HR Elements for Managers, Supervisors, and Employees

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  • 1. HR Elements/ Performance Management
  • 2. Course Introduction Agenda & Participant Materials
    • HR Elements
    • Classification & Conversion
    • Pay & Compensation
    • Hiring & Employment
    • Workforce Shaping
    • Performance Management
    • Planning
    • Monitoring & Developing
    • Rating
    • Rewarding
    Compensation – Pay Schedules, LMS Rates Ref 2 Classification – Occupation Codes Ref 1 Contributing Factors Ref 5 Performance Indicators Ref 4 Staffing – Competitive Movements Ref 3 HR Elements / Performance Management Tab 1 NSPS SOURCE BOOK Pay Pool Management for Mgrs/Supvs Tab 6 Objective-Driven Performance Tab 3 Building Alignment / SMART Objectives Tab 2 ADD’L PRE-CONVERSION COURSES
  • 3. Course Introduction Questions This Course Will Answer How do pay bands work? How does pay progress under NSPS? What is pay-for-performance ? How does NSPS link my pay to my performance rating? How does conversion work? Will I lose money when I convert to NSPS? What is LMS ? How is it different from Locality Pay? How will my performance standards change under NSPS? What are job objectives ? How does NSPS change the way RIF works? How does NSPS make it easier to hire from outside and to promote from within?
  • 4. Course Introduction Implementation Status Report
    • DoD
    • 112,000 employees converted in Spiral 1 (concluded April 2007)
    • 97% of Spiral 1.1 employees rated at Valued Performer or above and eligible for performance payouts
    • May 2007 OPM assessment confirms DoD has made “adequate progress” in implementing NSPS
    • Marine Corps
    • 2000 employees converted in Spiral 1.2 (HQMC, MARCORSYSCOM, MCTSSA)
    • Spiral 2.2c scheduled for 03 February 2008; Spiral 2.2d scheduled for 17 February 2008
  • 5. Course Introduction AFGE vs. Gates
    • On May 18, 2007, the U.S. Court of Appeals reversed the District Court judgment and upheld all aspects of NSPS’ adverse actions, appeals, and labor relations regulations but noted that certain portions were not yet ready for judicial review.
    • At this time, DoD has made no decisions regarding the implementation of these provisions.
  • 6. Course Introduction Have You Heard This One? What federal employees need is a new “one size fits all” personnel system, not different systems for different agencies! What really matters is not what you achieve but how hard you try! Employees with seniority know more and deserve to be paid more! NSPS will fix everything that’s wrong between employees and their supervisors! Supervisors should work harder than their employees! What DoD really wants is to pay employees less in the future!
  • 7. Course Introduction New Ideas for a Changing Workforce NSPS is an OPPORTUNITY-BASED system – you get out of it what you put into it. NSPS rewards you more for the CONTRIBUTIONS you make than for the time you put in. NSPS puts YOU IN CHARGE of your career – not your supervisor, not the Marine Corps, and not Congress
  • 8. Course Introduction Why Pay-for-Performance?
