R 141736Z MAR 12 ALCGCIV 003/12 SUBJ: CIVILIAN PERFORMANCE YEAR 2011/2012 CLOSEOUT AND AWARDS PROCESSING GUIDANCE A. COMDTINST M12430.6 EXCELLENCE, ACHIEVEMENT, AND RECOGNITION SYSTEM B. DHS PERFORMANCE MANAGEMENT PROGRAM GUIDE C. OPM MEMO DTD 10JUN11 GUIDANCE ON AWARDS FOR FISCAL YEARS 2011 AND 2012 1. THIS MESSAGE PROVIDES GUIDANCE TO SUPERVISORS, PERFORMANCE INCENTIVE PAY OFFICIALS (PIPO), AND CIVILIAN RESOURCE COORDINATORS (CRC), COMMAND STAFF ADVISORS (CSA), AND SERVICING HUMAN RESOURCES SPECIALISTS FOR FY12 AWARDS AND CLOSEOUT OF PERFORMANCE YEAR 2011/2012 (PY11/12). PER CHAPTER 3 OF REF A, THE FULL YEAR APPRAISAL PERIOD IS 1APR11 THRU 31MAR12. 2. THE PIPO PROCESS AND FY12 AWARDS PROGRAM WILL BE CONDUCTED IN A SIMILAR FASHION AS PREVIOUS YEARS, BUT WITHOUT THE AID OF THE LEGACY CIVILIAN PERSONNEL RESOURCE MANAGEMENT SYSTEM (CPRMS) OR THE ASSOCIATED CPRMS SUB-SYSTEMS (AEAS, QEAS, DREAS, SEAS, SA/OTS). COMDT (CG-121) WILL LEAD THE EFFORT WITH RESPECT TO THE PERFORMANCE MANAGEMENT PROGRAM OUTLINED IN REFERENCES A, B, AND C. CG-833 WILL SERVE THE CRITICAL SUPPORT FUNCTION OF FUNDS ALLOCATION AND CERTIFICATION. REFERENCE B CAN BE FOUND ON DHS CONNECT BY SEARCHING FOR "PERFORMANCE MANAGEMENT" OR BY CLICKING HTTP://TINYURL.COM/7893VLD. REFERENCE C IS OPM/OMB GUIDANCE ON BUDGETARY LIMITATIONS AND APPLIES TO AGGREGATE SALARIES VICE INDIVIDUAL EMPLOYEE AWARDS. OPM/OMB BUDGETARY LIMITATIONS ARE FACTORED INTO AWARD FUND ALLOCATIONS FROM COMDT (CG-833). 3. COMDT (CG-121) WILL DISTRIBUTE EMPLOYEE PIPO LISTINGS FOR VALIDATION AND PROVIDE THE MECHANISM TO SUBMIT RATINGS OF RECORD, AS WELL AS, RECOMMENDATIONS FOR PERFORMANCE AWARDS, TIME OFF AWARDS, AND QUALITY STEP INCREASES (QSI). PIPO RESPONSIBILITY RESIDES AT THE FLAG, SES, LOGISTICS/SERVICE CENTER, DIRECTOR, COMMANDER OR COMMANDING OFFICER LEVEL. PIPO ACTIVITIES MAY BE REDELEGATED TO CHIEF OF STAFF, EXECUTIVE ASSISTANT, DEPUTY, OR EXECUTIVE OFFICER LEVEL, AS DEEMED APPROPRIATE BY THE PIPO OFFICIAL LISTED IN PARA 4. 4. A MINIMUM OF 20 CIVILIAN EMPLOYEES ARE REQUIRED TO ESTABLISH A PERFORMANCE POOL. FOR PY11/12, THE PIPO DESIGNATIONS BELOW WILL BE USED. THE NAME OF THE PRIMARY CIVILIAN RESOURCE COORDINATOR (CRC) CURRENTLY ON FILE IS LISTED WITH EACH PIPO AREA AS FOLLOWS: ATU/PIPO AREA CRC HQ STAFF OFFICES SHELINDA SPEIGHT HQ CG-094, LSC DONALD PEDERSON HQ CG-8 LT JAMES HILTZ 36 FINCEN CHARLOTTE OWENS 72 