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Department of Commerce Alternative Personnel System (CAPS) Overview. Introduction. Administration Position Classification Staffing Pay Administration Performance Management. Objectives. Increase efficiency of personnel system Strengthen management accountability

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introduction

Introduction

Administration

Position Classification

Staffing

Pay Administration

Performance Management

slide3

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
caps board
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
noaa caps steering committee
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
operating personnel management board opmb
Operating Personnel Management Board (OPMB)
  • Established for Each NOAA Participating Operating Unit
  • Establishes Operating Unit guidelines
  • Delegates authorities to FMC Deputies
slide9

Classification Principles

  • Provide classification equity
  • Simplify the process
  • Support the mission
  • Consider the whole job
  • Reinforce management accountability
  • Support pay for performance
slide10

Purpose of Classification

  • To categorizepositions by:
  • Career Path
  • Occupational Series
  • Pay Band
  • Title
automated classification system
Automated Classification System
  • User System - Supervisors
  • Validation System - HR
  • Storage System - Both
position description components
Position Description Components
  • Principle objective
  • Level designation
  • Specialty descriptors
  • Key phrases
  • Supervisory/Lead designation
  • Special qualifications
transition
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
slide14

Features of Career Paths

  • Similar treatment for similar occupations
  • Broader and simpler classification standards
slide15

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)

slide16

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)

slide19

Staffing Options

  • Merit Assignment Program (MAP)
  • Delegated Examining (DE)
slide20

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
slide21

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
slide22

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.
reduction in force rif system
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
slide25

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
slide27

Features of Pay Banding

  • Flexible pay-setting upon:

- Hiring

- Promotion (at least 6%)

- Competitive reassignment

- Appointment Conversion

  • More understandable pay progression
pay issues
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
annual comparability increase aci
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
slide30

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

intervals and potential annual increase examples
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
slide32

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
slide34

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

slide35

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
slide36

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

rating eligibility
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
performance pay increase ineligibility
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

bonus ineligibility
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
slide40

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
slide41

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

slide42

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
performance ratings and indicators
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
slide45

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
sample pay pool
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.

slide47

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
slide48

Employee Reconsideration Rights

  • Reviewable
    • Rating
    • Performance Score
    • Pay Increase
  • Not Reviewable
    • Performance Plan
    • Bonus Decisions
grievance procedures
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.
additional information
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