    • Federal employees themselves have said that pay increases should be tied to performance
    • Federal employees have also asked that something be done about poor performers
    How do you define “fair”? Both are valid perspectives. DoD believes that the second perspective will better help it achieve its mission in today’s world. Everyone should get an equal piece of the pie. People who contribute more should get more. 2 1
  • 9. Course Introduction What’s Not Changing? Benefits Retirement, health, life, other benefits Veterans’ Preference Leave & work schedules Anti-discrimination laws Prohibited personnel practices Allowances & travel/ subsistence expenses Training Merit system principles Whistleblower protection Fundamental due process
  • 10. Course Introduction What Is Changing? Classification Streamlined Flexible Simple Pay and Compensation Performance-based Mission-responsive Market-driven Performance Management Results-oriented Mission-focused Hiring and Employment Streamlined Flexible Adaptable Workforce Shaping Performance-based Mission-responsive Less disruptive
  • 11. Course Introduction NSPS Authorities
    • NSPS shifts authority from OPM to DoD for …
      • Setting pay band rate ranges
      • Setting market-responsive pay adjustments
      • Setting pay for employees and new hires
      • Administering the annual General Pay Increase and other salary adjustments
      • Exercising severe shortage and critical need hiring authorities
      • Extending term and temporary appointments
  • 12. Classification & Conversion
  • 13. Classification & Conversion Classification Crosswalk Pay Schedule Pay Plan Pay Band Grade NSPS Classification Standards OPM Classification Standards Title and Occupational Code Title and Occupational Series Career Group Occupational Family Tomorrow – NSPS Today – GS
  • 14. Classification & Conversion Classification Architecture Type of Work Level of Work
  • 15. Classification & Conversion Career Groups & Pay Schedules Student YP Supervisor/Manager YC Technician/Support YB Professional/Analytical YA Standard CG DoD = 73% / USMC = 78% Physician/Dentist YG Supervisor/Manager YJ Technician/Support YI Professional YH Medical CG DoD = 4% / USMC = <1% Supervisor/Manager YF Technician/Support YE Professional YD Scientific & Engineering CG DoD = 19% / USMC = 22% Supervisor/Manager YN Police/Security Guard YM Fire Protection YL Investigative YK Investigative & Protective CG DoD = 4% / USMC = <1%
  • 16. Classification & Conversion Pay Bands Supervisor/ Manager Supervisor Supervisor Supervisor/Manager PB3 PB2 PB1 Supervisory Expert Journey/ Assistant Entry/ Developmental/ Technician Technician/Support Expert Journey Entry/ Developmental Professional/Analytical PB3 PB2 PB1 Non-Supervisory
  • 17. Classification & Conversion Standard Career Group FY07 Base Salary per annum, excluding Local Market Supplements See Ref 2 in NSPS Source Book
  • 18. Classification & Conversion Scientific & Engineering Career Group FY07 Base Salary per annum, excluding Local Market Supplements See Ref 2 in NSPS Source Book
  • 19. Classification & Conversion What Will Pay Bands Do for You?
    • Increased earning potential
      • Step 10 caps eliminated for all employees
      • Maximum rate for pay band 3 in all Professional and Supervisor pay schedules is 5% above GS-15/10
      • Promotion potential from lower pay bands to higher pay bands
    • Easier movement within and between pay bands facilitates career advancement
      • Reassignments may be non-competitive
      • Time-in-grade requirements eliminated
      • Pay setting not handcuffed by Grades and Steps
  • 20. Classification & Conversion How Conversion Works
    • Conversion is automated and based on your position of record
    • You may be eligible for a pro-rated Within-Grade Increase (WGI) buy-in
    • Career conditional employees become career employees
    • Probation periods continue with no loss of time already served
    Will I lose money when I convert to NSPS? No, your full salary is retained.
  • 21. Classification & Conversion Convert to Standard CG * GS 9 - 11 positions without promotion potential convert to Pay Band 2. GS 9 - 11 positions with promotion potential (developmental) convert to Pay Band 1. ** All Student positions convert to YP - 1 (Standard CG, Student PS, PB 1). See Ref 1 in NSPS Source Book n/a n/a GS 1-11** YP - Student GS 15 GS 12-14 GS 6-11 YC - Supervisor/Manager GS 11-12 GS 7-10 GS 1-6 YB - Technician/Support YA - Professional/Analytical GS 14-15 GS 9-13 GS 5-8 GS 9-11* PAY BAND 3 PAY BAND 2 PAY BAND 1
  • 22. Classification & Conversion Convert to Scientific & Engineering CG See Ref 1 in NSPS Source Book * GS 9 - 11 positions without promotion potential convert to Pay Band 2. GS 9 - 11 positions with promotion potential (developmental) convert to Pay Band 1. ** All Student positions convert to YP - 1 (Standard CG, Student PS, PB 1). n/a GS 15 GS 12-14 GS 6-11 YF - Supervisor/Manager GS 13 GS 11-12 GS 7-10 GS 1-6 YE - Technician/Support YD – Professional n/a GS 14-15 GS 9-13 GS 5-8 GS 9-11* PAY BAND 4 PAY BAND 3 PAY BAND 2 PAY BAND 1