NPFC TANGELA HUMMONS HQ CG-2, ICC, CRYPTO GROUP REBECCA ROBINSON 47 CGIS MARTY MARTINEZ HQ DCMS STAFF DAVE BANNON HQ CG-1 DAVE BANNON HQ CG-4 DAVE BANNON HQ CG-6 DAVE BANNON HQ CG-9, 28 PRO KATHRYN SCOTT HQ DCO/MSL DAWN KNEPP HQ CG-5 DAWN KNEPP HQ CG -7 AND 43 PCAF DAWN KNEPP 23 FORCECOM LISA BALDWIN 24/44/61/71/78 OTHER TRAINING CENTERS LISA BALDWIN 74 TRACEN PET JOY CONNORS 75 TRACEN YORKTOWN, 62 NMLBS BARRY TATE 76 ATC MOBILE JENNIFER MILLIGAN 77 TRACEN CAPE MAY DEBORAH RUNYON 31 DOL JIM REYNOLDS 37 SILC/BSU LAWRENCE MELLOR 38 SFLC PEGGY RUSKIE 40 ALC YVONNE WILLIAMS 41 APO ROBERT DANAHY 49 C4IT SC CDR MICHAEL GERO 60 CGA MONICA SMITH 68 HSWL PAIGE CHERRY 79 PSC LCDR ERICA MACK 80 USCG YARD HEATHER ZERBE 81 R AND D CENTER SUSAN STEVES 39 MSC CDR PATRICK KEFFLER 39 NMC KEITH JANSSEN 39 NVDC LAURA CAMPBELL 20 LANTAREA AND 52 NAVCEN LT KARENA MOORE 01 D1 MARK MCCABE 05 D5 CWO MICHAEL CHRISTIANSEN 07 D7 LCDR HARRY MAUTE 08 D8 DONALD DARCE 09 D9 CDR JORGE MARTINEZ 21 PACAREA PETE STEEL 11 D11 BILL MEYN 13 D13 LCDR JENNIFER ADAMS 14 D14 LT MICHAEL KENALEY 17 D17 LCDR SANDRA PETERSON 58 DOG CDR JOSEPH MCCONNELL 5. IN PREPARATION FOR PY11/12 CLOSEOUT, PROGRAMS ARE TO FORWARD FINAL DESIGNATIONS OF PIPO OFFICIALS AND CRCS TO COMDT (CG-833) NO LATER THAN 16MAR12 BY EMAIL. LIST THE NAME, TITLE AND DESIGNATED PIPO AREA AND THE NAMES OF THE CRCS FOR THE PIPO AREAS. PIPO AND CRC DESIGNATIONS ARE TO BE SUBMITTED TO MS. NORRITA ANDINO AND MS. EBONY GRIFFIN IN COMDT (CG-833) WITH A COPY TO CIVILIAN.PAY(AT)USCG.MIL. 6. TIMELINE FOR PY11/12 CLOSEOUT IS AS FOLLOWS (UNLESS NOTED, TIMELINES ARE NLT): 19MAR12: PIPO ROSTER AND INSTRUCTIONS WILL BE EMAILED TO CRCS FOR INITIAL REVIEW 26MAR12: CRCS COMPLETE REVIEW OF PIPO ROSTER AND REPORT DISCREPANCIES TO COMDT (CG-121) 9APR12: PIPO DISCREPANCIES RESOLVED, FINAL PIPO ROSTERS AND ALLOCATIONS COMMUNICATED TO EXECUTE PY11/12 CLOSEOUT 4MAY12: SUPERVISORS SUBMIT RATINGS OF RECORD AND PERFORMANCE AWARD/QSI NOMINATIONS TO PIPO OFFICIAL. (THIS DEADLINE DOES NOT APPLY FOR DELAYED RATINGS). 4MAY12 TO 24MAY12: PIPOS CONVENE AND COMPLETE AWARD RECOMMENDATIONS. 