Department of Commerce Alternative Personnel System Training for Managers

1. Department of CommerceAlternative Personnel System Trainingfor Managers 2009

2. INTRODUCTION

3. Objectives • Increase efficiency of personnel system • Strengthen manager’s role • Improve ability to hire, motivate and retain staff • Emphasize pay for performance

4. System Attributes • Simplified/Understandable • Flexible • Delegated Decision-making • Performance Enhancing • Partnership Based • Budget Discipline • Fair & Equitable

5. Employees Covered Covered • GS • GM • SL and ST3104 (appraisal, awards, RIF only) Excluded • WG • SES

6. Administration of the Commerce Alternative Personnel System (CAPS) Office of Personnel Management • Final Approval of procedural modifications • Subject to review as part of the OPM Center for Merit System Accountability Audit Program

7. Administration of CAPS CAPS Board • Members include 1 representative from Office of the Secretary, National Telecommunications and Information Administration, Bureau of Economic Analysis and 2 representatives from NOAA. • DOC Approval Authority for Operating Procedures • DOC Approval Authority for minor procedural modifications • DOC Approval Authority for Implementing Regulations • Sets Policies

8. Administration of CAPS CAPS Board (continued) • Delegates Authorities to Operating Personnel Management Boards (OPMBs) • Authorizes Exceptions to Policies • Establishes Training Plans • Facilitates review as part of the OPM Center for Merit System Accountability Audit Program

9. Administration of CAPS NOAA Steering Committee • Members include Line Office Deputy Assistant Administrators or Staff Office Directors for each NOAA Participating Operating Unit • Evaluate, propose, review and provide comments or recommendations on policies, procedures and system changes • Oversee implementation of policies, procedures, position classification proposals, or automated system changes • Oversee NOAA-wide training activities

10. Administration of CAPS Operating Personnel Management Board (OPMB) • Established for each Line/Staff Office Operating Unit (OAR, NMFS, NESDIS, PPI, OMAO, NOS, UnSEC, CAO, CFO & WFMO) • Membership includes Operating Unit top management • Establishes Operating Unit guidelines within delegated authorities • Delegates authorities to Operating Unit managers

11. Administration of CAPS OPMB (continued) • Oversees training of Operating Unit Management • Requests exceptions to policies to CAPS Board • Facilitates review as part of the OPM Center for Merit System Accountability Audit Program

12. POSITION CLASSIFICATION

13. Classification Objectives • Simplify classification process • Increase management authority, accountability and flexibility

14. GS One Pay Schedule (GS for all White Collar Occupations) 15 Grade Levels, each with 10 steps 100’s of OPM Classification Standards & Individualized 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 Classification

15. Career Paths & Broad Pay Bands

16. Career Path Definitions • Two-grade interval professional technical positions in the physical, engineering, biological, mathematical, computer, and social sciences; and student trainee positions in these disciplines. Scientific/ Engineering (ZP) • One-grade interval nonprofessional 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 student trainee positions in these disciplines. Scientific/ Engineering Technician (ZT)

17. Career Path Definitions • Two-grade interval specialist positions in such administrative and managerial fields as finance, procurement, personnel, librarianship, public information, and management and program analysis; and student trainee positions in these disciplines. 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 support, such as guards and firefighters; and student trainee positions in these disciplines. Support (ZS)

18. Purpose of Classification • To categorize positions by: • Career Path • Occupational Series • Pay Band • Title

19. Classification Principles • Provide classification equity • Support the mission • Consider the whole job • Support “Pay-for-Performance”

20. Features of Pay Banding • Fewer, broader and simpler standards • More understandable classification • Shorter position descriptions • Fewer classification decisions • Complements pay for performance • More flexible entry pay • Better link to career stages

21. Features of Pay Banding(continued) • Less documentation • Easier to automate • Facilitates delegation to line managers

22. Features of Career Paths • Similar treatment for similar occupations • Broader and simpler classification standards • Focuses on agency-specific work

23. Classification System Automated Classification System (https://hr.ohrm.doc.gov/acs) • User system • Validation system • Storage system

24. Automated Classification System (ACS) • Supervisors are the authorized users of the system • Supervisors classify positions, as they create position descriptions, through menu-driven system • The ACS system stores created position descriptions and from this database a position description may be reviewed, copied, revised and printed

25. Classification Logic • Principal Objective • Career Path • Series • Pay Band • Title

26. Position Description Components • Principle objective • Level designation • Specialty descriptors • Key phrases • Supervisory/Lead designation • Special qualifications

27. STAFFING

28. Staffing Options • Staffing of all positions must be accomplished within merit system principles • Merit Assignment Program (MAP) • Delegated Examining (DE)