  • 23. Classification & Conversion Supervisor/Manager Pay Schedule
    • Must have supervisory responsibility for a subordinate government workforce
      • Requires more than one subordinate position (civilian or military, volunteer, other non-contractor personnel)
      • Contractors not creditable for supervisor status
    • Current record supervisory status (SF50) used as initial indicator
      • Employees in Leader positions convert to non-supervisory pay schedules
      • ‘ Lead’ and ‘Leader’ titles deleted upon conversion
    • Other criteria may be considered for conversion to Pay Band 3
      • Type of work supervised
      • Level of work supervised
      • Level of supervision (immediate, intermediate, manager)
    See Conversion Fact Sheet inserted into participant materials
  • 24. Pay & Compensation
  • 25. Pay & Compensation Pay & Compensation Crosswalk Developmental Employees Additional Recognition/Reward Pay Increases Total Pay Market-Responsive Pay Adjustments General Pay Adjustments Through Rate Range Adjustment (funded by GPI) Through General Pay Increase (GPI) Through Local Market Supplement (LMS) Through Locality Pay, Special Salary Rates Equals Base Pay plus LMS Equals Base Pay plus Locality Pay Advancement through Accelerated Compensation for Developmental Positions (ACDP) Advancement through Career Ladder promotions Through cash bonus (portion of annual performance payout, EPI, OAR), Chapter 45 awards (Special Act, On-the-Spot), Time Off awards Through cash bonus, Chapter 45 awards (Special Act, On-the-Spot), Time Off awards Through annual performance payouts, EPI, OAR, promotions, reassignments, voluntary reductions in band Through WGIs (1-3 years apart), QSIs, promotions Tomorrow – NSPS Today – GS
  • 26. Pay & Compensation Pay Increases Link to Performance
    • Increases directly linked to performance …
      • Performance payout
      • Rate range increase
      • LMS increase
      • EPI, OAR, ACDP
    • Increases indirectly linked to performance …
      • Promotion
      • Reassignment
      • Voluntary reduction in band
    5 4 Performance payout Rate range increase LMS increase 3 1 2 RATING No increase Rate range increase LMS increase PAY ELIGIBILITY
  • 27. Pay & Compensation Rate Range Adjustments
    • DoD reviews all pay band rate ranges annually
    • If the minimum rate of a pay band is increased, all employees in the pay band receive an equivalent increase, except those rated Unacceptable
    • Rate range adjustments funded by the January GPI
    ELIGIBLE Current rating of record is Level 2 or higher, or no current rating of record (new employees) PB1 PB2 PB3
  • 28. Pay & Compensation LMS Adjustments
    • LMS rates are set by DoD and reviewed at least once annually
    • Rates may vary within the same local market area by career group, pay schedule, pay band, and/or occupation
    • LMS adjustments funded by January GPI
    Could my LMS rate go down? Yes, but so could your locality pay rate, and how often did that happen?
  • 29. Pay & Compensation What Can LMS Do for You?
    • Counts as base pay for retirement purposes (as did locality pay)
    • Allows for greater flexibility in making market-responsive pay adjustments when and where they are needed
      • TARGETED LMS’s
      • Seven targeted LMSs have been deployed to date: Three in the Standard CG by occupation and location (Air Traffic Control Specialists, Pilot and Flight Instructors, related jobs), four in the Medical CG by occupation and location (Physicians, Dentists, Nurses)
      • Targeted LMSs apply in lieu of the standard LMS except in locations where the standard LMS is greater
    See Ref 2 in NSPS Source Book
  • 30. Pay & Compensation Promotion
    • A promotion is a competitive move to a higher pay band and an opportunity to advance both your career and your pay
    • Exceptions to competition include:
      • Career ladder promotion
      • Additional duties and responsibilities
      • Temporary promotion of 180 days or less
      • Position change due to RIF
    See Ref 3 in NSPS Source Book PB1 PB2 PB3
  • 31. Pay & Compensation Promotion Pay Increases
    • Pay increases 6-12% on promotion
      • Higher-level approval is required for an increase of more than 12%
      • Higher-level approval is not required when an increase of more than 12% is needed to reach the minimum rate of the new pay band
    • For temporary promotions, base pay reverts upon return to permanent position
    See Ref 3 in NSPS Source Book PB1 PB2 PB3
  • 32. Pay & Compensation Reassignment
    • A reassignment is also an opportunity to advance both your career and your pay
    • A reassignment is a move within a pay band or between comparable pay bands and may be competitive or non-competitive
      • No limit to the number of reassignments
      • Generally entails job change or assumption of greater or higher-level duties
    See Ref 3 in NSPS Source Book PB1 PB2 PB3
  • 33. Pay & Compensation Reassignment Pay Increases
    • Pay may increase up to 5% on reassignment
      • For employee-initiated reassignments, pay may increase up to 5% over 12 months
