Level Performance Management System

1. The Five-Level Performance Management System July 2011

2. CAVEAT • Please note that this presentation is intended for managers and supervisors and is not intended for bargaining unit members. • If you are a member of a bargaining unit, you will receive training after labor relations obligations have been completed.

3. Goals of New System • Meaningful distinctions in performance • Linking individual performance to organizational performance • Unified system across DOC

4. Policy • DAO 202-430 • Signed: 10/13/2005 • http://ohrm.os.doc.gov/Performance/ssLINK/prod01_001119 • Performance Management Handbook: • Signed: 10/13/2005 • http://ohrm.os.doc.gov/Performance/PROD01_001123

5. NOAA Rollout • 09/06 – 10/06: Closeout of FY06, two-level plans • 10/01/06: Five-level system effective • 11/30/06: Five-level plans in place for all covered employees

6. Covered Employees • General Schedule • Wage Marines • Federal Wage System

7. Appraisal Cycles • October 1 – September 30 (FY) • Except: • Wage Marines: November 1 – October 31

8. Five Rating Levels • No adjectives • Level 5, Level 4, Level 3, Level 2, and Level 1 • Level 3 = employee meeting but not exceeding performance standards • Level 1 equivalent to “Unacceptable”

9. Eligibility for Rating • 120 days – Minimum Appraisal Period • Must occupy covered position on last day of cycle to be eligible for rating • Supervisors do not have minimum appraisal period to rate

10. Performance Planning • Plans must be established within 60 days • New form: CD-430 to replace CD-516 • http://www.osec.doc.gov/forms/pdf/cd430fll.pdf • Each element is linked to an organizational goal

11. CD-430, Critical Element Page

12. 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 • Evaluative language is: Accurate reporting; timely submissions

13. Department of Commerce Goals Three 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 manage the earth’s resources to promote environmental stewardship. Management Integration Goal: •   Achieve organizational management excellence.

14. NOAA Goals Four Mission GOALS: • 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 Mission Support Goal: • Provide Critical Support for NOAA's Mission

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

16. Performance Elements • All elements are critical • Minimum of 3, maximum of 5 • Mandatory elements: • Customer Service for all employees • Leadership for all supervisors • Purchase Card Responsibilities (Holders and Approving Officials) • Leadership/Management (Hiring Reform) for all rating officials • Complete listing at: • http://www.wfm.noaa.gov/performancemgmt/5LevelPortal.html • All elements are weighted (by percentage) • 15% is minimum

17. Performance Standards • Generic Performance Standards • Applicable to all critical elements • http://ohrm.os.doc.gov/Performance/ssLINK/prod01_001139 • Supplemental standards are required

18. Supplemental Standards Credible Measures

19. HR Specialist • Critical Element: Incentive Awards Program • Objective: To manage and disseminate info/guidance on awards programs available to NOAA employees and to plan associated recognition ceremonies. • Results-Oriented Activities: • Gold and Silver Medal nominations are submitted to DOC. • NOAA’s Incentive Awards Board (NIAB) is convened and provides recommendations on award recipients to the VADM. • Awards ceremonies are planned and carried out. • Supplemental Standards: • Gold/Silver Medals are submitted to DOC within 1 week of the deadline established by DOC • NIAB is provided w.ith well-organized review materials (as judged by the Chair) and meets at least 3 times a year to coincide with each major awards cycle. • Ceremonies are planned within budget restrictions and reflect a high-level of detail and organization (as judged by the Dir for WFMO).

20. Management Analyst • Critical Element: Management of the NWS Directives System (NDS) • Objective: To ensure that needed guidance and technical assistance are provided to internal and external users of the NDS. • Results-Oriented Activities: • Policy and procedural guidance is issued to writers using the NDS. • Reports are prepared and disseminated to appropriate offices/individuals. • Support is provided to NDS Cadre members. • Supplemental Standards: • Guidance on the NDS is clear, concise, and usually factually correct (as judged by NDS users). • Reports issued to offices/individuals are usually accurate. When errors are found, they are corrected within 5 working days. • NDS users’ requests for assistance are responded to within 3 working days.

