[Federal Register Volume 76, Number 44 (Monday, March 7, 2011)]
[Notices]
[Pages 12508-12548]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2011-4932]
[[Page 12507]]
Vol. 76
Monday,
No. 44
March 7, 2011
Part III
Department of Defense
-----------------------------------------------------------------------
Science and Technology Reinvention Laboratory Personnel Management
Demonstration Project, Department of the Army, Army Research,
Development and Engineering Command, Tank Automotive Research,
Development and Engineering Center (TARDEC); Notice
Federal Register / Vol. 76 , No. 44 / Monday, March 7, 2011 /
Notices
[[Page 12508]]
-----------------------------------------------------------------------
DEPARTMENT OF DEFENSE
Office of the Secretary
Science and Technology Reinvention Laboratory Personnel
Management Demonstration Project, Department of the Army, Army
Research, Development and Engineering Command, Tank Automotive
Research, Development and Engineering Center (TARDEC)
AGENCY: Office of the Deputy Under Secretary of Defense (Civilian
Personnel Policy) (DUSD (CPP)), DoD.
ACTION: Notice.
-----------------------------------------------------------------------
SUMMARY: Section 342(b) of the National Defense Authorization Act
(NDAA) for Fiscal Year (FY) 1995, Public Law (Pub. L.) 103-337, (10
U.S.C. 2358 note), as amended by section 1109 of NDAA for FY 2000,
Public Law 106-65, and section 1114 of NDAA for FY 2001, Public Law
106-398, authorizes the Secretary of Defense to conduct personnel
demonstration projects at DoD laboratories designated as Science and
Technology Reinvention Laboratories (STRLs). The above-cited
legislation authorizes DoD to conduct demonstration projects to
determine whether a specified change in personnel management policies
or procedures would result in improved Federal personnel management.
Section 1105 of the NDAA for FY 2010, Public Law 111-84, 123 Stat.
2486, October 28, 2009, designates additional DoD laboratories as STRLs
for the purpose of designing and implementing personnel management
demonstration projects for conversion of employees from the personnel
system which applied on October 28, 2009. The TARDEC is listed in
subsection 1105(a) of NDAA for FY 2010 as one of the newly designated
STRLs.
DATES: Implementation of this demonstration project will begin no
earlier than March 9, 2010.
FOR FURTHER INFORMATION CONTACT:
TARDEC: U.S. Army Tank Automotive Research, Development and
Engineering Center (TARDEC), 6501 East 11 Mile Road, Warren, MI 48397-
5000, ATTN: RDTA-COS/MS 204 Mr. Gregory L. Berry, Warren, MI 48397-
5000.
DoD: Ms. Betty Duffield, CPMS-PSSC, Suite B-200, 1400 Key
Boulevard, Arlington, VA 22209-5144.
SUPPLEMENTARY INFORMATION:
1. Background
Since 1966, many studies of DoD laboratories have been conducted on
laboratory quality and personnel. Almost all of these studies have
recommended improvements in civilian personnel policy, organization,
and management. Pursuant to the authority provided in section 342(b) of
Public Law 103-337, as amended, a number of DoD STRL personnel
demonstration projects were approved. These projects are ``generally
similar in nature'' to the Department of Navy's ``China Lake''
Personnel Demonstration Project. The terminology, ``generally similar
in nature,'' does not imply an emulation of various features, but
rather implies a similar opportunity and authority to develop personnel
flexibilities that significantly increase the decision authority of
laboratory commanders and/or directors.
This demonstration project involves: (1) Two appointment
authorities (permanent and modified term); (2) extended probationary
period for newly hired engineering and science employees; (3) pay
banding; (4) streamlined delegated examining; (5) modified reduction-
in-force (RIF) procedures; (6) simplified job classification; (7) the
Contribution-based Compensation and Appraisal System (CCAS); (8)
academic degree and certificate training; (9) sabbaticals; (10) a
Voluntary Emeritus Corps; (11) direct hire authority for candidates
with advanced degrees for scientific and engineering positions; and
(12) Distinguished Scholastic Achievement Appointment Authority.
2. Overview
The NDAA for FY 2010 not only designated new STRLs but also
repealed the National Security Personnel System (NSPS) mandating
conversion of NSPS covered employees to their former personnel system
or one that would have applied absent the NSPS. A number of TARDEC
employees are covered by the NSPS and must be converted to another
personnel system. Section 1105 of NDAA for FY 2010 stipulates the STRLs
designated in subsection (a) of section 1105 may not implement any
personnel system, other than a personnel system under an appropriate
demonstration project as defined in section 342(b) of Public Law 103-
337, as amended, without prior congressional authorization. In
addition, any conversion under the provisions of section 1105 shall not
adversely affect any employee with respect to pay or any other term or
condition of employment; shall be consistent with section 4703(f) of
title 5 United States Code (U.S.C.); and shall be completed within 18
months after enactment of NDAA for FY 2010. Therefore, since TARDEC is
both designated an STRL by section 1105 of NDAA for FY 2010 and has
NSPS covered employees, it must convert, at a minimum, its NSPS covered
employees to a personnel management demonstration project before the
end of April 2011.
On September 9, 2010, DoD published the proposed STRL Demonstration
Project for TARDEC in 75 FR 55109-55157. During the public comment
period ending October 12, 2010, DoD received comments from five
individuals. All comments were carefully considered. The following
summary addresses all the comments received, provides responses, and
note resultant changes to the original project plan in the first
Federal Register notice. Most commenters addressed several topics,
which were counted separately. A total of 39 comments were received
from the five commenters. The following summary addresses all comments
received, provides responses, and notes resultant changes to the
original project plan in the first Federal Register notice.
A. General Overview of Comments
None of the comments received gave an overall opinion supporting or
not supporting the demonstration project. The comments received are
categorized as desiring further clarification or offering constructive
recommendations on improving the details of the demonstration project.
Generally, the comments were very helpful in pointing out areas that
needed refinement or correction and were directed to a specific topic.
In order to maintain the greatest flexibilities additional detailed
instructions will be contained in the TAREC Demonstration Project
Internal Operating Instructions.
B. Personnel Management Board
One (1) comment was received under this section.
Comment: What does ``ensure in-house budget discipline'' mean? Is
this the ``Control Gates'' or ``Swim Lanes'' as TARDEC currently calls
it under acquisition demonstration where maximum pay in a given band is
being limited to less than the band allows and what the position is
advertised to encompass?
Response: The TARDEC Personnel Management Board has the
responsibility to ensure that expenses associated with the
demonstration project are maintained within proper funding levels. The
use of ``control gates'' for the demonstration project, if used, will
be contained in the Demonstration Project Operating Instructions. No
changes were made as a result of this comment.
[[Page 12509]]
C. Pay Banding
One (1) comment was received under this section.
Comment: Within the Engineering and Science DB pay band at the II
level, it is identified as a developmental track covering GS-5, step 1,
through GS-11, step 10. TARDEC has Chemists whose full performance
grade (GS-9/11) falls in this band. As written, this is misleading as
it implies that these people are in a developmental position when in
fact they are not.
Response: Concur with comment. The DB Pay Band Level II covers
positions that may be either developmental in nature or at the full
performance level. Federal Register notice Section III.A.1.b is
modified to read: ``Band II is developmental/full performance track
covering GS-5, step 1, through GS-11, step 10.
D. Classification
One (1) comment was received under this section.
Comment: The Federal Register notice does not talk about how
supervisory and/or team leader positions will be determined from the
standpoint of meeting some type of established criteria. Recommend a
review of the language with the possibility of adding that Office of
Personnel Management (OPM) Functional Classification Standards could be
used to form applicability determinations for positions.
Response: Concur with the comment. The OPM Functional
Classification Standards such as the General Schedule Team Leader
Guide, General Schedule Supervisory Guide, Research Grade Evaluation
Guide, Equipment Development Grade Evaluation Guide, etc., will be used
as foundation guides in making proper classification applicability
determinations. Federal Register notice Section III.B.2 is modified to
read: ``Current OPM functional classification standards may be used to
aid in position applicability and the framework for pay band level
determinations.''
E. Contribution-Based Compensation and Appraisal System (CCAS)
A total of eleven (11) comments were received under this category
relating to four subtopics as follows:
1. Pay Pools
Comments: Two similar comments addressed the guidelines for sizing
of pay pools and that in the past TARDEC had exceeded the size
guidelines for pay pools under the DoD Civilian Acquisition Workforce
Personnel Demonstration Project. Does TARDEC intend to continue having
a single pay pool with upwards of 700 employees in it?
Response: It is projected that the makeup of demonstration project
pay pools will typically be constructed within normal pay pool size
guidelines. However, to provide additional flexibility, some specific
language in Section III.C.3. Pay Pools was deleted with the actual
construct of pay pools to be further defined in the Demonstration
Project Internal Operating Instructions.
Comment: One comment addressed whether it will be a requirement
that supervisory personnel be in a separate pay pool from non-
supervisory personnel.
Response: To maintain flexibility the construct of pay pools will
be further defined in the Demonstration Project Internal Operating
Instructions. Federal Register notice Section III.C.3 was modified to
delete the sentence: ``Supervisory personnel typically will be placed
in a pay pool separate from subordinate non-supervisory personnel.''
Comment: One comment addressed the amount of the performance
payouts; whether they are based on an established pay calculation such
as the DoD Civilian Acquisition Workforce Personnel Demonstration
Project's CAS2NET system; and if the formulas will be made available.
Response: The final decision for the amounts given for performance
pay outs rests with the TARDEC Director with a recommendation by a Pay
Pool Manager. While an automated tool may perform generalized
calculations, the amounts to be given for continuing pay increases and
bonus awards are the Pay Pool Manager's determination. No changes in
the Federal Register notice have been made in response to this comment.
Comment: One comment addressed the funding levels and the fact that
TARDEC has a number of employees that are co-located with other offices
such as Program Executive Offices which complicates the pay pool
funding situation since these offices may fund at different levels.
Response: The decisions on funding levels for the Demonstration
Project are at the sole discretion of the TARDEC Director with
recommendations provided by the TARDEC Personnel Management Board.
Consultation with other organizations is desirable, but will not be
required by the Demonstration Project. No changes in the Federal
Register notice have been made in response to this comment.
2. Annual Rating Cycle and Rating Process
Comment: One comment addressed that all Overall Contribution Scores
(OCS) will be rounded up to the nearest whole number. For clarification
purposes, an OCS of 70.1 would be rounded up to 71. Is that correct?
Response: This comment has been carefully considered; and it is
agreed that it needs clarification. Federal Register notice Section
III.C.4 is modified to read: ``All OCS's will be rounded to the nearest
whole number.''
Comment: One comment addressed when the expected OCS for an
individual would be established and set for the appraisal year in order
for the employee to perform throughout the year to a level associated
with the expected OCS.
Response: The expected OCS is directly tied to an employee's base
pay. Therefore, it is the base pay the employee has at the end of the
rating cycle that will determine the final expected OCS. This does not
preclude the employee and the rating official from discussing
performance at the beginning and mid-point of the rating cycle. The
demonstration project encourages employees and supervisors to actively
participate in on-going performance discussions. The demonstration
project has established six performance factors with each factor having
multiple levels of increasing contribution corresponding to the pay
band levels; this will allow meaningful discussions without the final
expected OCS being determined until the end of the rating cycle. No
changes in the Federal Register notice have been made in response to
this comment.
Comment: One comment addressed Table 4 with respect to the OCS
point ranges for the Business and Technical (DE) Occupational Family.
It was suggested the table may need further review and refinement to
allow for the possibility of higher scores.
Response: This comment was carefully considered. It was agreed that
Table 4 needs to be modified to revise the point ranges of the Business
and Technical (DE) occupational family. This will allow for and
maintain proper growth potential within this occupational family.
Federal Register notice Table 4 was modified accordingly.