      • For management-directed reassignments, pay may increase up to 5% with each reassignment
    • Higher-level approval is required for all reassignment pay increases
    See Ref 3 in NSPS Source Book PB1 PB2 PB3
  • 34. Pay & Compensation Voluntary Reduction in Band
    • A voluntary reduction in band is a voluntary move to a lower pay band and may also be an opportunity to advance your career and your pay
      • Pay may increase up to 5% though pay may not exceed the maximum rate of the new pay band
    See Ref 3 in NSPS Source Book PB1 PB2 PB3
  • 35. Pay & Compensation Annual Performance Payouts Eva / YA-505-3 / Financial Mgmt Specialist Base salary = $81,752 Rating and shares = Level 4 rating, 4 shares Pay pool share value = 1.1% Performance payout = $3,597 Salary increase = $2,518 (70%) Cash bonus = $1,079 (30%) Denise / YA-1102-2 / Contract Specialist Base salary = $61,932 Rating and shares = Level 3 rating, 1 share Pay pool share value = 1.0% Performance payout = $619 Salary increase = $433 (70%) Cash bonus = $186 (30%) Brian / YS-343-2 / Program Analyst Base salary = $66,951 Rating and shares = Level 3 rating, 2 shares Pay pool share value = 1.0% Performance payout = $1,339 Salary increase = $937 (70%) Cash bonus = $402 (30%) Salary increase amounts are to base pay and would be in addition to any rate range increase (from GPI) 1-2 shares 3 No shares 1 or 2 3-4 shares 4 5-6 shares 5 Share Range Rating Combination Cash bonus Salary increase Payout Options
  • 36. Pay & Compensation Discretionary Performance Payouts
    • May be awarded in addition to performance payouts to reward extraordinary performance
      • Extraordinary Pay Increase (EPI)
      • Organizational/Team Achievement Recognition (OAR)
    • May be distributed as an increase to pay, a cash bonus, or a combination of the two
      • May not use any portion of pay pool funds
      • Do not replace Special Act, On-the-Spot, and Time Off awards
  • 37. Pay & Compensation Pay for Developmental Employees
    • Accelerated Compensation for Developmental Positions (ACDP) is available to Pay Band 1 employees in developmental positions
      • Must have Level 3 rating or higher
      • May be awarded anytime during the rating cycle as developmental milestones are achieved
      • Promotion from Pay Band 1 to Pay Band 2 after successful completion of development plan
      • May be distributed as an increase to pay, a cash bonus, or a combination of the two
  • 38. Pay & Compensation Can You Influence Your Pay? Promotion Reassignment Voluntary Reduction in Band Rate Range Increase LMS Increase Performance Payout EPI, OAR, ACDP The opportunity is yours! less influence more influence
  • 39. Hiring & Employment
  • 40. Hiring & Employment Internal Placement (Merit Promotion)
    • Fewer required personnel actions means less administrative burden and paperwork
    • Enhanced opportunities for career advancement
      • NEW FLEXIBILITIES
      • Reassignments require no official personnel action and may be non-competitive
      • Formal documentation of a “detail” required only when crossing Component or Agency lines
      • Qualify for positions by meeting stated knowledge, skills, abilities, and experience requirements
  • 41. Hiring & Employment Alternative Forms of Competition No USAJOBS announcement required Select from ranked candidates on occupational referral lists Assessment Boards Submit name of candidate with description of knowledge, skills, and abilities for position Alternate Certification Select from Level 5 performers within specified area of consideration Exceptional Performance Promotion
  • 42. Hiring & Employment External Hiring
    • Vacancy Announcements
    • Consideration may be limited to local commuting area and targeted recruitment sources
    • No minimum announcement period required
    • Probation Periods
    • One year for new hires
    • Optional three years for new hires in select occupations
  • 43. Hiring & Employment Special Appointing Authorities
    • Authority to approve severe shortage and critical need authorities shifts from OPM to DoD
    • Term appointments modified to last up to 5 years, may be extended to 6 years
    • Temporary appointments modified to last up to 1 year, may be extended to 3 years in one year increments
  • 44. Hiring & Employment Setting Pay for New Hires
    • Authority for setting pay shifts to managers and supervisors
      • HR will advise mangers and supervisors on employment regulations and procedures and provide information on compensation levels for similar work within the federal workforce and in the employment market
      • Current guidance states that new hire pay may be set no lower than the minimum rate of the relevant pay band and no higher than 30 percent above the former GS Grade Step 1 equivalent
  • 45. Workforce Shaping
  • 46. Workforce Shaping Competitive Areas & Groups
    • Competitive Areas
    • Geographic location
    • Organizational unit
    • Line of business
    • Product line
    • Funding line
    • Competitive Groups
    • Occupational code
    • Trainee status
    • Career group
    • Pay schedule
    • Pay band
