Five-Level Performance Management System

Caveat for Bargaining Unit Employees

The following presentation is intended for:

– Non-bargaining unit employees

OR

– Bargaining unit employees whose labor unions have completed negotiations on the five-level performance management system

What is Performance Management?

Performance plan

Midterm or progress review

Final appraisal

Performance Management is also:

The exchange of ideas and informal discussions with your supervisor

How management communicates the NOAA goal(s) and objective(s) your work supports

How you and your supervisor can identify training needs and career development

Current Performance Management

Covered by two-level, or pass-fail, performance management system

Includes all General Schedule and Federal Wage System employees as well as Wage Marines

At end of appraisal cycle, most employees will receive a “Meets or Exceeds Expectations” rating

Migration to Five-Level System

All current two-level employees will switch to five-level performance management system

Effective 10/01/06 for all non-bargaining unit employees or after labor relations obligations have been completed

Includes all General Schedule and Federal Wage System employees as well as Wage Marines– Not Demonstration Project employees

What does change to five-level mean?

By end of October, employees will receive final, two-level appraisal– Wage Marines will receive this by end of November

By end of November (Dec. for Wage Marines), employees will receive new performance plan to be rated on five-level system– At end of next appraisal cycle, you will receive a:

Level 5 (highest), Level 4, Level 3, Level 2, or Level 1 (unacceptable)

Five-Level Performance Planning

Plans recorded on new form: CD-430: http://www.osec.doc.gov/forms/pdf/cd430fll.pdf

Plan must be presented to you within 60 days of beginning of appraisal cycle

Plans must contain between 3 and 5 critical elements which describe the nature of your duties

– Required for all employees: Customer Service element

Each critical element must support both DOC and NOAA organizational goals

CD-430, Critical

Element Page

Element and Objective

Element: brief description or title of the duties contained in this element– Ex. – Customer Service

Objective: goal of element – Ex. – To respond to internal and external customers,

stakeholders, and the public

CD-430, Critical

Element Page

DOC Goal/NOAA Goal

Indicates both the Commerce and NOAA organizational goals that your work on that element supports

Each employee’s duties must advance DOC and NOAA strategic goals

Commerce 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 management of the earth’s resources to promote environmental stewardship.

Management Integration Goal:  Achieve organizational management excellence.

NOAA’s Mission Goals and Mission Support Goal

1. Protect, Restore, and Manage the Use of Coastal and Ocean Resources through an Ecosystem Approach to Management

2. Understand Climate Variability and Change to Enhance Society's Ability to Plan and Respond

3. Serve Society's Needs for Weather and Water Information

4. Support the Nation's Commerce with Information for Safe, Efficient, and Environmentally Sound Transportation

5. Provide Critical Support for NOAA's Mission 

Linking Plans to Goals

Ecosystems ClimateWeather/Water

Commerce/ Transportation Support

EmployeeSES Supervisor

CD-430, Critical

Element Page

Weight

Each critical element is weighted with a percentage: Ex. – 25%

Weight of all critical elements in a plan must equal 100%

Weight designates the importance of that element in advancing organizational goals

Minimum weight = 15%

CD-430, Critical

Element Page

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– Ex. – Accurate reporting; timely submissions

CD-430, Critical

Element Page

Criteria for Evaluation/Supplemental Standards

Depict the level of work required to earn a Level 3 on that critical element: Quality, Quantity, Timeliness, Cost-Effectiveness– Work above the described level = Level 4 or Level 5

rating– Work below the described level = Level 2 or Level 1

Ex. – Submissions are usually accurate and are usually submitted by the established deadline

Generic Performance Standards

Used in addition to Supplemental Standards to give general guidelines on how to achieve each rating level (Level 5, Level 4, etc.)

Part of CD-430, performance plan

Can also be found online: http://ohrm.os.doc.gov/Performance/ssLINK/prod01_001139

Finalizing Your Performance Plan

Ensure that you understand required duties and how they link to organizational goals

Ensure that Level 3 work described in Supplemental Standards are achievable

Sign and date plan– If you refuse to sign, the plan is still in effect and

supervisor notes refusal to sign

Progress Reviews

One progress review required at mid-point of appraisal cycle (approx. March or April)

Additional progress reviews can be requested by employee or supervisor

Supervisor documents that performance is at or above Level 3 or indicates elements on which performance is below Level 3

– Note: When performance falls to Level 1, supervisor will establish a Performance Improvement Plan (PIP)

End-of-Year Appraisals

Eligibility for Rating: – Must have worked at least 120 days in one or more

covered positions during the appraisal cycle– Must occupy a covered position on the last day of the

performance cycle

Employees should compile a listing of accomplishments completed during appraisal cycle– Employee may request a pre-appraisal meeting to

present accomplishments listing

Performance Appraisal Meeting

Supervisor presents employee with final rating:– Level 5, Level 4, Level 3, Level 2, or Level 1– Level 1 on any critical element = Level 1 final rating

Must be conducted within 30 days of end of cycle

Supervisor must have provided overall justification of rating or must have justified each critical element

Employee signs and dates signaling discussion of final rating with supervisor

– Employee may refuse to sign

How a Final Rating is Determined

Supervisor rates each critical element from 1 – 5, using Supplemental/Generic Standards as guide

– Only whole numbers: Level 4, not Level 4.5

Supervisor multiplies rating on each critical element by weight on that critical element

– Ex. – 15 (%) x (Level) 4 = 60 points

Points for each critical element are totaled

Use scale to determine which rating corresponds to point total

Example

Critical Element 1 is 30% of plan Rated at Level 4 30 x 4 = 120 points

Critical Element 2 is 30% of plan Rated at Level 3 30 x 3 = 90 points

Critical Element 3 is 20% of plan Rated at Level 5 20 x 5 = 100 points

Critical Element 4 is 20% of plan Rated at Level 4 20 x 4 = 80 points

120 + 90 + 100 + 80……………TOTAL = 390 points

Scale

Overall Score Summary Rating

470 – 500 points Level 5 380 – 469 points Level 4 290 – 379 points Level 3 200 – 289 points Level 2 100 – 199 points Level 1

Example from Previous Slide:– 390 points translates into a Level 4 rating

Reconsideration of Rating

If employee is not satisfied with rating, he/she may request reconsideration

Informal Reconsideration: work with rating and approving officials to justify higher rating

Formal Reconsideration: processed under the appropriate negotiated grievance procedures or under the DOC’s administrative grievance procedure

Performance Awards

Performance awards will be reinstated under five-level system

Highest performers will receive highest awards

Other awards--Special Act, Time Off, CIYA--still available for use throughout year

For more information…

http://ohrm.os.doc.gov/Performance/PROD01_001118

DOC training video: http://www.wfm.noaa.gov/performancemgmt/media/test.asx

Or contact your servicing Human Resources Advisor