3. Base Pay Increases and Bonuses
Comment: One comment pointed out that base pay increases may be
limited and that base pay is capped when an employee reaches the
maximum rate of base pay in an assigned pay band. The
[[Page 12510]]
commenter asked if these are one in the same or if they refer to
``control gates.'' Compensation should not be limited to something
lower than what the pay band allows, otherwise a return to General
Schedule may be appropriate.
Response: The demonstration project gives final authority to the
TARDEC Director in the distribution of the amount of individual pay
increases and bonuses as recommended by a Pay Pool Manager. No changes
in the Federal Register notice have been made in response to this
comment.
4. Awards
Comment: One commenter requested clarification as to whether the
$25,000 ceiling applies only to group awards or if it may also apply to
individual awards.
Response: The delegation of awards authority is an internal Army
decision and will be considered as such.
Comment: One commenter recommended expanding the TARDEC Director's
awards authority to provide final approval authority for two Army
civilian honorary achievement medals.
Response: The delegation of awards authority is an internal Army
decision and will be considered as such.
F. Hiring Authority
A total of nine comments were received under this category relating
to five subtopics as follows:
1. Delegated Examining
Comment: In regard to rating and ranking being required only when
the number of qualified candidates exceed 15 or there is a mix of
preference and non-preference applicants, one commenter wanted to know
who determines the number of qualified candidates. The question was
posed as to whether this was left to the selecting official as the
commenter wanted to make sure the integrity of the qualified
determinations were maintained under the demonstration project.
Response: The servicing Civilian Personnel Advisory Center will
determine the number of qualified candidates based on the number of
applications received and the number of applicants determined to fully
meet the prescribed OPM qualification standards. This is a function of
the servicing Civilian Personnel Advisory Center and not the selecting
official. No changes in the Federal Register notice have been made in
response to this comment.
Comment: One comment addressed that there was no mention of
positions covered by the Administrative Careers With America (ACWA) at
the proposed Business and Technical Lab Demo Pay Band DE-II, GS-5
through GS-11 level equivalent. Since the demonstration project will
recruit at the lowest GS equivalent of the band, so the DE-II positions
would be recruited at the GS-5 equivalent, and many, if not all,
positions in that occupational family would be covered by ACWA,
therefore they recommended that we modified our language to include the
use of the OPM ACWA Assessment Tool for these positions.
Response: This comment has been carefully reviewed resulting in the
addition of the following clarifying information to the Federal
Register notice Section III.D.2: ``The Demonstration Project will
utilize the current OPM Administrative Careers With America (ACWA) or
successor procedures for occupational series which have been designated
as having a testing requirement. This will allow for the recruitment of
positions covered by the Business and Technical Occupational Family at
the DE-II pay band level.''
Comment: One comment recommended identifying an upper and lower
level within the DE-II pay band for recruitment purposes only in order
to qualify candidates at the higher level of the pay band say at the
GS-9 level. They recognized that many positions require work at the
full performance level (GS-9/11 equivalent), which cannot be met with
the standard as written. Plus they said many positions within the
laboratory are covered under the Luevano Decree, and must meet the ACWA
requirements if recruited using GS-5 Level standards.
Response: This comment has been carefully considered. While adding
an upper and lower qualifications determination within a pay band may
appear to be desirable, we have retained our DE-II pay band structure
and the minimum qualification requirements. Selective placement factors
may still be used to distinguish higher level experience, skills,
competencies. No changes in the Federal Register notice have been made
in response to this comment.
Comment: One comment recommended modification to say that if
delegated examining authority has been granted for the GS equivalent
position, that delegated examining authority also applies to positions
covered under this demonstration project. Absent this language,
additional delegated authority must be requested from OPM to fill
positions covered by this project.
Response: This comment has been carefully considered. It was
concluded that the current language in Section D. II covers projected
authorities. No changes in the Federal Register notice have been made
in response to this comment.
2. Distinguished Scholastic Achievement Appointment
Comment: One comment recommended the needed flexibility to make
``on the spot'' appointments at job fairs, college visits, etc., and
that a public announcement should not be required for this hiring
authority.
Response: This comment has been carefully considered. While the
notion of making ``on the spot'' appointments is highly desirable, no
changes in the Federal Register notice have been made in response to
this comment.
Comment: One comment addressed the current labor market conditions
being extremely competitive with industry and academia for the small
supply of highly-qualified and security clearable candidates with
Masters Degrees or Ph.D.'s. in science or engineering. This might have
been the case four years ago, but not today in southeast Michigan. If
TARDEC believes this, why have people been told TARDEC doesn't
participate in the tuition reimbursement program since we don't have
trouble finding and keeping qualified people?
Response: The Distinguished Scholastic Achievement Appointment
authority coupled with the Federal Register notice language in Section
III.G.1.b, Critical Skills Training (Training for Degrees) provides
enough flexibility for the ever changing labor markets. No changes in
the Federal Register notice have been made in response to this comment.
3. Initial Probationary Period
Comment: One commenter recommended changing the language in this
section to clarify authority of the TARDEC Director with respect to
extending the three-year probationary period and to customizing the
probationary period.
Response: The initial probationary period will not exceed three
years for all newly hired employees. The TARDEC Director cannot extend
this period of time but may limit it. To maintain flexibility, the
construct of Initial Probationary Periods will be further defined in
the Demonstration Project Internal Operating Instructions. No changes
in the Federal Register notice have been made in response to this
comment.
4. Supervisory Probationary Periods
Comment. One comment was received recommending that an existing
supervisor should only be subject to an
[[Page 12511]]
additional one-year probationary period if the change of assignment was
initiated/requested by the employee.
Response: This comment has been carefully considered. The
determination as to when a new supervisory probationary period is to be
applicable will be a management decision and not initiated by an
employee's request. No change in the Federal Register notice have been
made in response to this comment.
5. Voluntary Emeritus Corps
Comment: One comment was received recommending deleting the
sentences that state that voluntary emeritus assignments are not
considered employee assignments and replace with, Voluntary Emeritus
Corps service is gratuitous if the intent is to extend the Voluntary
Emeritus individuals additional benefits of employees, such as the
ability to go TDY and represent the government in non-contractual
matters.
Response: This comment has been carefully considered. The intent of
this new authority is to develop a mechanism to allow retired or
separated employees to volunteer their services. They are not taking
the place of government workers. To maintain consistency Section
III.D.k, m, and n are modified to remove the word ``employee'' and
replace with the word ``volunteer.''
G. Internal Placement
A total of two comments were received under this category relating
to two subtopics as follows:
1. Promotion
Comment: One comment identified that promotion actions may not
result in an increase in employees' base pay since there is an overlap
of salaries in different pay bands. The recommendation was to delete
the sentence: ``The move from one band to another must result in an
increase in the employee's base pay to be considered a promotion.''
Response: This comment has been carefully reviewed. It is agreed
that the identified sentence should be deleted. The following sentence
is deleted from the Federal Register notice Section III.E.1: ``The move
from one band to another must result in an increase in the employee's
base pay to be considered a promotion.'' Since base pay dollars can
overlap, the movement from a lower pay band to a higher pay band (e.g.,
DE-III to DE-IV) using the word ``must'' was incorrect.
2. Reassignment
Comment: One comment recommended all of Section III.(E)(6) beyond
the first paragraph be moved to the pay setting Section III.F.6.
Response: The current sections are considered to be in a proper
placement within the Federal Register notice. No changes in the Federal
Register notice have been made in response to this comment.
H. Pay Administration
A total of four comments were received under this category relating
to four subtopics as follows:
1. Pay and Compensation Ceilings
Comment: One comment mentioned base pay will be limited to the
maximum base pay payable for each band. The commenter wanted to know if
``control gates'' are being eliminated under the demonstration project.
Response: The use of ``control gates,'' for the demonstration
project, if used, will be described in the Demonstration Project
Internal Operating Instructions. No changes in the Federal Register
notice have been made in response to this comment.
2. Pay Setting for Appointment
Comment: One comment contained the recommendation that the Pay
Setting for Appointments section be modified to specifically state that
pay setting for initial entrance into the demonstration project from
another personnel system is considered the same as an initial
appointment.
Response: This comment has been carefully considered. It has been
determined the current language provides the necessary flexibilities.
No changes in the Federal Register notice have been made in response to
this comment.
3. Pay Setting for Promotion
Comment: One comment contained the recommendation that the $10,000
limit on promotions be replaced by a percentage of base pay to create a
system that can adapt as the General Schedule salary tables change.
Over time, a fixed $10,000 amount will constitute a smaller and smaller
percentage of base pay.
Response: The following sentence has been deleted from the Federal
Register notice, Section III.F.5: ``The maximum amount of a base pay
increase for a promotion will not exceed $10,000, or other such amounts
as established by the Personnel Management Board.'' This sentence had
an unintended limiting effect.
4. Supervisory and Team Leader Pay Differentials
Comment: One comment requested clarification on whether a
supervisory/leader is eligible for a supervisory/leader pay adjustment
and a supervisory/leader differential, or if the supervisor/leader is
ineligible for one if another is received.
Response: Additional guidance on the Supervisory and Team Leader
Pay Adjustments will be contained in the Demonstration Project Internal
Operating Instructions. No changes in the Federal Register notice have
been made in response to this comment.
I. Employee Development
One (1) comment was received under this section.
Comment: A commenter requested clarification on how the service
obligation period will be computed. Will one academic year of training
(30 semester hours or equivalent) require one year of service, or will
the service obligation be computed based on actual classroom hours,
which is a much shorter period of time?
Response: Additional guidance on critical skills training
obligations will be contained in the Demonstration Project Internal
Operating Instructions. No changes in the Federal Register notice have
been made in response to this comment.
J. Reduction-In-Force
A total of four comments were received under this category relating
to three subtopics as follows:
1. Retention Standing for Modified Term Appointments
Comment: Two comments requested clarification of the retention
standing for employees on either a modified term appointment or a
temporary appointment. Normally these two categories of appointments
are not listed in Tenure Group. Both commenters suggested a review of
Tenure Group determinations with a recommendation that both groups be
identified as Tenure Group 0, and, therefore, not eligible to compete
within a Reduction-In-Force (RIF).
Response: This suggestion has been fully reviewed; and it is agreed
that employees in these two appointment groups should not receive
Tenure Group III status for RIF purposes. The following sentence is
deleted from the Federal Register notice Section III. H: ``Modified
term appointment and temporary employees are in tenure group III for
RIF for purposes.'' The following sentence is added to Section III.H:
``Modified term appointment and
[[Page 12512]]
temporary employees are in Tenure Group 0 and are not eligible to
compete in a RIF.''
2. RIF Service Credit for Performance
Comment: One comment addressed the use of seven and four years with
specific percentage of service credit based upon the OCS. A
recommendation was provided for a review to determine if the seven and
four years could be replaced with a mechanism by which 20, 16, and 12
years of additional RIF service credit could be used relating to the
OCS similar to the traditional RIF procedures.
Response: After a careful review, there is agreement that
additional RIF service credit for performance would be better defined
using a three tiered credit system relating to the traditional format
found in most General Schedule procedures. The last three OCS scores
will still be used plus a percentage of the expected OCS. Federal
Register notice Sections III.H.a and b are removed and replaced with
the following: ``a. 20 years of credit for each year the OCS is equal
to or greater than 94 percent of the expected OCS. b. 16 years of
credit for each year the OCS is less than 94 percent but greater than
92 percent of the expected OCS. c. 12 years of credit for each year the
OCS is less than 92 percent but greater than 90 percent of the expected
OCS. d. Zero (0) years of credit for each year the employee's OCS is
less than 90 percent of the expected 0CS.''
3. Contribution Improvement Plan Assignment Rights
Comment: One comment called attention to granting assignment rights
to any employee currently serving on a Contribution Improvement Plan
(CIP) for RIF purposes and suggested it was not in the interest of the
mission to place a nonperforming employee in a different position that
has been identified as critical in a period of downsizing.