    New options for defining competitive areas and groups make RIF less disruptive and focus attention where change is needed
  • 47. Workforce Shaping Competitive Areas & Groups: Example 1 Competitive Area Financial Management Product Line Competitive Group Auditors Competitive Group Program Analysts Competitive Group Accountants Competitive Group Secretaries
  • 48. Workforce Shaping Competitive Areas & Groups: Example 2 Competitive Group Standard CG, PB 3 Competitive Group Technician/ Support PS, PB 3 Competitive Group Program Analysts, PB 2 Competitive Area Financial Management Product Line
  • 49. Workforce Shaping Retention Factors 4 3 2 1 Creditable Service 1. Civilian 2. Military Performance Rating Performance Rating Average of employee’s 3 most recent NSPS ratings in 4 years Creditable Service 1. Civilian 2. Military Veterans’ Preference 1. 30% disabled veterans (compensable, service-connected) 2. All other veterans 3. All other non-veterans Veterans’ Preference 1. 30% disabled veterans (compensable, service-connected) 2. All other veterans 3. All other non-veterans Tenure Group 1. Career 2. Employees on initial probation 3. All others Tenure Group 1. Career 2. Career conditional 3. All others Tomorrow – NSPS Today – GS
  • 50. Performance Management
  • 51. Performance Management What is Performance Management?
    • “Applying the integrated processes of setting and communicating performance expectations , monitoring performance and providing feedback, developing performance and addressing poor performance, and rating and rewarding performance in support of the organization’s goals and objectives.”
    • NSPS Performance Management
    • Implementing Issuance SC1940
  • 52. Performance Management Performance Management Cycle MONITOR Year round RATE October DEVELOP Year round PLAN October REWARD Nov-Jan
  • 53. Performance Management Performance Management Cycle SUPERVISOR EMPLOYEE  
  • 54. Performance Management Performance Conversations
    • End-Cycle Review
    • Review employee self-assessment
    • Gather data for written appraisal
    • Interim Review
    • Check progress
    • Provide feedback
    • Make course corrections
    • Performance Plan
    • Establish performance expectations
    • Align employee objectives with organizational goals
    Ongoing Feedback Feedback between supervisor and employee should be ongoing throughout the rating cycle
    • Annual Appraisal
    • Review written appraisal
    • Communicate rating of record and performance payout
  • 55. Performance Management Performance Assessments Performance Plan conversation Interim Review conversation(s) Annual Appraisal conversation Closeout Assessment (when appropriate) Early Annual Assessment (when appropriate) OCT SEP JAN Self-Assessment Mid-cycle End-Cycle conversation Self-Assessment Draft before, finalize after OCT NOV DEC Annual Assessment … assessment ongoing …
  • 56. Planning Performance
  • 57. Planning Performance Your Performance Contract
    • Think of your performance plan as a contract between you, your supervisor, and your organization
      • Specifies work to be done
      • Specifies conditions for success
      • Specifies time and cost
      • Commits all parties on signature
  • 58. Planning Performance Your Performance Rating
    • You will be rated on the most important contributions you make, as described by the job objectives on your performance plan
      • Every contribution you make matters, though not all your contributions will be rated
      • What matters most is determined by alignment
  • 59. Planning Performance Employee Performance Plan JOB OBJECTIVES Recommend 3-5 per employee Specific to position/salary Link to organizational goals Define quality of outcome Identify what is to be done CONTRIBUTING FACTORS Recommend 1-3 per objective Standard across DoD Link to job objectives Define quality of process Identify how it is to be done
  • 60. Planning Performance Job Objectives
    • Written in SMART format
    • Focus on results
    • Link to organizational mission and goals
    • Can be accomplished within the rating cycle
    • May be modified at any time
    S Specific M Measurable A Aligned R Realistic T Timed
  • 61. Planning Performance Job Objectives
    • Reflect your primary responsibilities
    • Target Level 3 performance for your pay schedule, pay band, and salary
    • May be weighted based on significance or expected effort (optional)
    S Specific M Measurable A Aligned R Realistic T Timed
  • 62. Planning Performance Sample SMART Objectives IT Specialist S = New payroll system testing completed. M = Testing completed without exceeding project budget for overtime hours. Feedback from product support team indicates final configuration documentation is complete and accessible. T = By 30 Sep 07. R = Depends on timely completion of required programming tasks. Budget Analyst S = Written reports recommending options for achieving budget objectives. M = Recommendations conform to established policies and financial constraints within the overarching budget. T = Submitted within 10 business days following each quarter-end.
