department of commerce alternative personnel system (caps) overview

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

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POSITION CLASSIFICATION

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Classification Principles

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

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Purpose of Classification

To categorize positions by:

Career Path

Occupational Series

Pay Band

Title

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Automated Classification System

User System - SupervisorsValidation System - HRStorage System - Both

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Position Description Components

Principle objective Level designation Specialty descriptors Key phrases Supervisory/Lead designation Special qualifications

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TransitionGS 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

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Features of Career Paths

Similar treatment for similar occupations

Broader and simpler classification standards

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Career Path Definitions

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 (ZP)

Scientific/EngineeringTechnician (ZT)

Two-grade interval professional technical positions in the physical, engineering, biological, mathematical, computer and social sciences; and student positions for training in these disciplines.

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Career Path Definitions

Support(ZS)

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.

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CAREER PATHS &

BROAD PAY BANDS

 Career Paths Pay BandsScientific &

Engineering ZPI II III IV V

Scientific &

Engineering

Technician ZT I II III IV V

Administrative

ZAI II III IV V

Support

ZSI II III IV V

Corresponding

GS Grade 1 2 3 4 5 6 7 8 9 10 11 1213

14 15

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STAFFING

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Staffing Options

Merit Assignment Program (MAP)

Delegated Examining (DE)

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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

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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

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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.

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REDUCTION IN FORCE

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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

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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

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PAY ADMINISTRATION

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Features of Pay Banding

Flexible pay-setting upon:

- Hiring

- Promotion (at least 6%)

- Competitive reassignment

- Appointment Conversion More understandable pay progression

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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

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Annual Comparability Increase (ACI)

All employees receive the ACI except:

Employees on a Performance Improvement Plan (PIP) at time of ACIEmployees on a PIP will receive ACI at the time

they successfully complete the PIPPayment of ACI not retroactive

Employees with an “Unsatisfactory” rating

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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

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Intervals and Potential Annual Increase

ExamplesZA - 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%

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Supervisory Performance

Pay Full supervisory authority

25% of time

No immediate pay increase. Advancement through Interval 5 based solely on annual performance score

Applies only while in supervisory position

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PERFORMANCE MANAGEMENT

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Transition

GS– 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

Demo

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

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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

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Rating EligibilityAn 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

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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

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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

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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

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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

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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

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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

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INTERLEAVING SCORES

Pay Pool Manager (ZP)

NAMELYNNCOLETTEELLENCATHYHENRYBRUCEDENNISMICHAELSUSANJOHN

SCORE95929085857570706750

Rating Official #2NAME

LYNNHENRY

MICHAELSUSANJOHN

SCORE

9585706750

Rating Official #1NAME

COLETTEELLENCATHYBRUCEDENNIS

SCORE

9290857570

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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

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Sample Pay PoolSample Pay PoolTotal Pool: 21,000 CP: ZP Pool Amount

Used: 20,630

Percent NewName 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 41011Cathy 85 43380 0 - 12 6.0 50.0 2602 45982Henry 85 37018 0 - 15 7.0 46.6 2591 39609Bruce 75 40301 0 - 15 6.0 40.0 2418 42719Dennis 70 53194 0 - 10 3.0 30.0 1596 54789Mike 70 81914 0 - 04 2.0 50.0* 1638 83552Susan 67 47906 0 - 10 5.0 50.0* 958 48864John 50 34423 0 - 15 0.0 00.0 0000 34423

*The % of % received is LARGER than a higher scored employee! Please fix it.

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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

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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.

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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_0061

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