Response: The Federal Register notice language contained in Section
III. H. has been reconsidered; and it has been concluded it
appropriately addresses assignment rights for employees on a CIP. No
changes in the Federal Register notice have been made in response to
this comment.
K. Conversion From NSPS to the Demonstration Project
One (1) comment was received under this section.
Comment: A commenter recommended providing additional details
addressing when and why conversions from NSPS to Lab Demo may not be at
the current NSPS bands.
Response: The current Federal Register notice language contained in
Section V.A.b. sets forth a conversion procedure that best fits the
applicability of the TARDEC conversion situation. No changes have been
made as a result of this comment.
L. Conversion From a Non-NSPS System to the Demonstration Project
Two (2) comments were received under this section.
Comment: One comment drew attention to the provision that employees
who are on retained grade would not receive prorated Within Grade
Increases if they are on a retained rate. Absent conversion to the
demonstration project these employees would continue to receive Within
Grade Increases for the duration of the period of retained grade as if
they were never demoted.
Response: This comment has been carefully considered. General
Schedule (GS) employees on retained Grade at the time of conversion
into Lab Demo Project will be afforded the prorated Within-Grade
Increase equity provisions as outlined in Section V.B. No changes in
the Federal Register notice have been made in response to this comment.
Comment: One comment recommended deleting the sentence: ``Employees
who enter the demonstration project from other pay systems (DCIPS, ACQ
Demo, or other STRLs) after initial implementation by lateral transfer,
promotion, reassignment, reduction in band, or realignment will be
subject to the pay rules that govern conversion out of their respective
systems.'' The commenter believes that it limits the ability to set pay
in the lab demo.
Response: This comment has been carefully considered. This sentence
refers to the losing activity providing pay equivalencies for use by
the Lab Demo in setting pay under Lab Demo rules. Employees are placed
into the Lab Demo using the Lab Demo pay setting provisions. No changes
in the Federal Register notice have been made in response to this
comment.
M. Conversion Out of the Demonstration Project
One (1) comment was received under this section.
Comment: This comment recommended deletion of the sentence, ``For
lateral reassignments, the equivalent GS grade and rate will become the
employee's converted GS grade and rate after leaving the demonstration
project (before any other action).'' This sentence assumes that the
lateral action is determined prior to identification of the conversion
grade. In place of this sentence, recommend rewording the following
sentence to include reassignment as well as promotion, transfers, etc.
The conversion grade must first be identified in order to determine if
the subsequent action is a promotion, reassignment or downgrade.
Response: This comment has been carefully considered. The detailed
information contained in this sentence helps the receiving/gaining
Human Resource Office to better understand how the Lab Demo system
works. No changes in the Federal Register notice have been made in
response to this comment.
N. Demonstration Project Costs
One (1) comment was received under this section.
Comment: It was recommended a review of the Design and Transition
to NSPS expenses also be documented in addition to the three categories
already identified in the Federal Register notice for Fiscal Years 2010
and 2011 in order to properly account for the actual and projected
expenses made in conjunction of with the demonstration project.
Response: Table 9--Projected Development Costs has been modified to
include related NSPS expenses. A line to cover Design and Transition
from NSPS expenditures for FY 10 and FY 11 was added, plus the
projected expenditures for the remaining categories were updated.
3. Access to Flexibilities of Other STRLs
Flexibilities published in this Federal Register notice shall be
available for use by the STRLs previously enumerated in section
9902(c)(2) of title 5, United States Code, which are now redesignated
in section 1105 of the NDAA for FY 2010, Public Law 111-84, 123 Stat.
2486, October 28, 2009, if they wish to adopt them in accordance with
DoD Instruction 1400.37; pages 73248 to 73252 of volume 73, Federal
Register; and after the fulfilling of any collective bargaining
obligations.
Dated: March 1, 2011.
Morgan F. Park,
Alternate OSD Federal Register Liaison Office, Department of Defense.
Table of Contents
I. Executive Summary
II. Introduction
A. Purpose
B. Problems with the Present System
C. Changes Required/Expected Benefits
D. Participating Organizations
[[Page 12513]]
E. Participating Employees and Union Representation
F. Project Design
G. Personnel Management Board
III. Personnel System Changes
A. Pay Banding
B. Classification
C. Contribution-based Compensation and Appraisal System (CCAS)
D. Hiring Authority
E. Internal Placement
F. Pay Administration
G. Employee Development
H. Reduction-in-Force (RIF) Procedures
IV. Implementation Training
V. Conversion Into the Demonstration Project
A. Conversion from NSPS to the Demonstration Project
B. Conversion from Non-NSPS System to the Demonstration Project
C. Movement Out of the Demonstration Project
D. Personnel Administration
E. Automation
F. Experimentation and Revision
VI. Project Duration
VII. Evaluation Plan
A. Overview
B. Evaluation Model
C. Evaluation
D. Method of Data Collection
VIII. Demonstration Project Costs
A. Cost Discipline
B. Developmental Costs
IX. Required Waivers to Law and Regulation
Appendix A: TARDEC Employees by Duty Location
Appendix B: Occupational Series by Occupational Family
Appendix C: Contribution-Based Compensation and Appraisal System
(CCAS) Factors
Appendix D: Intervention Model
I. Executive Summary
TARDEC is a subordinate organization of the U.S. Army Research,
Development and Engineering Command (RDECOM). TARDEC is the U.S. Army's
Ground Vehicle Center of Excellence and the ground systems integration
domain owner for RDECOM. TARDEC provides engineering and scientific
expertise for DoD manned and unmanned ground systems and ground support
systems. It is the Nation's laboratory for advanced military automotive
technology and the Army's lead for advanced science and technology
research, demonstration, development, and full Life Cycle engineering
for ground vehicle electronics and architecture, power and mobility,
intelligent ground systems, maneuver support and sustainment, and
survivability.
At TARDEC, the top priority is to deliver the most advanced
technology solutions to improve the Nation's ground vehicle fleet. To
do this effectively requires more than just hard work and dedication.
It takes leadership, vision, and the determination to execute that
vision. To be truly successful, the workforce needs to be able to lead,
innovate, integrate, and deliver.
To achieve this goal, TARDEC must be able to hire, retain, and
continually motivate enthusiastic, innovative, and highly-educated
scientists and engineers, supported by accomplished business management
and administrative professionals as well as a skilled administrative
and technical support staff.
The goal of the project is to enhance the quality and
professionalism of the TARDEC workforce through improvements in the
efficiency and effectiveness of the human resource system. The project
interventions will strive to achieve the best workforce for the TARDEC
mission, adjust the workforce for change, and improve workforce
satisfaction. The TARDEC proposed demonstration project is similar to
the Department of Defense Civilian Acquisition Workforce Personnel
Demonstration Project, commonly known as the ``Acq Demo.'' TARDEC has
been using the Acq Demo's Contribution-Based Compensation and Appraisal
System (CCAS) and its pay banding structure for a number of years. The
TARDEC Project also uses concepts from the U.S. Army Communications-
Electronics Research, Development and Engineering Center (CERDEC)
demonstration project and the Naval Research Laboratory demonstration
project. The results of the project will be evaluated within five years
of implementation.
II. Introduction
A. Purpose
The purpose of the project is to demonstrate that the effectiveness
of DoD STRLs can be enhanced by expanding opportunities available to
employees and by allowing greater managerial control over personnel
functions through a more responsive and flexible personnel system.
Federal laboratories need more efficient, cost-effective, and timely
processes and methods to acquire and retain a highly creative,
productive, educated, and trained workforce. This project, in its
entirety, attempts to improve employees' opportunities and provide
managers, at the lowest practical level, the authority, control, and
flexibility needed to achieve the highest quality organization and hold
them accountable for the proper exercise of this authority within the
framework of an improved personnel management system.
Many aspects of a demonstration project are experimental.
Modifications may be made from time to time as experience is gained,
results are analyzed, and conclusions are reached on how the system is
working. The provisions of this project plan will not be modified, or
extended to individuals or groups of employees not included in the
project plan, without the approval of the ODUSD(CPP). The provisions of
DoDI 1400.37 are to be followed for any modifications, adoptions, or
changes to this demonstration project plan.
B. Problems With the Present System
TARDEC has participated in a number of personnel systems and
personnel demonstrations over the past 25 years. These include the
current Civil Service General Schedule (GS) system, the Acq Demo
Project, and the NSPS. In October 2009, as part of the NDAA for FY
2010, TARDEC was designated as a STRL for the purpose of designing and
implementing a personnel management demonstration project for
conversion of employees from the personnel system(s) which applied to
them on October 28, 2009. TARDEC's experience with each of these prior
personnel systems was that, although each had positive features, each
also had negative aspects. As a result of TARDEC's experience, it was
determined that certain features from the earlier systems were
worthwhile to carry forward and any shortcomings/limitations corrected
or alleviated.
The current GS system has existed in essentially the same form
since 1949. Work is classified into one of fifteen overlapping pay
ranges that correspond with the fifteen grades. Base pay is set at one
of those fifteen grades and the ten interim steps within each grade.
The Classification Act of 1949 rigidly defines types of work by
occupational series and grade, with very precise qualifications for
each job. This system does not quickly or easily respond to new ways of
designing work and changes in the work itself.
The performance management model that has existed since the passage
of the Civil Service Reform Act in 1980 has come under extreme
criticism. Employees frequently report there is inadequate
communication of performance expectations and feedback on performance.
There are perceived inaccuracies in performance ratings with general
agreement that the ratings are inflated and often unevenly distributed
by grade, occupation, and geographic location.
The need to change the current hiring system is essential as TARDEC
must be able to recruit and retain scientific, engineering, acquisition
support and other professionals, and skilled
[[Page 12514]]
technicians. TARDEC must be able to compete with the private sector for
the best talent and be able to make job offers in a timely manner with
the attendant bonuses and incentives to attract high quality employees
and be in compliance with public law.
Finally, current limitations on training, retraining and otherwise
developing employees make it difficult to correct skill imbalances and
to prepare current employees for new lines of work to meet changing
missions and emerging technologies.
TARDEC's proposed personnel management demonstration project, by
building on previous strengths and addressing shortcomings, is intended
to provide the highest potential for movement to a single system that
will meet the needs of TARDEC and all its employees.
C. Changes Required/Expected Benefits
The primary benefit expected from this demonstration project is
greater organizational effectiveness through increased employee
satisfaction. The long-standing Department of the Navy's ``China Lake''
and the National Institute of Standards and Technology (NIST)
demonstration projects have produced impressive statistics on increased
job satisfaction and quality of work versus that for the Federal
workforce in general. This project will demonstrate that a human
resource system tailored to the mission and needs of the TARDEC
workforce will facilitate increased:
1. Quality in the workforce and resultant products;
2. Timeliness of key personnel processes;
3. Retention of ``excellent performers;''
4. Success in recruitment of personnel with critical skills;
5. Management authority and accountability;
6. Satisfaction of customers; and
7. Workforce satisfaction with the personnel management system.
An evaluation model was developed for the Director, Defense,
Research and Engineering (DDR&E) in conjunction with STRL service
representatives and the Office of Personnel Management (OPM). The model
will measure the effectiveness of this demonstration project and will
be used to measure the results of specific personnel system changes.
D. Participating Organizations
TARDEC is comprised of employees located at the main site in
Warren, MI, with others geographically dispersed at the locations shown
in Appendix A. TARDEC has employees matrixed to Program Executive
Office Combat Support and Combat Service Support; Program Executive
Office Ground Combat Systems; Program Executive Office Integration; and
Tank Automotive Command (TACOM) Life Cycle Management Command (LCMC)
Joint Project Office. Successor organizations will continue coverage in
the demonstration project.