  • 63. Planning Performance Contributing Factors Write an opinion … Solve a problem … Implement a system … Customer Focus Technical Proficiency Resource Management Leadership Cooperation/Teamwork Communication Critical Thinking
  • 64. Planning Performance Performance Plan Requirements
    • Supervisors must actively engage employees in developing their performance plans
      • Supervisor makes final decision
      • Higher-level review of final plan is required
    • New employees must have 90 days on a performance plan to be eligible for a rating
      • Rating period may be extended under special circumstances
  • 65. Planning Performance Required Supervisory Objective
    • Supervisors are required to include in their performance plans at least one job objective that defines their performance management duties
      • USMC may issue a standard supervisory objective
      • Leadership must be included among contributing factors
    Clearly communicating performance expectations Holding employees responsible for accomplishing objectives Fostering and rewarding excellent performance Addressing poor performance Making meaningful distinctions among employees based on performance and contribution Adhering to merit system principles and prohibited personnel practices
  • 66. Monitoring & Developing Performance
  • 67. Monitoring & Developing Performance Monitoring Performance
    • Dialogue between supervisor and employee is key to effective performance management
    • Performance plans are ‘living documents’ and may be modified throughout the rating cycle
      • Contributing factors may be modified as may job objectives
      • Modifications following the Interim Review are possible but should be few
  • 68. Monitoring & Developing Performance Developing Performance
    • Employees are required to create Development Plans that support achievement of their Performance Plans
    • Supervisors must take action to address poor performance
      • Range of options available to close performance gap
      • A Performance Improvement Plan (PIP) may be implemented though not required
  • 69. Rating Performance
  • 70. Rating Performance Rating Process Steps
    • 1 Write Self-Assessment
    • Document accomplishments by providing data for all job objectives and measures.
    • 2 Write Supervisory Assessment
    • Build on and supplement employee self-assessment.
    • 3 Rate Job Objectives
    • Determine a base rating for each objective using a performance indicator, and then adjust the base rating using contributing factors.
    • 4 Recommend Rating
    • Average all adjusted ratings to determine overall rating.
    Job objectives & measures Performance indicators Contributing factors Policies & procedures Other relevant standards
  • 71. Rating Performance Rating Job Objectives Recommended Rating (rounded) 3 Contributing Factor “ How” Adjusted Rating 2 4 3 + 0 - + 0 - + 0 - X X X X X X X X Job Objectives X X X X X X X X #3 #1 #2 Performance Indicator “ What” 3 3 3
  • 72. Rating Performance Rating Guidelines
    • When rating objectives …
    • A Level 1 rating on any one objective results in a Level 1 rating overall
    When adjusting ratings …
    • A Level 5 rating cannot be adjusted up
    • A Level 2 rating cannot be adjusted down
    • A Level 1 rating cannot be adjusted
    + 0 ─
  • 73. Rating Performance Performance Indicators
    • Three sets of descriptors
      • Professional/Analytical
      • Technician/Support
      • Supervisor/Manager
    • Descriptors are provided at Level 3 and Level 5
    • Descriptors are descriptive, not prescriptive
    Establish Base Rating Reference relevant Performance Indicator to establish base rating for each job objective See Ref 4 in NSPS Source Book Not rated NR Unacceptable Fair Valued Performer Exceeds Expectations Role Model DESCRIPTOR 2 1 3 4 5 RATING
  • 74. Rating Performance Performance Indicators Level 5 Role Model Level 3 Valued Performer 3 2 1 4 5 Distinguish levels of performance See Ref 4 in NSPS Source Book
  • 75. Rating Performance Rating Scale 5 Target ++ Role Model 4 Target + Exceeds Expectations 3 Target Valued Performer 2 Target – Fair 1 Off the target Unacceptable Level 1 Employee failed to achieve the assigned job objective or failed in the performance of a single assignment where such failure had a significant negative impact on accomplishment of the mission or where a single failure resulted in or could result in death, injury, breach of security, or great monetary loss. Level 5 Employee exceeded the assigned job objective at a level of performance equal to, or above, the level 5 performance indicator.
