# Presentation: 464127

## Five-Level Performance Management System

## 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

- 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](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:  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

- 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

## 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

- 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

- Protect, Restore, and Manage the Use of Coastal and Ocean Resources through an Ecosystem Approach to Management
- Understand Climate Variability and Change to Enhance Society's Ability to Plan and Respond
- Serve Society's Needs for Weather and Water Information
- Support the Nation's Commerce with Information for Safe, Efficient, and Environmentally Sound Transportation
- Provide Critical Support for NOAA's Mission

## Linking Plans to Goals

- Ecosystems

- Climate

- Weather/Water

- Commerce/ Transportation

- Support

- Employee

- SES Supervisor

## CD-430, Critical Element Page

## 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%

- 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

## 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

- 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

## 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

- 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**

## 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 

- 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](http://ohrm.os.doc.gov/Performance/ssLINK/prod01_001139)__[ ](http://ohrm.os.doc.gov/Performance/ssLINK/prod01_001139)_

## 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

- 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

## 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)

- 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)

## 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

- 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

## 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

- 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

## 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

- 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

## 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

- 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**

## 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 

**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

## 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 

- 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 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

- 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

## 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

- _[http://ohrm.os.doc.gov/Performance/PROD01_001118](http://ohrm.os.doc.gov/Performance/PROD01_001118)_
- DOC training video:** **_[http://](http://www.wfm.noaa.gov/performancemgmt/media/test.asx)__[www.wfm.noaa.gov/performancemgmt/media/test.asx](http://www.wfm.noaa.gov/performancemgmt/media/test.asx)_
- Or contact your servicing Human Resources Advisor