25MAY12: PIPOS CERTIFY THEIR SUBMISSIONS AND SUBMIT THEIR AWARDS SPREADSHEET TO COMDT (CG-833) FOR FUNDING CERTIFICATION. CERTIFICATIONS NOT SUBMITTED BY 25MAY12 WILL MISS THE REGULAR PROCESSING DEADLINE AND WILL BE PROCESSED WITH DELAYED RATINGS (ON OR ABOUT 6SEP12) 31MAY12: PIPOS FORWARD SIGNED PERFORMANCE APPRAISALS, AWARD JUSTIFICATIONS, AND EMPLOYEE ELECTIONS FOR TIME OFF IN LIEU OF CASH TO COMDT (CG-121) FOR FILING IN THE EMPLOYEES PERFORMANCE FILE. THIS ACTIVITY SHALL BE COORDINATED WITH THE COMMAND STAFF ADVISOR OR SERVICING HR SPECIALIST. DOCUMENTATION SHALL BE SENT VIA TRACEABLE MEANS. 04JUN12: COMDT (CG-83) REVIEWS AND FORWARDS FUNDS CERTIFICATION MEMORANDUM TO COMDT (CG-121) FOR PROCESSING 11JUN12: COMDT (CG-121) QUALITY REVIEW 18JUN12: COMDT (CG-121) BEGINS PROCESSING OF PERFORMANCE CASH AWARDS, QUALITY STEP INCREASES, AND TIME OFF AWARDS SUBMITTED ON THE PIPO SPREADSHEET WITH AN EFFECTIVE DATE OF 17JUN12. PAYOUT OF AWARDS ACCOMPANIES PAY PERIOD 13 AND IS DISBURSED ON OR ABOUT 12JUL12. TIME OFF AWARDS WILL REFLECT IN WEBTA ON 2JUL12. 20JUL12: PIPOS CERTIFY THEIR DELAYED RATINGS AND SUBMIT THEIR AWARDS SPREADSHEET 20JUL12: PIPOS FORWARD SIGNED PERFORMANCE APPRAISALS AND FULL JUSTIFICATIONS FOR DELAYED PERFORMANCE CYCLE TO COMDT (CG-121) FOR FILING IN THE EMPLOYEES PERFORMANCE FILE. 30JUL12: COMDT (CG-83) REVIEWS AND FORWARDS FUNDS CERTIFICATION MEMORANDUM TO COMDT (CG-121) 13AUG12: COMDT (CG-121) BEGINS PROCESSING DELAYED RATINGS AND AWARDS WITH AN EFFECTIVE DATE OF 12AUG12. PAYOUT OF AWARDS ACCOMPANIES PAY PERIOD 17 AND IS DISBURSED ON OR ABOUT 6SEP12. NOTE: DETAILED INSTRUCTIONS FOR SPREADSHEET CERTIFICATION AND SUBMISSION WILL BE SENT VIA SEPCOR. 7. RATINGS OF RECORD: PIPOS SHALL ENSURE THE COMPLETE SSN IS REFLECTED ON THE EMPLOYEE EVALUATION. COAST GUARD EMPLIDS ARE ISSUED THROUGH THE MILITARY HR SYSTEM (DIRECT ACCESS) AND HAVE NO UTILITY IN THE CIVILIAN HR SYSTEM, NOR THE OFFICE OF PERSONNEL MANAGEMENT ELECTRONIC OFFICIAL PERSONNEL FOLDER. PIPOS SHALL ENSURE THAT THE PERFORMANCE ANNIVERSARY DATES (BEGINNING AND ENDING) ARE INCLUDED WITH THEIR PIPO SUBMISSION AND MATCH THE DATES ON THE FORM. 8. IMPACT OF ORGANIZATION MODIFICATION REQUESTS (OMR): AS WE STEADY THE FORCE, OMR ACTIVITIES ARE MOVING PERSONNEL ACROSS PIPO DESIGNATIONS. TO UPHOLD OUR COMMITMENT TO EMPLOYEES IMPACTED BY OMRS AND TO MEET OUR LABOR OBLIGATIONS, EMPLOYEES WILL REMAIN WITHIN THEIR PIPO BASED ON THEIR PAL ORGANIZATIONAL ASSIGNMENT AS OF 31MAR12. ORGANIZATIONAL DISCREPANCIES ASSOCIATED WITH OMRS SHALL BE RECONCILED BY THE PIPO DURING THE INITIAL EMPLOYEE ROSTER VERIFICATION. ORGANIZATIONAL DISCREPANCIES UNRELATED TO OMRS MUST BE RECONCILED BY THE PIPO AND THEIR COMMAND STAFF ADVISOR OR SERVICING HR SPECIALIST. ALL DISCREPANCIES WILL BE ADJUDICATED AND ASSOCIATED CHANGES MADE BY COMDT (CG-121) STAFF PER THE TIMELINE IN PARA 6. 