  • 76. Rating Performance Level 3 Performance 5 Target ++ Role Model 4 Target + Exceeds Expectations 3 Target Valued Performer 2 Target – Fair 1 Off the target Unacceptable PB1 Level 3 Level 3 PB2 Level 3 Level 3 PB3 Level 3 Level 3
  • 77. Rating Performance Contributing Factors
    • Three sets of descriptors
      • Professional/Analytical
      • Technician/Support
      • Supervisor/Manager
    • Descriptors are provided at Expected and Enhanced levels
    • Descriptors are descriptive, not prescriptive
    Adjust Base Rating Reference relevant Benchmark Descriptors to adjust base rating for each job objective See Ref 5 in NSPS Source Book
    • Below Expected descriptors
    • Matched or exceeded Expected descriptors,
    • Below Enhanced descriptors
    • Matched or exceeded Enhanced descriptors
    DESCRIPTOR – (1) O + (1) IMPACT
  • 78. Rating Performance Contributing Factors Enhanced Plus (+) Expected Neutral (0) 0 – + COMMUNICATION COOPERATION TECHNICAL PROFICIENCY Would you say these bars indicate a plus (+) or a neutral (0) for contributing factors? See Ref 5 in NSPS Source Book Distinguish levels of performance “… as a whole, or in the aggregate …”
  • 79. Rating Performance Recommended Rating
    • To determine recommended rating …
    • Calculate average of adjusted ratings for all job objectives
    • Apply rounding to determine recommended rating
    Weighted Job Objectives Calculate weighted average and apply rounding if optional weights were assigned Less than 2.0 2.0 to 2.50 2.51 to 3.50 3.51 to 4.50 4.51 to 5.0 AVERAGE 2 1 3 4 5 RATING
  • 80. Rating Performance Challenging a Rating
    • Employees may challenge a rating of record only.
    • Employees may not challenge:
      • An interim review or closeout assessment
      • A recommended rating or an individual job objective rating if the requested remedy will not alter the rating of record
      • A payout amount, number of shares, value of shares, or distribution of payout between salary increase and cash bonus
  • 81. Rating Performance Challenging a Rating
    • A request for reconsideration must be submitted in writing to the pool manager within 10 days of receiving a rating.
    • The pay pool manager’s ruling may be appealed to the Performance Review Authority (PRA).
    • Decisions made through this process do not cause the recalculation of payouts made to other employees in the pay pool.
  • 82. Rewarding Performance
  • 83. Rewarding Performance Rewarding Process Overview Supervisor Recommends Rating of Record Payout Distribution Share Assignment Pay Pool Panel Reviews Reviews and reconciles recommendations from supervisors Finalizes rating of record, share assignment, payout distribution Pay Pool Manager Authorizes Facilitates pay pool panel and resolves disagreements Reconciles differences between funds allocated and pay pool budget Authorizes rating of record, share assignment, payout distribution Supervisor Communicates Communicates supervisory assessment, rating of record, share assignment, and payout distribution to employee Higher-Level Review
  • 84. Rewarding Performance Share Assignment
    • A share represents a percentage of pay for an employee
    • Criteria supervisors may consider …
    • Level and complexity of work performed
    • Overall contribution to mission
    • Organizational success
    • Fiscal soundness
    • Other criteria consistent with merit system principles
    • One approach …
    • Start with average rating prior to rounding.
    • Permit adjustment up or down with justification.