29. Merit System Principles 5 U.S.C. 2301(b) • Recruit, select and advance on the basis of merit • Treat employees and applicants fairly and equitably • Provide equal pay for equal work; reward excellent performance • Maintain high standards of integrity, conduct, and concern for the public interest • Use human resources efficiently and effectively • Retain or separate employees on the basis of their performance • Effectively train and educate employees • Protect employees from improper political influence • Protect employees from reprisal for their lawful actions

30. Priority Consideration Programs • CTAP – DOC program designed to assist displaced (RIF’d) employees in finding jobs before they are separated from DOC. • ICTAP – Government –wide program designed to assist displaced employee find federal jobs. • RPL – Separated (RIF’d) DOC employees who must receive priority consideration for positions before an offer of employment can be made to a non-status or non-agency applicant.

31. 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

32. Delegated Examining • Staffing program designed to recruit from sources outside government • Vacancy announcement • Open to all qualified candidates • Subject to Career Transition Assistance Program (CTAP/ICTAP) • Veteran’s preference applies • Paid advertising may be used

33. Delegated Examining • Traditional Method • Numerical Rating and Ranking • Veteran’s score augmented by additional points • Select from the top 3 available applicants

34. Delegated Examining • Category Rating Method An alternative to traditional numerical rating and ranking • Rule of three does not apply • Qualified applicants assigned to Gold, Silver or Bronze category • May select any candidate from the highest category referred to you • Veteran’s preference applies to each category

35. Other Options to Fill Vacancies • Reassignment • Transfer • Reinstatement • Details • Temporary Appointment • Term Appointment • Temporary Promotion • Realignment • Special Hiring Programs

36. Special Hiring Programs • Outstanding Scholar (3.5 GPA) • VRA (Veteran’s Recruitment Authority) • Handicapped • IPA (Inter-Governmental Personnel Act) • 30% Disabled Veterans • Student Education Employment Program

37. Probationary Period • Appointments of new Federal employees into research and development positions within the ZP career path are subject to a three-year probationary period • Appointment of new Federal employees into non-research ZP positions and all ZT, ZA, and ZS positions are subject to a one-year probationary period.

38. REDUCTION IN FORCE

39. Reduction in Force System Follows current law and regulation and employs the use of RIF Panels GS CAPS Displacement limited to current pay band and one pay band below Competitive Area: all positions within a career path in organization within commuting area Preserve Retained Band; Retained Pay Augmented service credit based on performance score • Displacement limited to three grade levels • Competitive Area: all positions within organization at geographic location • Retained Grade & Retained Pay • Augmented service credit based on performance rating

40. Reduction in Force Credit • For each pay pool: • - scores in top 30% • receive 10 years service credit • - scores below top 30% • receive 5 years service credit • Applies to last 3 ratings during 4 year period for possible total of 30 years credit

41. Reduction in Force Process Human Resource Advisors • Determine release from competitive level • Conducts Qualifications Analysis • Identifies positions for referral to RIF subpanel(s) • Convenes RIF subpanel(s)

42. Reduction in Force Subpanel RIF Subpanel • Reviews positions for possible bump • Refers possible positions to RIF Assignment Panel (RAP) • Comprised of two subject matter specialists appointed by Chair-RAP • HRA Serves as Technical Advisor & Executive Secretary

43. Reduction in Force Assignment Panel • Reviews positions referred by RIF Subpanel for possible bump • Requests additional information from organization • Makes final recommendations to servicing HR Manager • Chaired by OPMB Chair • Top managers of organization participate as members of RIF Assignment Panel • HRA Serves as Technical Advisor & Executive Secretary

44. PAY ADMINISTRATION

45. Pay Issues • Locality pay is included in the Base Rate • Special Rates expand the pay band but only for those occupations covered

46. Pay Setting • New Appointments • Conversion Actions • Competitive Reassignments • Promotions (at least 6%) • Change to Lower Band • Change to Lower Interval

47. Pay Ceilings • Basic Pay for non-supervisory position - maximum rate of Interval 3 • Basic Pay for supervisory position - maximum rate of Interval 5

48. Setting Pay for New Hires • Pay for new hires can be set anywhere within the pay band except for intervals 4 and 5 • Salary offers can be negotiated • Recruitment incentives can be offered • Special salary rates expand the pay band

49. Things to Consider when setting pay for a new hire • Qualifications of applicant and level of experience • Competitive salaries offered for similar positions • Comparison of salaries of existing staff • Expected learning curve & training requirements • Budget Issues in the organizations • Negotiation of salaries • Pay progression • ACI – Annual Comparability Increase • Eligibility for Performance increase – June 4th

50. Pay Setting Promotions & Reassignments • Pay may be set anywhere at any level in the new band • Promotions must receive a minimum of a 6% increase • Competitive movement from one position to another within the same career path and pay band • No in-band promotions