9. ALLOCATION OF AWARDS: A. ALLOCATION OF FUNDING AND QSIS WILL BE MADE BY COMDT (CG-833) TO PIPO REPRESENTATIVES VIA EMAIL AFTER EMPLOYEE ROSTER VALIDATION. REQUIRED ALLOCATION ADJUSTMENTS DUE TO LOCATION CHANGES FROM THE EMPLOYEE VALIDATION PROCESS WILL BE COMPLETED BY COMDT (CG-833). AWARD DOLLAR LIMITS CANNOT BE SUPPLEMENTED BY TRANSFERRING FUNDS FROM OTHER SOURCES. AWARD DOLLARS UNSPENT IN FY12 CANNOT BE CARRIED FORWARD TO FY13. PIPOS ARE REMINDED THAT AN EMPLOYEE MAY RECEIVE A RATING BASED AWARD (CASH AWARD OR TIME OFF) OR QSI, BUT NOT BOTH FOR THE SAME RATED PERFORMANCE. B. PIPOS SHALL ENSURE AN APPROPRIATE AMOUNT OF THEIR TOTAL AWARDS BUDGET IS ALLOCATED TO COVER BOTH PERFORMANCE CASH AWARDS, SPECIAL ACT AND ON THE SPOT CASH AWARDS. PIPOS WHO ARE NOT AT 85 PERCENT SPEND DOWN BY 1AUG12 WILL HAVE FUNDS SWEPT TO THE 85 PERCENT LEVEL. C. IN FY10/11, NEARLY 65 PERCENT OF SPECIAL ACT AND ON THE SPOT AWARDS WERE DISBURSED IN THE FOURTH QUARTER. RECOGNIZING EMPLOYEE CONTRIBUTIONS IN A TIMELY MANNER IS A CHALLENGE AREA FOR THE COAST GUARD ON ANNUAL EMPLOYEE SATISFACTION SURVEYS - PIPOS ARE ENCOURAGED TO RECOGNIZE EMPLOYEES IN A TIMELY MANNER THROUGHOUT THE YEAR. D. SPECIAL ACT (SA) AND ON THE SPOT (OTS) AWARDS SUBMISSIONS MUST BE APPROVED BY CRCS AND RECEIVED IN COMDT (CG-121) NO LATER THAN COB 11AUG12 TO PROVIDE SUFFICIENT PROCESSING TO MEET FY12 DEADLINES. PAY PERIOD 19 IS THE LAST FULL PAY PERIOD FOR FY12 AND ENDS ON 22SEP12. 10. PERFORMANCE AWARD ELIGIBILITY AND STANDARDS: EMPLOYEES WHO ARE ON AN APPROVED PERFORMANCE PLAN ON THE LAST DAY OF THE APPRAISAL CYCLE (31MAR12), INCLUDING ANY EXTENSION NEEDED TO MEET THE MINIMUM 90 DAY REQUIREMENT (DELAYED RATINGS), ARE ELIGIBLE FOR A PERFORMANCE AWARD. A. EMPLOYEES RATED "MEETS" UNDER EARS AND "ACHIEVED EXPECTATIONS" UNDER DHS/PMS ARE ELIGIBLE TO RECEIVE PERFORMANCE AWARDS, AT PIPO DISCRETION, BASED ON THE QUALITY AND VALUE OF THEIR PERFORMANCE. PIPOS MUST ENSURE THAT AN EMPLOYEE RATED "EXCEEDS" OR "ACHIEVED EXCELLENCE" AND APPROVED FOR A PERFORMANCE CASH AWARD RECEIVES A LARGER AWARD THAN AN EMPLOYEE IN THE SAME GRADE AND PERFORMANCE POOL THAT WAS RATED AT "MEETS" OR "ACHIEVED EXPECTATIONS". B. DEPARTING EMPLOYEES