    1-2 shares 3 No shares 1 or 2 3-4 shares 4 5-6 shares 5 Share Range Rating
  • 85. Rewarding Performance Payout Distribution
    • A payout may be distributed as a salary increase, a cash bonus, or a combination of the two
    • Criteria supervisors may consider …
    • Current salary and level and complexity of work performed
    • Promotions, reassignments, or awards received during rating cycle
    • Local market salary comparisons
    • Attrition and retention rates of critical personnel
    • Overall contribution to mission
    • One approach …
    • Start with Comptroller guidance.
    • Permit adjustment up or down with justification.
    Combination Cash bonus Salary increase Payout Options
  • 86. Rewarding Performance Pay Pool Process Goals
    • The pay pool process holds managers and supervisors accountable for rating employees fairly and equitably
      • Ensures decisions regarding compensation and rewards receive higher-level review
      • Validates decisions made at the individual level align with the organization's mission and goals
      • Ensures results are met and all decisions conform to Merit System Principles
  • 87. Rewarding Performance Pay Pool Structure Performance Review Authority (PRA) Pay Pool Commander Rating Official Pay Pool Manager Division Chief Rating Official Panel Member Division Chief Rating Official Panel Member Branch Chief Rating Official Branch Chief Rating Official Employee Employee Employee Employee Employee Employee Employee Employee Employee Branch Chief Rating Official Employee Employee Employee Branch Chief Rating Official Branch Chief Rating Official Employee Employee Employee Employee Employee Employee Employee Employee Employee Employee Employee Employee Employee Employee
  • 88. Rewarding Performance Pay Pool Structure Sub Pay Pool B Sub Pay Pool A Performance Review Authority (PRA) Pay Pool Commander Rating Official Pay Pool Manager Division Chief Rating Official Panel Member Sub Pay Pool Manager Division Chief Rating Official Panel Member Sub Pay Pool Manager Branch Chief Rating Official Sub Panel Member Branch Chief Rating Official Sub Panel Member Employee Employee Employee Employee Employee Employee Employee Employee Employee Branch Chief Rating Official Sub Panel Member Employee Employee Employee Branch Chief Rating Official Sub Panel Member Branch Chief Rating Official Sub Panel Member Employee Employee Employee Employee Employee Employee Employee Employee Employee Employee Employee Employee Employee Employee
  • 89. Rewarding Performance Pay Pool Roles
    • Performance Review Authority (PRA)
      • Provide guidance to pay pool managers
      • Manage discretionary pay fund
      • Decide challenges to ratings of record
    • Pay Pool Panel
      • Financial focus (shares and payouts)
    • Sub Pay Pool Panel
      • Performance focus (ratings and shares)
    • Higher-Level Reviewer
      • Documentation focus (employee and supervisor assessment statements)
    PRA Ensures equity across pay pools Pay Pool Panel Ensures equity across sub pay pools Sub Pay Pool Panel Ensures equity across supervisors Higher-Level Reviewer Ensures quality of written appraisals
  • 90. Rewarding Performance Pay Pool Fund Element 1 Within Grade Increases, Quality Step Increases, Promotions Element 2 Remaining portion of General Pay Increase Element 3 Annual bonuses Pay Pool Fund Total Base Salaries multiplied by sum of Elements 1, 2, and 3 Element 3 1.00 percent Element 2 0.00 percent Element 1 2.26 percent EXAMPLE
  • 91. Rewarding Performance Pay Pool Share Value
    • Share value is inversely related to total shares assigned within pay pool
    • Share value generated at sub pay pool level will change at pay pool level
    SHARES PAY POOL FUND SHARE VALUE Share Value = Pay Pool Fund  (Salary x Shares) for each employee
  • 92. Tools & Resources
  • 93. Tools & Resources Performance Appraisal Application
    • Automated tool built into DCPDS to support the entire performance management process
      • My Biz (employee access)
      • My Workplace (manager and supervisor access)
    • PAA User Guide available at
    • www.cpms.osd.mil/nsps
    • Also available online …
    • NSPS 101
    • iSuccess
  • 94. Tools & Resources Information Resources
    • Manpower & Reserve Affairs MPC-20
    • Marine Corps MyBiz PAA Help Desk
    Marine Corps Letters of Instruction (LOIs) Compensation Management Workforce Shaping Staffing & Employment Performance Management Classification & Position Pay Pool Management Management
  • 95. Thank you for attending! Please remember to complete your post-learning benchmark and course evaluation online after you leave today.