E. Participating Employees and Union Representation
This demonstration project will cover approximately 1,427 TARDEC
civilian employees under title 5, U.S.C. in the occupations listed in
Appendix B. The project plan does not cover members of the Senior
Executive Service (SES), Scientific and Professional (ST) employees,
Federal Wage System (FWS) employees, employees covered by the Defense
Civilian Intelligence Personnel System (DCIPS), Department of Army (DA)
and Army Command centrally funded interns, or students employed under
the Summer Hire Program.
Department of Army and Army Material Command centrally funded
interns will not be converted to the demonstration project until they
reach their full performance level. They will continue to be covered
under the Total Army Performance Evaluation System (TAPES). The
American Federation of Government Employees (AFGE) Local 1658
represents approximately 90% of TARDEC's professional and non-
professional workforce.
To foster union acceptance of TARDEC's proposed personnel
demonstration project, initial discussions with the Union officials
began in December 2009. Negotiations will begin in earnest after
publication of this Federal Register notice (FRN). TARDEC will continue
to fulfill its obligation to consult and/or negotiate with all labor
organizations in accordance with 5 U.S.C. 4703(f) and 7117, as
applicable.
F. Project Design
In October 2009, section 1105 of NDAA for FY 2010 directed TARDEC
to transition to a laboratory demonstration project. TARDEC senior
leadership decided to move toward adopting many aspects of both the Acq
Demo and the CERDEC laboratory personnel demonstration project as
modified by this FRN. The Acq Demo project was approved in 1999 and the
CERDEC project was approved in 2001. TARDEC hopes to benefit from using
the best practices from these demonstration projects.
G. Personnel Management Board
1. TARDEC is creating a Personnel Management Board to oversee and
monitor the fair, equitable, and consistent implementation of the
provisions of the demonstration project to include establishment of
internal controls and accountability. Members of the board will be
senior leaders appointed by the TARDEC Director. As needed, ad hoc
members (such as labor counsel, human resource representatives, etc.)
will serve as advisory members to the board.
2. The board will execute the following:
a. Determine the composition of the CCAS pay pools in accordance
with the guidelines of this proposal and internal procedures;
b. Review operation of pay pools and provide guidance to pay pool
managers;
c. Oversee disputes in pay pool issues;
d. Formulate and execute the civilian pay budget;
e. Manage the awards pools;
f. Determine hiring and promotion-based pay as well as exceptions
to CCAS base pay increases;
g. Conduct classification review and oversight, monitor and adjust
classification practices, and decide board classification issues;
h. Approve major changes in position structure;
i. Address issues associated with multiple pay systems during the
demonstration project;
j. Establish contribution goals and other evaluation descriptors;
k. Assess the need for changes to demonstration project procedures
and policies;
l. Review requests for Supervisory/Team Leader Base Pay Adjustments
and provide recommendations to the appropriate Center Director;
m. Ensure in-house budget discipline;
n. Manage the number of employees by occupational family and pay
band;
o. Develop policies and procedures for administering Developmental
Opportunity Programs;
p. Ensure that all employees are treated in a fair and equitable
manner in accordance with the policies, regulations and guidelines
covering this demonstration project; and,
q. Monitor the evaluation of the project.
III. Personnel System Changes
A. Pay Banding
The design of the TARDEC pay banding system takes advantage of the
many reviews performed by OPM, DoD, and DA. The design has the benefit
of
[[Page 12515]]
being preceded by exhaustive studies of pay banding systems currently
practiced in the Federal sector, to include those practiced by the
Navy's ``China Lake'' experiment and NIST. The pay band system is
designed to facilitate conversion, when and if appropriate, of GS, Acq
Demo, and NSPS employees into the TARDEC demo.
1. Occupational Families, Career Paths, and Pay Band Levels
Occupations with similar characteristics will be grouped together
into one of three occupational families with career paths and pay band
levels designed to facilitate pay progression. These occupational
families are Engineering and Science (E&S), Business and Technical
(B&T), and General Support (GEN). Each occupational family's career
path will be composed of pay bands corresponding to recognized
advancement and career progression expected within the occupations.
These career paths and their pay bands will not be the same for each
occupational family. Each career path will be divided into three to
five pay bands. Employees track into an occupational family based on
their current OPM classification series as provided in Appendix B. The
current occupations have been examined, and their characteristics and
distribution have served as guidelines in the development of the
following three occupational families:
Engineering and Science (E&S) (Pay Plan DB): This occupational
family includes technical professional positions such as engineers,
physicists, chemists, mathematicians, operations research analysts, and
computer scientists. Specific course work or educational degrees are
required for these occupations. Five pay bands have been established
for the E&S occupational family:
a. Band I is a student trainee track covering GS-1, step 1, through
GS-4, step 10.
b. Band II is a developmental/full performance level track covering
GS-5, step 1, through GS-11, step 10.
c. Band III is a full-performance technical track covering GS-12,
step 1, through GS-13, step 10. Some first-level supervisory positions
may also be included in this band.
d. Band IV includes both senior technical positions along with
supervisors-managers covering GS-14, step 1, through GS-15, step 10.
e. Band V provides the ability to accommodate science and
engineering positions having duties and responsibilities that exceed
the GS-15 classification criteria. The DoD is developing
classification, compensation, and performance management policy,
guidance, and implementation processes for this pay band level that
will be published in a separate FRN. TARDEC will supplement this
information through internal operating guidance.
Business & Technical (B&T) (Pay Plan DE): This occupational family
includes such positions as program acquisition specialists, equipment
specialists, engineering and electronics technicians, finance,
accounting, administrative, and management analysts. Employees in these
positions may or may not require specific course work or educational
degrees. Four pay bands have been established for the B&T occupational
family:
a. Band I is a student trainee track covering GS-1, step 1, through
GS-4, step 10.
b. Band II is a developmental/full performance track covering GS-5,
step 1, through GS-11, step 10.
c. Band III is a full performance track covering GS-12, step 1,
through GS-13, step 10.
d. Band IV is a senior technical/manager track covering GS-14, step
1, through GS-15, step 10.
General Support (GEN) (Pay Plan DK): This occupational family is
composed of positions for which specific course work or educational
degrees are not required. Clerical work usually involves the processing
and maintenance of records. Assistant work requires knowledge of
methods and procedures within a specific administrative area. This
family includes such positions as secretaries, office automation
clerks, and budget/program/computer assistants. Three pay bands have
been established for the GEN occupational family:
a. Band I includes entry-level positions covering GS-1, step 1,
through GS-4, step 10.
b. Band II includes full-performance positions covering GS-5, step
1, through GS-7, step 10.
c. Band III includes senior technicians/assistants/secretaries
covering GS-8, step 1, through GS-10, step 10.
2. Pay Band Design
The pay bands for the TARDEC Lab Demo occupational families and how
they relate to the current GS framework are shown in Table 1.
Table 1--TARDEC Lab Demo Pay Bands With Equivalent GS Grades
----------------------------------------------------------------------------------------------------------------
Lab demo pay bands with equivalent GS grades
Occupational family -----------------------------------------------------------------------------
I II III IV V
----------------------------------------------------------------------------------------------------------------
DB, Engineering & Science......... GS1-4 GS 5-11 GS 12-13 GS 14-15 > GS-15
DE, Business & Technical.......... GS 1-4 GS 5-11 GS-12-13 GS-14-15 .............
DK, General Support............... GS 1-4 GS 5-7 GS 8-10 ............. .............
----------------------------------------------------------------------------------------------------------------
The pay bands for the TARDEC Lab Demo occupational families and how
they relate to the current Department of Defense Civilian Acquisition
Workforce Personnel Demonstration Project framework are shown in Table
2.
Table 2--TARDEC Lab Demo Pay Bands With Equivalent Acq Demo Pay Bands
----------------------------------------------------------------------------------------------------------------
Lab demo pay bands with equivalent Acq demo pay bands
Occupational family -----------------------------------------------------------------------------
I II III IV V
----------------------------------------------------------------------------------------------------------------
DB, Engineering & Science......... NH-I NH-II NH-III NH-IV .............
DE, Business & Technical.......... NH-I, NJ-I NH-II, NJ-II, NH-III, NJ-IV NH-IV .............
NJ-III
DK, General Support............... NK-I NK-II NK-III ............. .............
----------------------------------------------------------------------------------------------------------------
[[Page 12516]]
The pay bands for the TARDEC Lab Demo occupational families and how
they relate to the NSPS conversion framework are shown in Table 3.
Table 3--TARDEC Lab Demo Pay Bands With Equivalent NSPS Pay Bands
--------------------------------------------------------------------------------------------------------------------------------------------------------
Lab demo pay bands with equivalent NSPS pay bands*
Occupational family ---------------------------------------------------------------------------------------------------------------------
I II III IV V
--------------------------------------------------------------------------------------------------------------------------------------------------------
DB, E&S........................... YP-1 YD-1, YP-1 YD-2, YF-2 YD-3, YF-2, YF-3 .....................
DE, Business & Technical.......... YP-1, YB-1, YE-1 YA-1, YA-2, YB-1, YB- YA-2, YB-3, YC-2, YE- YA-3, YC-2, YC-3 .....................
2, YB-3, YE-1, YE-2, 3, YE-4
YE-3, YP-1
DK, General Support............... YB-1, YE-1, YP-1 YB-1, YB-2, YE-1, YE- YB-2, YE-2, YP-1 ..................... .....................
2, YP-1
--------------------------------------------------------------------------------------------------------------------------------------------------------
*NSPS Pay Bands overlap Lab Demo bands and Occupational Families
3. Science and Engineering Positions Classified Above GS-15 (Pay Band
V)
The career path pay banding plan for the E&S occupational family
includes a pay band V to provide the ability to accommodate positions
having duties and responsibilities that exceed the GS-15 classification
criteria. This pay band is based on the Above GS-15 Position concept
found in other STRL personnel management demonstration projects that
was created to solve a critical classification problem. The STRLs have
positions warranting classification above GS-15 because of their
technical expertise requirements including inherent supervisory and
managerial responsibilities. However, these positions are not
considered to be appropriately classified as Scientific and
Professional Positions (STs) because of the degree of supervision and
level of managerial responsibilities. Neither are these positions
appropriately classified as Senior Executive Service (SES) positions
because of their requirement for advanced specialized scientific or
engineering expertise and because the positions are not at the level of
general managerial authority and impact required for an SES position.
The original Above GS-15 Position concept was to be tested for a
five-year period. The number of trial positions was set at 40 with
periodic reviews to determine appropriate position requirements. The
Above GS-15 Position concept is currently being evaluated by DoD
management for its effectiveness; continued applicability to the
current STRL scientific, engineering, and technology workforce needs;
and appropriate allocation of billets based on mission requirements.
The degree to which the laboratory plans to participate in this concept
and develop classification, compensation, and performance management
policy, guidance, and implementation processes will be based on the
final outcome of the DoD evaluation (see Section III.A.1.e).
B. Classification
1. Occupational Series
The GS classification system has over 400 occupational series,
which are divided into 23 occupational groupings. TARDEC currently has
positions in approximately 65 occupational series that fall into
approximately three occupational groupings. All positions listed in
Appendix B will be in the classification structure. Provisions will be
made for including other occupations in response to changing missions.
2. Classification Standards and Position Descriptions
TARDEC will use an automated classification system. The present
system of OPM classification standards will be used for the
identification of proper series and occupational titles of positions
within the demonstration project. Current OPM Functional Guides for
Within White Collar Work will be used to aid in position classification
suitability and form the framework for pay band level determinations.