ARE ELIGIBLE TO RECEIVE A PERFORMANCE AWARD. PAY PERIOD 6 IS THE LAST FULL PAY PERIOD BEFORE THE PERFORMANCE APPRAISAL CYCLE END DATE. EMPLOYEES MUST BE ONBOARD AS OF 24MAR12 TO RECEIVE A PERFORMANCE CASH AWARD (NOTE: 31MAR12 IS IN THE MIDDLE OF PAY PERIOD 7). PARA 11 AND PARA 13 CONTAIN FURTHER GUIDANCE REGARDING LIMITATIONS ON QUALITY STEP INCREASES AND TIME OFF AWARDS FOR SEPARATED EMPLOYEES. 11. QUALITY STEP INCREASE (QSI) ELIGIBILITY AND REVIEW: GS/GM EMPLOYEES MUST MEET THE FOLLOWING REQUIREMENTS TO BE CONSIDERED FOR A QSI: A. RECEIVED A SUMMARY RATING OF "EXCEEDS" UNDER EARS OR "ACHIEVED EXCELLENCE" UNDER DHS/PMS DURING THE MOST RECENT RATING CYCLE. THE RATING OF RECORD SHALL NOT BE OLDER THAN ONE YEAR. B. ARE NOT AT THE TOP STEP OF THEIR GS/GM GRADE, AND C. HAVE NOT RECEIVED A QSI IN THE PRECEDING 52 WEEKS. D. COMMAND STAFF ADVISORS (CSAS) OR SERVICING HR SPECIALISTS WILL REVIEW QSI NOMINATIONS FOR COMPLIANCE BEFORE PROCESSING IN THE HR SYSTEM. E. ALL QSIS MUST HAVE SUPPORTING JUSTIFICATION INDICATING SUSTAINED SUPERIOR PERFORMANCE THAT IS EXPECTED TO REMAIN AT A CONSISTENTLY HIGH LEVEL. F. QSIS FOR EMPLOYEES NOT ON THE COAST GUARD ROLLS: A QSI CANNOT BE PROCESSED FOR AN EMPLOYEE WHO IS NOT ON THE COAST GUARD ROLLS. EMPLOYEES MUST BE ONBOARD AT THE TIME THE AWARD IS PROCESSED BY COMDT (CG-121), OTHERWISE THE QSI WILL NOT BE PROCESSED. PARA 6 CONTAINS PROCESSING EFFECTIVE DATES. 12. MINIMUM AWARD AMOUNTS: THE MINIMUM AMOUNT OF PERFORMANCE CASH AWARD IS ESTABLISHED AT 500 DOLLARS. PERFORMANCE CASH AWARDS IN AMOUNTS LESS THAN 500 DOLLARS WILL NOT BE PROCESSED. CASH AWARDS OF 5001-5999 DOLLARS AND ABOVE MUST BE APPROVED BY THE COMMANDANT. AWARDS OVER 5999 DOLLARS MUST BE APPROVED BY THE SECRETARY. 13. TIME OFF AWARDS (TOA) IN LIEU OF CASH: A. PIPOS SHALL PAY CLOSE ATTENTION TO THE RATIONALE USED TO GRANT TIME OFF AWARDS. THE PIPO WILL RELATE THE NUMBER OF HOURS OFF TO THE LEVEL OF RATING RECEIVED. B. TOA LIMITATIONS: TOA AWARDS CANNOT EXCEED 40-HOURS FOR FULL-TIME EMPLOYEES. TOA AWARDS FOR PART-TIME EMPLOYEES ARE LIMITED TO THE PRO-RATED BASIS OF THEIR WORK SCHEDULE AS OF 31MAR12. A PART-TIME EMPLOYEE WHO WORKS 40-HOURS A PAY PERIOD CANNOT EARN A TOA IN EXCESS OF 20-HOURS. C. TOA EXPIRATION: TOAS ARE GOOD FOR 26 PAY PERIODS FROM THE EFFECTIVE DATE OF PROCESSING. FOR EXAMPLE, TIME OFF AWARDS EFFECTIVE PAY PERIOD 13 OF 2012 (17JUN12) MUST BE