21. EEO Manager (GS-13) • Critical Element: ADR Counseling Team Lead • Objective: To coordinate ADR sessions in the informal and formal EEO process and facilitate pre-complaint activities. • Results-Oriented Activities: • EEOTrack entries are inputted. • Notices of Right to File are issued. • EEO and ADR programs are operated in compliance with all statutes, regulations, and policies issued by the EEOC. • Supplemental Standards: • EEOTrack entries contain few errors and are inputted within 5 business days of receiving completed client information. • Notices of Right to File are issued within 30 days of initial contact, 90 days if ADR is elected or an extension is granted by the EEO Officer or requested by the counselees. • Counselors are assigned within the timeframe established by the EEO Officer.

22. Progress Reviews • One required at midpoint (March/April) • Additional progress reviews may be requested by employee or supervisor • If performance at Level 3 or above on all critical elements, no justification required • If performance below Level 3, deficiencies must be noted for that element

23. Assigning Ratings to Elements • Using the Generic Performance Standards and Supplemental Standards, evaluate and rate each element within a plan (Levels 1 – 5) • No fractional scores permitted • Rating must be Level 4, Level 5 • Not Level 4.5

24. Summary Derivation Scheme • Use each element’s weight and multiply the weight by that element rating to achieve a score • Ex. #1 – 15 (%) x (Level) 4 = 60 points • Total these scores to achieve an overall rating • Ex. #1, cont. – 60 points + 80 points + 260 points = 400 points • Use scale to determine which rating corresponds to 400 points

25. Determining the Summary Rating Overall ScoreSummary Rating • 470 – 500 pointsLevel 5 • 380 – 469 points Level 4 • 290 – 379 pointsLevel 3 • 200 – 289 pointsLevel 2 • 100 – 199 pointsLevel 1 Example from Previous Slide: • 400 points translates into a Level 4 rating

26. Example #2 • Critical Element 1 is 30% of planRated at Level 430 x 4 = 120 points • Critical Element 2 is 30% of planRated at Level 330 x 3 = 90 points • Critical Element 3 is 20% of planRated at Level 320 x 3 = 60 points • Critical Element 4 is 20% of planRated at Level 420 x 4 = 80 points 120 + 90 + 60 + 80……………TOTAL = 350 points Scale 470 – 500 pointsLevel 5 380 – 469 pointsLevel 4 290 – 379 pointsLevel 3 200 – 289 pointsLevel 2 100 – 199 pointsLevel 1 Final Rating = Level 3

27. Justifying the Rating • Supervisor required to write overall narrative justification…or • Justifications for each individual element…or both • All elements rated below Level 3 require a justification • Level 1 on any element = Overall Level 1 • Level 1 rating---see your servicing HRA; PIP required

28. Reconsideration of Rating • If employee is not satisfied with rating, he/she may request informal reconsideration • Also may request formal reconsideration • Under the appropriate negotiated grievance procedures or under the DOC’s administrative grievance procedures

29. Reinstatement of Performance Awards • Performance awards linked to achievement of organizational goals • Highest performers to receive largest awards • Special Act, Time Off, and CIYA still available for use throughout year

30. Employee Performance Files (EPFs) • EPFs must be maintained by rating officials • EPFs must contain: • Copies of performance plans, ratings of record, and Performance Improvement Plans (PIPs) • Forms/supporting documentation used for recommending performance-based personnel actions • Ex. – Certificates for WGIs (CD-416); Recommendations for Recognition (CD-326); Probationary or Trial Period Reports (CD-35)

31. Disclosure of EPFs • EPFs are covered by the Privacy Act • EPFs must be maintained in locked files • EPF access is restricted to: • Employee and representative • Rating and approving officials • Officials who need EPF documents in order to perform their jobs

32. Retention of Records in EPFs • Performance plans and ratings = 4 years • Unacceptable performance appraisals where notice of demotion/removal issued but not effected • Related documents destroyed after 1 year of acceptable performance (from date of advance notice of demotion/removal) • See DOC’s retention guide for retention periods on other EPF records • To destroy records, burn or shred

33. For more information, visit: • DOC Office of Human Resources Management (OHRM) • http://hr.commerce.gov/Practitioners/PerformanceManagementandAwards/index.htm • NOAA Performance Management- Five-Level System • http://www.wfm.noaa.gov/performancemgmt/fivelevel/fivelevelmain.html