Current OPM position classification standards will not be used to grade
positions in this project. However, the grading criteria in those
standards will be used as a framework to develop new and simplified pay
band factor level descriptors for each pay band determination. The
objective is to record the essential criteria for each pay band within
each occupational family career path by stating the characteristics of
the work, the responsibilities of the position, the competencies
required, and the expected contributions. The pay band factor level
descriptors will serve as both classification criteria and assessment
criteria and may be found in Appendix C New position descriptions will
replace the current position/job descriptions. The pay band factor
level descriptors for each pay band will serve as an important
component in the new position description, which will also include
position-specific information, and provide data element information
pertinent to the job. The computer-assisted process will produce
information necessary for position descriptions. The new descriptions
will be easier to prepare, minimize the amount of writing time, and
make the position description a more useful and accurate tool for other
personnel management functions.
Specialty work codes (narrative descriptions) may be used to
further differentiate types of work and the competencies required for
particular positions within an occupational family and pay band. Each
code represents a specialization or type of work within the occupation.
3. Fair Labor Standards Act
Fair Labor Standards Act (FLSA) exemption and non-exemption
determinations will be consistent with criteria found in 5 CFR part
551. All demonstration project positions are covered by the FLSA unless
they meet the criteria for exemption. Classification Specialists will
evaluate positions on a case-by-case basis comparing the duties and
responsibilities assigned, the pay band factor level descriptors for
each pay band level, and the FLSA criteria in accordance with 5 CFR
part 551. Additionally, the advice and assistance of the servicing
Civilian Personnel Advisory Center will be obtained in making
determinations. The benchmark position descriptions will not be the
sole basis for the determination. Basis for exemption will be
documented and attached to each position description. Exemption
criteria will be narrowly construed and applied only to those employees
who clearly meet the spirit of the exemption. Changes will be
documented and provided to the Civilian Personnel Advisory Center.
[[Page 12517]]
4. Classification Authority
The TARDEC Director will have delegated classification authority
and may, in turn, re-delegate this authority to appropriate levels.
Position descriptions will be developed to assist managers in
exercising delegated position classification authority. Managers will
identify the occupational family, job series, functional code,
specialty work code, pay band level, and the appropriate acquisition
codes. Personnel specialists will provide ongoing consultation and
guidance to managers and supervisors throughout the classification
process. These decisions will be documented on the position
description.
5. Classification Appeals
Classification appeals under this demonstration project will be
processed using the following procedures: An employee may appeal the
determination of occupational family, occupational series, position
title, and pay band level of his/her position at any time. An employee
must formally raise the area of concern to supervisors in the immediate
chain of command, either verbally or in writing. If an employee is not
satisfied with the DoD response, he or she may then appeal to OPM only
after DoD has rendered a decision on all the provisions of the
demonstration project. Appellate decisions from OPM are final and
binding on all administrative, certifying, payroll, dispersing, and
accounting officials of the Government. Time periods for cases
processed under 5 CFR part 511 apply.
An employee may not appeal the accuracy of the position
description, the demonstration project classification criteria, or the
pay-setting criteria; the assignment of occupational series to the
occupational family; the propriety of a pay schedule; or matters
grievable under an administrative or negotiated grievance procedure.
The evaluations of classification appeals under this demonstration
project are based upon the demonstration project classification
criteria. Case files will be forwarded for adjudication through the
CPAC/CHRA providing personnel service and will include copies of
appropriate demonstration project criteria.
C. Contribution-Based Compensation and Appraisal System (CCAS)
1. Overview
The purpose of CCAS is to provide an effective, efficient, and
flexible method for assessing, compensating, and managing the TARDEC
workforce. CCAS is essential for the development and continued growth
of the high quality, extremely productive, and innovative workforce
needed to achieve a quality, agile and innovative organization and meet
mission requirements. The CCAS allows for more employee involvement in
the assessment process, fosters increased communication between
supervisor and employee, promotes a clear accountability of
performance, facilitates employee career progression, and provides an
understandable and rational basis for pay changes by linking pay,
performance, and contribution. The CCAS process described herein
applies to all career paths and pay band levels I through IV. The
assessment process for E&S Pay Band V positions will be based on the
final outcome of the DoD evaluation and documented in TARDEC Internal
Operating Instructions (see Section III.A.1. e. for additional
information).
CCAS is an assessment system that measures the employee's level of
contribution to the organization's mission and how well the employee
performed a job. Contribution is simply defined as the measure of the
demonstrated value of what an employee did in terms of accomplishing or
advancing the organizational objectives and mission impact. CCAS
promotes base pay adjustment decisions made on the basis of an
individual's overall annual contribution and current base pay, in
relation to the other contributions and their level of base pay in the
pay pool. The measurement of overall contribution is through a rating
process which determines the Overall Contribution Score (OCS).
An employee's performance is a component of contribution that
influences the ultimate OCS. Contribution is measured by using a set of
factors, discriminators, and descriptors, each of which is relevant to
the success of the TARDEC mission. Taken together, these factors,
discriminators, and descriptors capture the critical content of jobs in
each career path. These factors, discriminators, and descriptors may be
modified or supplemented if experience or changing mission requirements
indicates a need to do so. These factors, discriminators, and
descriptors are the same as those to classify a position at the
appropriate pay band level.
The six (6) factors are:
1. Problem Solving,
2. Teamwork/Cooperation,
3. Customer Relations,
4. Leadership/Supervision,
5. Communication, and
6. Resource Management.
Each factor has multiple levels of increasing contribution
corresponding to the pay band levels. Each factor contains descriptors
for each respective level within the relevant career path. See Appendix
C for CCAS Factor Descriptions, Level Descriptors, and Discriminators.
The appropriate occupational family career path pay band level
performance factor descriptors are used by the rating official to
determine the employee's actual contribution score. Employees can score
within, above, or below their pay band level. For example, a pay band
level II employee could score in the pay band level I, II, III, or IV
range. Therefore, for the CCAS process, descriptors for all pay band
levels of the occupational family performance factors are presented to
better assist the supervisor with the employee assessment.
Normally, the rating period will be one year. The minimum rating
period will be 90 days. CCAS payouts can be in the form of increases to
base pay and/or in the form of bonuses that are not added to base pay
but rather are given as a lump sum payment. Other awards such as
special acts, time-off awards, etc., will be retained separately from
the CCAS payouts.
The system will have the flexibility to be modified, if necessary,
as more experience is gained under the project.
3. Pay Pools
TARDEC employees will be placed into pay pools that are defined for
the purpose of determining performance payouts under the CCAS system.
The TARDEC Director will establish pay pools. Typically, pay pools will
have between 35 and 300 employees. A pay pool should be large enough to
encompass a reasonable distribution of ratings but not so large as to
compromise rating consistency. Neither the pay pool manager nor
supervisors within a pay pool will recommend or set their own
individual pay. Decisions regarding the amount of the performance
payout are based on the established formal payout calculations.
Funds within a pay pool available for performance payouts are
divided into two components, base pay and bonus. These funds will be
defined based on historical data. Base pay increase fund will be set at
no less than two percent of total base pay. The bonus amount will be
set at no less than one percent of total base pay. The TARDEC Personnel
Management Board will annually review the pay pool funding and
recommend adjustments to the TARDEC Director to ensure cost
[[Page 12518]]
discipline over the life of the demonstration project.
4. Annual Appraisal Cycle and Rating Process
Typically, the annual appraisal cycle begins on October 1 and ends
on September 30 of the following year. At the beginning of the annual
appraisal period, the pay band level descriptors for each factor will
be provided to employees so that they know the basis on which their
performance will be assessed. At the discretion of the pay pool
manager, weights will be applied to the factors. A weight of zero may
not be applied to any factor and the sum of all weights must equal 100.
Employees will be informed of the weights at the beginning of the
rating cycle.
Supervisor and employee discussion of specific work assignments and
established contribution goals for the rating period for each of the
six factors should be conducted on an ongoing basis. These goals can be
modified during the rating period and form the foundation of the
contributions expected to be achieved.
Typically, the rating official is the first-level supervisor. If
the current first-level supervisor has been in place for less than 90
days during the rating cycle, the second-level supervisor serves as the
initial rating official. If the second-level supervisor is in place for
less than 90 days during the rating cycle, the next higher level
supervisor in the employee's rating chain conducts the assessment.
Employees and supervisors alike are expected to actively
participate in on-going formal and informal performance discussions
regarding expectations. The timing of these discussions will vary based
on the nature of work performed, but will occur at least at the mid-
point and end of the rating period. At least one review, normally the
mid-point review, will be documented as a progress review. More
frequent, task specific, discussions may be appropriate in some
organizations.
The employee will provide a list of his/her accomplishments to the
supervisor at both the mid-point and end of the rating period using the
six Contribution Factors described in Section III.C.1. An employee may
elect to provide self-ratings on the contribution/performance factors
and/or solicit input from team members, customers, peers, supervisors
in other units, subordinates, and other sources which will assist the
supervisor in fully evaluating contributions. At the end of the annual
appraisal period, the immediate supervisor (rating official), from
employees' inputs and his/her own knowledge, identifies for each
employee the appropriate contribution level and recommends the OCS.
To determine the OCS, numerical values are assigned based on the
contribution levels of individuals, using the ranges shown in Table 4.
Generally, the OCS is calculated by averaging the numerical values (as
weighted) assigned for each of the six performance/contribution
factors. (All OCS's will be rounded to the nearest whole number). The
rating official in conjunction with the second-level supervisor reviews
the OCS for all employees, correcting any inconsistencies identified
and making the appropriate adjustments in the factor ratings.
Table 4--Contribution Score Ranges by Occupational Family
----------------------------------------------------------------------------------------------------------------
Engineering & Business & General support
science (DB) technical (DE) (DK)
Pay band levels --------------------------------------------------------
Point range Point range Point range
----------------------------------------------------------------------------------------------------------------
Very High........... 115 115 70
----------------------------------------------------------------------------------------------------------------
V................................ Range............... 100-114 ................. .................
----------------------------------------------------------------------------------------------------------------
High................ 96-100 96-100 .................
IV............................... Med................. 84-95 84-95 .................
Low................. 79-83 79-83 .................
----------------------------------------------------------------------------------------------------------------
High................ 79-83 79-83 57-61
III.............................. Med................. 67-78 67-78 47-56
Low................. 61-66 61-66 38-46
----------------------------------------------------------------------------------------------------------------
High................ 62-66 62-66 42-46
II............................... MH.................. 51-61 51-61 .................
Med................. 41-50 41-50 30-41
ML.................. 30-40 30-40 .................
Low................. 22-29 22-29 22-29
----------------------------------------------------------------------------------------------------------------
High................ 24-29 24-29 24-29
I................................ Med................. 06-23 06-23 06-23
Low................. 0-5 0-5 0-5
----------------------------------------------------------------------------------------------------------------
The pay pool panel conducts a final review of the OCS for each
employee in the pay pool. The pay pool panel has the authority to make
OCS adjustments, after discussion with the initial rating officials, to
ensure equity and consistency. Final approval of OCS rests with the pay
pool manager, the individual within the organization responsible for
managing the CCAS process. The OCS, as approved by the pay pool
manager, becomes the rating of record. Rating officials will
communicate the factor scores and OCS to each employee and discuss the
results.
If on October 1, the employee has served under CCAS for less than
ninety (90) consecutive calendar days, the rating official shall wait
for the subsequent annual cycle to assess the employee.
Employees who have served under CCAS for less than 90 consecutive
calendar days shall not receive contribution rating increases or
contribution awards for that cycle.