USED BEFORE PAY PERIOD 13 OF 2013 OR THEY WILL BE FORFEITED. D. TOA ACKNOWLEDGEMENT: EMPLOYEES MUST ACKNOWLEDGE THEIR DECISION TO ELECT A TOA IN LIEU OF CASH IN WRITING. THIS DECISION IS IRREVOCABLE. PIPOS SHALL ATTACH THE EMPLOYEES WRITTEN ACKNOWLEDGEMENT TO THE EVALUATION FORM AND SUBMIT THIS DOCUMENTATION PER THE TIMELINE IN PARA 6. A SAMPLE OF THIS ACKNOWLEDGEMENT IS AVAILABLE AT HTTP://WWW.USCG.MIL/CIVILIANHR/PERFORMANCE/PERFORMANCE.ASP E. TOAS ARE NOT TRANSFERABLE TO AGENCIES OUTSIDE OF DHS AND DO NOT CONVERT TO CASH AT THE TIME OF SEPARATION OR FORFEITURE. F. TOAS FOR EMPLOYEES NOT ON THE COAST GUARD ROLLS: A TIME OFF AWARD CANNOT BE PROCESSED FOR AN EMPLOYEE WHO IS NOT ON THE COAST GUARD ROLLS. EMPLOYEES MUST BE ONBOARD AT THE TIME THE AWARD IS PROCESSED BY COMDT (CG-121), OTHERWISE THE TOA WILL NOT BE PROCESSED. 14. DELAYED RATINGS: SUPERVISORS ARE OBLIGATED TO SUBMIT RATINGS FOR ALL COVERED EMPLOYEES WHO BEGIN EMPLOYMENT BETWEEN 31DEC11 AND 1APR12. EMPLOYEES WHO DO NOT MEET THE 90-DAY MINIMUM PERIOD FOR A RATING AS OF 31MAR12 ARE ELIGIBLE FOR A PERFORMANCE CASH AWARD OR TIME OFF AWARD UNDER THE DELAYED RATING PROCESS. CG-833 HAS SET ASIDE A PORTION OF THE ANNUAL AWARDS POOL FOR EMPLOYEES RECOMMENDED FOR PERFORMANCE CASH AWARD UNDER THE DELAYED RATING PROCESS. NOMINATIONS FOR THESE AWARDS WILL BE SENT TO COMDT (CG-833) FOR APPROVAL BASED ON THE TIMELINES IN PARA 6. 15. NON-RATING BASED AWARDS PROCESSING: INTERIM GUIDANCE REGARDING THE SUBMISSION OF SPECIAL ACT, ON THE SPOT, QSI, AND TIME OFF AWARDS WILL BE SENT VIA SEPARATE CORRESPONDENCE. ALL SPECIAL ACT AND ON THE SPOT AWARDS SUBMITTED TO COMDT (CG-833) DURING THE CPRMS OUTAGE (E.G. AFTER 23JAN12) WILL BE FORWARDED TO COMDT (CG-121) FOR PROCESSING. THIS CORRESPONDENCE WILL ALSO CONTAIN GUIDANCE FOR QSI NOMINATIONS ASSOCIATED WITH PY11/12 CLOSEOUT. 16. CRCS MAY CONTACT MR. FELIX EDOZIE, CIVILIAN PAY MANAGER, COMDT (CG-833) WITH QUESTIONS PERTAINING TO AWARDS BUDGET AND FUNDS CERTIFICATION. QUESTIONS REGARDING THE PERFORMANCE MANAGEMENT INCLUDING RATINGS AND AWARDS SHOULD BE DIRECTED TO YOUR CSA OR SERVICING HUMAN RESOURCES SPECIALIST. A LISTING OF SERVICING ASSIGNMENTS CAN BE FOUND AT WWW.USCG.MIL/CIVILIANHR/CONTACT.ASP. 17. THIS IS A COORDINATED COMDT (CG-121) AND COMDT (CG-83) MESSAGE. 18. CYNTHIA NELSON-POSSINGER, CHIEF, CIVILIAN HUMAN RESOURCES, SENDS. 19. INTERNET RELEASE AUTHORIZED.