5. Linking OCS to Base Pay Adjustment
a. The Normal Pay Range (NPR)
The CCAS integrated pay schedule provides a direct link between
contribution, performance, and base
[[Page 12519]]
pay. This is shown by the graph in Table 5. The horizontal axis spans
from 0 to the maximum OCS of 115 for positions in pay band levels I
through V. Employees who are performing above the defined criteria of
the top pay band level may not exceed the OCS score of 115. The
vertical axis spans from zero dollars to the dollar equivalent of the
highest positions authorized under this lab demonstration. This
encompasses the full base pay range (excluding locality pay and
staffing supplements) under this demonstration for the given calendar
year (note: Table 5 currently depicts Calendar Year 2010). Each year
the rails for the NPR are adjusted based on the GS general pay increase
under 5 U.S.C. 5303. The area between the upper and lower rails is
considered the normal pay range; when an annual overall contribution
score (OCS) plotted against a base pay rate falls on or within the NPR
rails, the base pay rate is considered to be appropriate. While there
may be rates of base pay that fall above or below the NPR that could be
considered not appropriate, there may be circumstances to account for
these rates of base pay outside the NPR. Such circumstances as saved
pay or minimal contributions/performance could account for base pay
rates above the NPR. For base pay rates below the NPR, such situations
as exceptional contributions or growth in position responsibilities may
warrant higher base pay. Employees whose annual OCS plotted against
their base pay falls on or within the rails are considered
appropriately compensated. Employees whose current base pay falls above
or below the NPR for their assessed contribution score are considered
inappropriately compensated.
b. The NPR was established using the following parameters:
(1) The lowest possible score is an OCS of 0, which equates to the
lowest base pay under this demonstration project, GS-1, step 1,
(2) The OCS of 115 equates to the maximum base pay of Pay Band V.
The upper and lower rails are determined by the formulae below,
encompass an area of +/- 8.0 percent in terms of base pay which
correlates to approximately +/- 4.0 OCS points.
Table 5--Normal Pay
[GRAPHIC] [TIFF OMITTED] TN07MR11.000
c. Formulae:
Given these constraints, the formulae for the upper and lower rails
found in Table 5 are:
Base pay upper rail = (GS-1, Step 1) * (1.0800) * (1.020043) \OCS\
Base pay lower rail = (GS-1, Step 1) * (0.9200) * (1.020043) \OCS\
d. The NPR is the same for all the occupational families. What
varies among the occupational families are the beginnings and endings
of the pay band levels. The minimum and maximum numerical OCS values
and associated base pay for each pay band level by occupational family
are provided in Table 5. These minimum and maximum breakpoints
represent the lowest and highest base pay for the bands; and the
minimum and maximum base pay possible for each pay band level. Locality
pay or staffing supplements are not included in the NPR but are added
to base pay as appropriate.
[[Page 12520]]
Table 6--OCS and Pay Band Base Pay Ranges
--------------------------------------------------------------------------------------------------------------------------------------------------------
$ (CY10 OCS salaries)
Occupational family ---------------------------------------------------------------------------------------------------------------------
I II III IV V *
--------------------------------------------------------------------------------------------------------------------------------------------------------
E&S (DB).......................... $17,803-$31,871 $27,431-$65,731 $60,283-$93,175 $84,697-$129,517 TBD
0-29 22-66 61-83 79-100 100-115
Business & Technical (DE)......... $17,803-$31,871 $27,431-$65,731 $60,283-$93,175 $84,697-$129,517 .....................
0-29 22-66 61-83 79-100
General Support (DK).............. $17,803-$31,871 $27,431-$44,176 $37,631-$59,505 ..................... .....................
0-29 22-51 38-61
--------------------------------------------------------------------------------------------------------------------------------------------------------
* Pay Band V is above GS-15. Base pay amounts to be determined.
e. OCS Base Pay Adjustment Guidelines
After the pay pool manager approves the OCS for all employees in
the pay pool, the current base pay versus OCS is plotted for all
employees on a chart similar to Table 7. This plot relates contribution
to base pay, and identifies the placement of each employee into one of
three regions: Inappropriately Compensated (A Region--above the NPR),
Appropriately Compensated (C Region--within the NPR), or
Inappropriately Compensated (B Region--below the NPR).
In Table 7, employee C is in the Appropriately Compensated Region
(falls on or within the NPR). Employee B is in the Inappropriately
Compensated Region (falls below the lower NPR) for his/her contribution
to the organization. Employee A is in the Inappropriately Compensated
Region above the NPR (i.e., receives high base pay due to such
circumstances such as saved pay or contributions do not justify the
base pay).
[GRAPHIC] [TIFF OMITTED] TN07MR11.001
f. Table 8 illustrates the additional pay categories available for
the three groupings of employees.
The employees whose base pay falls within the NPR must receive the
full General Pay Increase (GPI), may receive a contribution rating
increase of up to 6 percent, and may receive a contribution award. The
contribution rating increase is included as a permanent increase in
base pay, but the contribution award is a lump-sum payment that does
not affect base pay.
The employees whose base pay falls above the NPR could be denied
part or
[[Page 12521]]
all of the GPI and may receive no contribution rating increase or
contribution bonus. The intent of the demonstration project is to allow
managers to retain the ability to determine how much, if any, of the
general pay increase would be authorized on a case-by-case basis.
The employees whose base pay falls below the NPR must receive the
full general pay increase, may receive up to a 20 percent permanent
increase in pay, and also may receive a contribution award.
Employees on retained rate in the demonstration plan will receive
base pay adjustments in accordance with 5 U.S.C. 5363 and 5 CFR Part
536. An employee receiving a retained rate is not eligible for a
contribution rating increase, but may receive a contribution award.
In general, those employees whose base pay falls below the NPR
should expect to receive greater percentage base pay increases than
those whose base pay is above the NPR. Over time, people will migrate
closer to the normal pay range and receive base pay appropriate for
their level of contribution.
Employees whose OCS would result in awarding a contribution rating
increase such that the base pay exceeds the maximum base pay for their
current pay band level may receive a contribution award equaling the
difference.
Table 8--Compensation Eligibility Chart
--------------------------------------------------------------------------------------------------------------------------------------------------------
Contribution base pay
Category General pay increase increase Contribution bonus Locality pay \1\ Staffing supplement
--------------------------------------------------------------------------------------------------------------------------------------------------------
Above the NPR...................... Could be reduced or NO.................... NO................... YES.................. Could be reduced or
denied. denied.
Within the NPR..................... YES................... YES \2\--Up to 6 YES \5\.............. YES.................. YES.
percent.
Below the NPR...................... YES................... YES \3,4\--Up to 20 YES \5\.............. YES.................. YES.
percent.
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ Base pay plus locality pay may not exceed Executive Level IV adjusted base pay. S&E pay band level V cap to be determined.
\2\ May not exceed upper rail of NPR for employee's OCS or maximum base pay for current pay band level.
\3\ Over 20 percent requires Director's approval.
\4\ May not exceed 6 percent above the lower rail or the maximum base pay for current pay band level.
\5\ Pay pool manager approves up to $10,000. Amounts exceeding $10,000 require Director's approval.
6. Accelerated Compensation for Developmental Positions (ACDP)
(a) Accelerated Compensation for Developmental Positions (ACDP) is
a pay-setting provision that may be used to recognize the development
and attainment of job-related competencies for TARDEC employees
participating in training programs, internships, or other developmental
capacities as determined by the TARDEC Director. The ACDP includes
TARDEC employees serving under the Student Career Experience Program
(SCEP) and Student Temporary Employment Program (STEP). ACDP is an
increase to base salary. It provides management the opportunity to
increase the base pay of employees in developmental positions at rates
which match or exceed career ladder promotion rates under the GS system
or other labor market forces.
(b) An ACDP increase to base salary may be awarded at anytime
throughout the rating year. In order to receive an ACDP, the employee
must be in a pay and duty status, have been on an approved CCAS
standard for 90 consecutive days and have successfully met the
Contribution Goal Objectives of the CCAS standard as determined by a
management official.
(c) ACDP is payment in addition to the annual contribution rating
increase and contribution award. It generally will not exceed 20
percent of the employee's base pay; however, a higher increase may be
provided on a case-by-case basis if approved by an official who is at a
higher level than the official who made the initial decision.
(d) ACDP base pay increase is separate funding from the pay pool
process.
7. Inadequate CCAS Contribution
Inadequate performance at any time during the appraisal period is
considered grounds for initiation of a reduction-in-pay or removal
action. The following procedures replace those established in 5 U.S.C.
4303 pertaining to reductions in grade or removal for unacceptable
performance except with respect to appeals of such actions. 5 U.S.C.
4303(e) provides the statutory authority for appeals of contribution-
based actions. As is currently the situation for performance-based
actions taken under 5 U.S.C. 4303, contribution-based actions shall be
sustained if the decision is supported by substantial evidence and the
Merit Systems Protection Board shall not have mitigation authority with
respect to such actions. The separate statutory authority to take
contribution-based actions under chapter 75 of title 5, U.S.C., as
modified in the waiver section of this notice (section IX), remains
unchanged by these procedures.
When an employee's OCS plots above the upper rail of the NPR and
the employee is considered to be contributing inadequately the
supervisor has two options. The first is to take no action but to
document this decision in a memorandum for the record. A copy of this
memorandum will be provided to the employee and to higher levels of
management. The second option is to inform the employee, in writing,
that unless the contribution increases to, and is sustained at, a
higher level, the employee may be reduced in pay, reduced in pay band
level, or removed.
The second option will include a Contribution Improvement Plan
(CIP). The CIP will state how the employee's contribution is
inadequate, what improvements/results are required, recommendations on
how to achieve adequate contribution, assistance that the laboratory
may offer to the employee to assist in improving contribution, and
consequences of failure to improve. Additionally, the CIP must include
standards for adequate contribution, actions required of the employee,
and time in which they must be accomplished to increase and sustain the
employee's contribution at an adequate level. When an employee is
placed on a CIP, the rating official will afford the employee a
reasonable opportunity (a minimum of 60 days) to demonstrate acceptable
contribution. These provisions also apply to an employee whose
contribution deteriorates during the year.
Employees who are on a CIP at the time pay determinations are made
do
[[Page 12522]]
not receive performance payouts or the annual GPI. An employee who
receives an unacceptable OCS rating of record will not receive any
portion of the GPI or RIF service credit until such time as his/her
performance improves to the acceptable level and remains acceptable for
at least 90 days. When the employee has performed acceptably for at
least 90 days, the GPI will not be retroactive but will be granted at
the beginning of the next pay period after the supervisor authorizes
its payment.
Once an employee has been afforded a reasonable opportunity to
demonstrate adequate contribution but fails to do so, a reduction-in-
pay (which may include a change to a lower pay band level and/or
reassignment), or removal action may be proposed. If the employee's
contribution increases to an acceptable level and is again determined
to deteriorate in any factor within two years from the beginning of the
opportunity period, actions may be initiated to effect reduction in pay
or removal with no additional opportunity to improve. If an employee
has contributed acceptably for two years from the beginning of an
opportunity period, and the employee's overall contribution once again
declines to an inadequate level, the employee will be afforded an
additional opportunity to demonstrate adequate contribution before it
is determined whether or not to propose a reduction in pay or removal.
An employee whose reduction in pay or removal is proposed is
entitled to a 30-day advance notice of the proposed action that
identifies specific instances of inadequate contribution by the
employee on which the action is based. The employee will be afforded a
reasonable time to answer the notice of proposed action orally and/or
in writing.
A decision to reduce pay or remove an employee for inadequate
contribution may be based only on those instances of inadequate
contribution that occurred during the two-year period ending on the
date of issuance of the proposed action. The employee will be issued
written notice at or before the time the action will be effective. Such
notice will specify the instances of inadequate contribution by the
employee on which the action is based and will inform the employee of
any applicable appeal or grievance rights.
All relevant documentation concerning a reduction in pay or removal
that is based on inadequate contribution will be preserved and made
available for review by the affected employee or a designated
representative. At a minimum, the records will consist of a copy of the
notice of proposed action; the written answer of the employee or a
summary when the employee makes an oral reply; and the written notice
of decision and the reasons thereof, along with any supporting material
including documentation regarding the opportunity afforded the employee
to demonstrate adequate contribution.
8. Base Pay Increases and Bonuses
The payouts made to employees from the pay pool may be a mix of
base pay increases and/or one-time bonuses, such that all of the
allocated funds are disbursed as intended. To continue to provide
performance incentives while also ensuring cost discipline, base pay
increases may be limited. Certain employees will not be able to receive
the projected base pay increase due to base pay caps. Base pay is
capped when an employee reaches the maximum rate of base pay in an
assigned pay band. Also, for employees receiving retained rates above
the applicable pay band maximum, the entire performance payout will be
in the form of a bonus payment.
In addition, a pay pool manager may request approval from the
TARDEC Director for use of an Extraordinary Achievement Recognition.
Such recognition grants a base pay increase and/or bonus to an
employee. The funds available for an Extraordinary Achievement
Recognition are separately funded within the constraints of the budget.
9. Awards
To provide additional flexibility in motivating and rewarding
individuals and groups, some portion of the award budget will be
reserved for special acts and other categories as they occur. Awards
may include, but are not limited to, special acts, patents,
suggestions, on-the-spot, and time-off. The funds available to be used
for traditional 5 U.S.C. awards are separately funded within the
constraints of the laboratory's budget.
While not directly linked to the CCAS system, this additional
flexibility is important to encourage outstanding accomplishments and
innovation in accomplishing the diverse mission of TARDEC.
Additionally, to foster and encourage teamwork among its employees,
organizations may give group awards. The delegation of awards authority
is an internal Army decision and will be considered as such.
10. Reverse Feedback
Employee feedback to supervisors is considered essential for the
success of the TARDEC CCAS system. A feedback instrument for
subordinates to anonymously evaluate the effectiveness of their
supervisors is being developed and shall be implemented as part of the
demonstration project. Supervisors and their managers will be provided
the results of that feedback in a format that does not identify
individual raters or ratings. The data will be aggregated into a
summary and used to establish both personal and organizational
performance development goals. The use of this type of instrument will
help focus attention on desired leadership behaviors, structure the
feedback in a constructive manner, and offset the power imbalance that
often prevents supervisors from getting useful feedback from their
employees.
11. Adverse Actions
Except where specifically waived or modified in this plan, adverse
action procedures under 5 CFR part 752 remain unchanged.
12. Grievance of Overall Contribution Score
An employee may grieve the OCS received under the CCAS system. Non-
bargaining unit employees, and bargaining unit employees covered by a
negotiated grievance procedure that does not permit grievances over
performance ratings, must file under administrative grievance
procedures. Bargaining unit employees whose negotiated grievance
procedures cover performance rating grievances must file under those
negotiated procedures. Contribution payout amounts resulting from OCS
cannot be grieved.
D. Hiring Authority
1. Qualifications
The qualifications required for placement into a position in a pay
band within an occupational family career path will be determined using
the OPM Operating Manual for Qualification Standards for GS Positions.
Since the pay bands are anchored to the GS grade levels, the minimum
qualification requirements for a position will be those corresponding
to the lowest GS grade incorporated into that pay band. For example,
for a position in the E&S occupational family Pay Band II, individuals
must meet the basic requirements for a GS-5 as specified in the OPM
Qualification Standard for Professional and Scientific Positions.
Selective factors may be established for a position in accordance
with the OPM Operating Manual for Qualification Standards for GS
Positions, when determined to be
[[Page 12523]]
critical to successful job performance. These factors will become part
of the minimum requirements for the position, and applicants must meet
them in order to be eligible. If used, selective factors will be stated
as part of the qualification requirements in vacancy announcements and
recruiting bulletins.
2. Delegated Examining
Competitive service positions will be filled through Merit
Staffing, direct-hire authority, Delegated Examining, or other sources.
Where delegated to the laboratory level, hiring authority will be
exercised in accordance with the requirements of the delegation of
authority. The Rule of Three will be eliminated. When there are no more
than 15 qualified, eligible applicants and all are either preference
eligibles or there are no preference eligibles, all will be immediately
referred to the selecting official without rating and ranking. Rating
and ranking will be required only when the number of qualified
candidates exceeds 15 or there is a mix of preference and non-
preference applicants. Statutes and regulations covering veterans'
preference will be observed in the selection process and when rating
and ranking are required. This project includes the authority to
utilize the OPM Administrative Careers With America (ACWA) or successor
procedures for occupational series which have been designated as having
a testing requirement. This allows for the recruitment of entry level
positions covered by the Business and Technical Occupational Family at
the DE-II pay band.
3. Distinguished Scholastic Achievement Appointment
This demonstration project establishes a Distinguished Scholastic
Achievement Appointment using an alternative examining process which
provides the authority to appoint undergraduates and graduates through
the doctoral level to professional positions at the equivalent of GS-7
through GS-11, and GS-12 positions.
At the undergraduate level, candidates may be appointed to
positions at a base pay level no greater than the equivalent of GS-7,
step 10, provided that:
(1) They meet minimum standards for the positions as published in
OPM's Operating Manual ``Qualification Standards for General Schedule
Positions'' plus any selective factors stated in the vacancy
announcement;
(2) The occupation has a positive education requirement; and
(3) The candidate has a cumulative grade point average (GPA) of 3.5
or better (on a 4.0 scale) in those courses in those fields of study
that are specified in the Qualifications Standards for the occupational
series.
Appointments may also be made at the equivalent of GS-9 through GS-
12 on the basis of graduate education and/or experience for those
candidates with a GPA of 3.5 or better (on a scale of 4.0) for graduate
level courses in the field of study required for the occupation.
Veterans' preference procedures will apply when selecting
candidates under this authority. Preference eligibles who meet the
above criteria will be considered ahead of nonpreference eligibles. In
making selections, to pass over any preference eligible(s) to select a
nonpreference eligible requires approval under current pass-over or
objection procedures. Priority must also be given to displaced
employees as may be specified in OPM and DoD regulations.
4. Direct Hire Authority for Candidates With Advanced Degrees for
Scientific and Engineering Positions
a. Background:
The TARDEC has an urgent need for direct hire authority to appoint
qualified candidates possessing an advanced degree to scientific and
engineering positions. The market is extremely competitive with
industry and academia for the small supply of highly-qualified and
security clearable candidates with a Masters Degree or Ph.D. in science
or engineering. There are 35,000 scientists and engineers employed in
the DoD laboratories; 27% hold Masters Degrees, while 10% are in
possession of a Ph.D. The TARDEC employs around 1,427 scientists and
engineers; 21% holding Masters Degrees, while 2% percent are in
possession of a Ph.D. Over the next five years, the TARDEC plans to
hire approximately 500 of the country's best and brightest scientists
and engineers (S&Es) just to keep pace with attrition. This number does
not include the impact that actions such as Base Realignment and
Closure may have on the attrition of S&Es from the TARDEC. Statistics
indicate that the available pool of advanced degree, clearable
candidates is substantially diminished by the number of non-U.S.
citizens granted degrees by U.S. institutions. For instance, in 2006,
20% of Masters Degrees in science and over 35% of Ph.D.s in science
were awarded to temporary residents.
It is expected that this hiring authority, together with
streamlined recruitment processes, will be very effective in hiring
candidates possessing a Masters or Ph.D. and accelerating the hiring
process. For instance, under a similar authority found in the NDAA for
FY 2009, section 1108, Public Law 110-417, October 28, 2009, one STRL
had fifteen Ph.D. selectees in 2009 for the sixteen vacancies for which
they were using this hiring authority. Another STRL, using this
expedited hiring authority in calendar year 2009, made thirty firm
hiring offers in an average of thirteen days from receipt of paper work
in the Human Resources Office. Of these thirty selectees, twenty-three
possessed Ph.D.s.
b. Definitions:
(1) Scientific and engineering positions are defined as all
professional positions in scientific and engineering occupations (with
a positive education requirement) utilized by the laboratory.
(2) An advanced degree is a Master's or higher degree from an
accredited college or university in a field of scientific or
engineering study directly related to the duties of the position to be
filled.
(3) Qualified candidates are defined as candidates who:
(a) Meet the minimum standards for the position as published in
OPM's operating manual, ``Qualification Standards for General Schedule
Positions,'' or the laboratory's demonstration project qualification
standards specific to the position to be filled;
(b) Possess an advanced degree; and
(c) Meet any selective factors.
(4) ``Employee'' is defined by section 2105 of title 5, U.S.C.
c. Provisions:
(1) Use of this appointing authority must comply with merit system
principles when recruiting and appointing candidates with advanced
degrees to covered occupations.
(2) Qualified candidates possessing an advanced degree may be
appointed without regard to the provisions of subchapter 1 of chapter
33 of title 5, United States Code, other than sections 3303, 3321, and
3328 of such title.
(3) The hiring threshold for this authority shall be consistent
with DoD policy and legislative language as expressed in any National
Defense Authorization Act addressing such.
(4) Positions and candidates must be counted on a full-time
equivalent basis.
(5) Science and engineering positions that are filled as of the
close of the fiscal year are those positions encumbered on the last day
of the fiscal year.
(6) When completing the personnel action, the following will be
given as the authority for the Career-Conditional, Career, Term,
Temporary, or special demonstration project appointment authority:
Section 1108, NDAA for FY 09.
[[Page 12524]]
(7) Evaluation of this hiring authority will include information
and data on its use, such as numerical limitation, hires made, how many
veterans hired, declinations, difficulties encountered, and/or
recognized efficiencies.
5. Legal Authority
For actions taken under the auspices of this demonstration project,
the legal authorities, Public Law 103-337, as amended, and Public Law
111-84 will be used. For all other actions, the nature of action codes
and legal authority codes prescribed by OPM, DoD, or DA will continue
to be used.
6. Modified Term Appointments
TARDEC conducts a variety of projects that range from three to six
years. The current four-year limitation on term appointments for
competitive service employees often forces the termination of these
employees prior to completion of projects they were hired to support.
This disrupts the research and development process and affects the
organization's ability to accomplish the mission and serve its
customers.
TARDEC will continue to have career and career-conditional
appointments and temporary appointments not-to-exceed one year. These
appointments will use existing authorities and entitlements. Under the
demonstration project, TARDEC will have the added authority to hire
individuals under a modified term appointment. These appointments will
be used to fill positions for a period of more than one year, but not
more than a total of five years when the need for an employee's
services is not permanent. The modified term appointments differ from
term employment as described in 5 CFR 316 in that they may be made for
a period not to exceed five, rather than four years. The TARDEC
Director is authorized to extend a term appointment one additional
year.
Employees hired under the modified term appointment authority are
in a non-permanent status, but may be eligible for non-competitive
conversion to career or career-conditional appointments. To be
converted, the employee must:
a. Have been selected for the term position under competitive
procedures, with the announcement specifically stating that the
individual(s) selected for the term position may be eligible for
conversion to a career or career-conditional appointment at a later
date;
b. Have served two years of continuous service in the term
position; and
c. Have not been placed on a CIP.
Employees serving under term appointments at the time of conversion
to the demonstration project will be converted to the new modified term
appointments provided they were hired for their current positions under
competitive procedures. These employees will be eligible for conversion
to career-conditional or career appointments if they:
(1) Have served two years of continuous service in the term
position;
(2) Are selected under merit promotion procedures for the permanent
position; and
(3) Have not been placed on a CIP.
Time served in term positions prior to conversion to the modified
term appointment is creditable, provided the service was continuous.
7. Initial Probationary Period
The initial probationary period will not be less than one year and
will not exceed three years for all newly hired employees as defined in
5 CFR 315. The specific probationary period will be defined and
controlled by the TARDEC Director. The purpose of the probationary
period is to allow supervisors an adequate period of time to fully
evaluate an employee's ability to complete a cycle of work and to fully
assess an employee's contribution and conduct. All other features of
the current probationary period are retained including the potential to
remove an employee without providing the full substantive and
procedural rights afforded a non-probationary employee. These
provisions only apply to those employees who have been appointed under
the authority of this demonstration project.
8. Termination of Initial Probationary Period Employees
The probationary or trial period is designed to give supervisors
the opportunity to assess how well an employee can perform the duties
of a job and if the employee is otherwise well suited for the position.
Probationary employees may be terminated for any lawful reason
including, but not limited to, failure to demonstrate proper conduct,
technical competency, and/or acceptable contribution for continued
employment. They may also be terminated for conditions arising before
employment. When a supervisor decides to terminate an employee during
the probationary period, the supervisor shall terminate the employee's
services by written notification stating the reasons for termination
and the effective date of the action. The information in the notice
shall, at a minimum, outline the supervisor's reasons for termination.
9. Supervisory Probationary Periods
New supervisors, that is, those who have not previously completed a
supervisory probationary period, will be required to complete a one-
year probationary period for the initial appointment to a supervisory
position. An additional supervisory probationary period of one year may
be required when an employee is officially assigned to a different
supervisory position that constitutes a major change in supervisory
responsibilities from any previously held supervisory position. If,
during a supervisory probationary period, the decision is made to
return the employee to a non-supervisory position for reasons related
to supervisory performance, the employee will be returned to a
comparable position of no lower base pay than the position from which
promoted or reassigned.
10. Voluntary Emeritus Corps
Under the demonstration project, the Director will have the
authority to offer retired or separated employees voluntary positions.
The Director may redelegate this authority. Voluntary Emeritus Corps
assignments are not considered employment by the Federal government
(except for purposes of injury compensation). Thus, such assignments do
not affect an employee's entitlement to buyouts or severance payments
based on an earlier separation from Federal service.
The Voluntary Emeritus Corps will ensure continued quality services
while reducing the overall salary line by allowing higher paid
employees to accept retirement incentives with the opportunity to
retain a presence in the TARDEC community. The program will be
beneficial during manpower reductions, as employees accept retirement
and return to provide a continuing source of corporate knowledge and
valuable on-the-job training or mentoring to less experienced
employees.
To be accepted into the Volunteer Emeritus Corps, a volunteer must
be recommended by a TARDEC manager to the TARDEC Director or delegated
authority. Not everyone who applies is entitled to an emeritus
position. The responsible official will document acceptance or
rejection of the applicant. For acceptance, documentation must be
retained throughout the assignment. For rejection, documentation will
be maintained for two years.
To ensure success and encourage participation, the volunteer's
Federal
[[Page 12525]]
retirement pay (whether military or civilian) will not be affected
while serving in a voluntary capacity. Retired or separated Federal
employees may accept an emeritus position without a break or mandatory
waiting period.
Voluntary Emeritus Corps volunteers will not be permitted to
monitor contracts on behalf of the Government or to participate on any
contracts or solicitations where a conflict of interest exists. The
volunteers may be required to submit a financial disclosure form
annually. The same rules that currently apply to source selection
members will apply to volunteers.
An agreement will be established among the volunteer, the
responsible official, and the Civilian Personnel Advisory Center. The
agreement must be finalized before the assumption of duties and shall
include the following:
a. Statement that the voluntary assignment does not constitute an
appointment in the Civil Service, is without compensation, and the
volunteer waives any claims against the Government based on the
voluntary assignment;
b. Statement that the volunteer will be considered a Federal
employee only for the purpose of injury compensation;
c. Volunteer's work schedule;
d. Length of agreement (defined by length of project or time
defined by weeks, months, or years);
e. Support provided by the organization (travel, administrative
support, office space, and supplies);
f. Statement of duties;
g. Statement providing that no additional time will be added to a
volunteer's service credit for such purposes as retirement, severance
pay, and leave as a result of being a volunteer;
h. Provision allowing either party to void the agreement with two
working days written notice;
i. Level of security access required by the volunteer (any security
clearance required by the position will be managed by the employing
organization);
j. Provision that any publication(s) resulting from his/her work
will be submitted to the Director for review and approval;
k. Statement that the volunteer accepts accountability for loss or
damage to Government property occasioned by his/her negligence or
willful action;
l. Statement that his/her activities on the premises will conform
to the regulations and requirements of the organization;
m. Statement that the volunteer will not release any sensitive or
proprietary information without the written approval of the employing
organization and further agrees to execute additional non-disclosure
agreements as appropriate, if required, by the nature of the
anticipated services;
n. Statement that the volunteer will not disclose any inventions
made in the course of work performed at the TARDEC. The Director has
the option to obtain title to any such invention on behalf of the U.S.
Government. Should the Director elect not to take title, the TARDEC
shall at a minimum retain a non-exclusive, irrevocable, paid-up,
royalty-free license to practice or have practiced the invention
worldwide on behalf of the U.S. Government; and
o. Statement that he/she agrees to comply with designated mandatory
training.
Exceptions to the provisions in this procedure may be granted by
the Director on a case-by-case basis.
E. Internal Placement
1. Promotion
A promotion is the movement of an employee to a higher pay band in
the same occupational family career path or to another pay band in a
different occupational family career path, wherein the pay band in the
new occupational family has a higher maximum base pay than the band
from which the employee is moving. Positions with known promotion
potential to a higher band within an occupational family career path
will be identified when they are filled. Movement from one occupational
family to another will depend upon individual competencies,
qualifications, and the needs of the organization. Supervisors may
consider promoting employees at any time, since promotions are not tied
to the CCAS system. Progression within a pay band is based upon
contribution/performance base pay increases; as such, these actions are
not considered promotions and are not subject to the provisions of this
section. Except as specified below, promotions will be processed under
competitive procedures in accordance with Merit System Principles and
requirements of the local merit promotion plan.
2. Reassignment
A reassignment is the movement of an employee from one position to
a different position within the same occupational family and pay band
or to another occupational family and pay band wherein the pay band in
the new family has the same maximum base pay. The employee must meet
the qualifications requirements for the occupational family and pay
band.
Employees may be eligible for an increase to base salary upon
temporary or permanent reassignment as described in this section. A
decision to increase an employee's pay under this section will be based
upon business rules that will define criteria necessary to justify a
base pay increase. Examples of criteria may include, but are not
limited to, one or more of the following factors:
a. A determination that an employee's responsibilities will
significantly increase;
b. Critical mission or business requirements;
c. Need to advance multi-functional competencies;
d. Labor market conditions, e.g., availability of candidates and
labor market rates;
e. Reassignment from a nonsupervisory to a supervisory position;
f. Employee's past and anticipated performance and contribution;
g. Physical location of position;
h. Specialized skills, knowledge, or education possessed by the
employee in relation to those required by the position; and
i. Salaries of other employees in the organization performing
similar work.
When an employee is reassigned within his/her current pay band or
to a comparable pay band, an authorized management official will set
base pay at an amount no less than the employee's current base pay and
may increase the employee's current base pay by up to 6 percent. If the
employee's current base pay exceeds the maximum of the new pay band, no
increase is provided, and the employee's rate will be set at that
maximum rate. There is no limit to the number of times an employee can
be reassigned, but local business rules will be established to monitor
and control all cases that receive a reassignment base pay change to
ensure fairness and consistency across the workforce. Reassignment base
pay thresholds may be modified or increased by internal business rules,
policies, or procedures as organizational experience dictates.
3. Demotion or Placement in a Lower Pay Band
A demotion is a placement of an employee into a lower pay band
within the same occupational family or placement into a pay band in a
different occupational family with a lower maximum base pay. Demotions
may be for cause (performance or conduct) or for reasons other than
cause (e.g., erosion of duties, reclassification of duties to a lower
pay band, application
[[Page 12526]]
under competitive announcements, at the employee's request, or
placement actions resulting from RIF procedures).
4. Simplified Assignment Process
Today's environment of downsizing and workforce fluctuations
mandates that the organization have maximum flexibility to assign
duties and responsibilities to individuals. Pay banding can be used to
address this need, as it enables the organization to have maximum
flexibility to assign an employee with either no change or an increase
in base pay within broad descriptions consistent with the needs of the
organization and the individual's qualifications and level. Subsequent
assignments to projects, tasks, or functions anywhere within the
organization requiring the same level, area of expertise, and
qualifications would not constitute an assignment outside the scope or
coverage of the current position description. For instance, a technical
expert could be assigned to any project, task, or function requiring
similar technical expertise. Likewise, a manager could be assigned to
manage any similar function or organization consistent with that
individual's qualifications. This flexibility allows broader latitude
in assignments and further streamlines the administrative process and
system while providing management the option of granting additional
base pay in recognition of more complex work or broader scope of
responsibility.
5. Details
The temporary assignment of an employee to a different
demonstration project position for a specific period when the employee
is expected to return to his or her regular duties at the end of an
assignment. (An employee who is on detail is considered for pay and
strength purposes to be permanently occupying his or her regular
position.)
6. Exceptions to Competitive Procedures
The following actions are excepted from competitive procedures:
a. Re-promotion to a position which is in the same pay band or GS
equivalent and occupational family as the employee previously held on a
permanent basis within the competitive service.
b. Promotion, reassignment, demotion, transfer, or reinstatement to
a position having promotion potential no greater than the potential of
a position an employee currently holds or previously held on a
permanent basis in the competitive service.
c. A position change permitted by reduction-in-force procedures.
d. Promotion without current competition when the employee was
appointed through competitive procedures to a position with a
documented career ladder.
e. A temporary promotion or detail to a position in a higher pay
band of 180 days or less.
f. A promotion due to the reclassification of positions based on
accretion (addition) of duties.
g. A promotion resulting from the correction of an initial
classification error or the issuance of a new classification standard.
h. Consideration of a candidate who did not receive proper
consideration in a competitive promotion action.
i. Impact of person in the job and Factor IV process (application
of the Research Grade Evaluation Guide, Equipment Development Grade
Evaluation Guide, Part III, or similar guides) promotions.
F. Pay Administration
1. General
Pay administration policies will be established by the Personnel
Management Board. These policies will be exempt from Army Regulations
or RDECOM local pay fixing policies, but will conform to basic
governmental pay fixing policy. Employees whose performance is
acceptable may be eligible for the full annual general pay increase and
the full locality pay. TARDEC may make full use of recruitment,
retention, and relocation payments as provided for by OPM under 5
U.S.C. and 5 CFR pay flexibilities unless waived by this FRN.
2. Pay and Compensation Ceilings
An employee's total monetary compensation paid in a calendar year
may not exceed the rate of pay for Level I of the Executive Schedule to
be consistent with 5 CFR 530.201 and consistent with 5 U.S.C. 5307 and
5 CFR 530, subpart B. In addition, each pay band will have its own base
pay ceiling. Base pay rates for the various pay bands will be linked to
the OCS of the CCAS system. Other than where a retained rate applies,
base pay will be limited to the maximum base pay payable for each pay
band.
3. Pay Setting for Appointment
Upon initial appointment, the individual's base pay may be set at
the lowest base pay in the pay band or anywhere within the pay band
level consistent with the special qualifications of the individual and
the unique requirements of the position. These special qualifications
may be in the form of education, training, experience, or any
combination thereof that is pertinent to the position in which the
employee is being placed. Guidance on pay setting for new hires will be
established by the Personnel Management Board.
4. Highest Previous Rate (HPR)
HPR will be considered in placement actions authorized under rules
similar to the HPR rules in 5 CFR 531.221. Use of HPR will be at the
supervisor's discretion; but if used, HPR is subject to policies
established by the Personnel Management Board.
5. Pay Setting for Promotion
The minimum base pay increase upon promotion to a higher pay band
will be six percent or the minimum base pay rate of the new pay band,
whichever is greater. In no case will the increase exceed the maximum
base pay for the pay band. The maximum base pay increase for promotion
may be exceeded when necessary to allow for the minimum base pay
increase. When a temporary promotion is terminated, the employee's pay
entitlements will be re-determined based on the employee's position of
record, with appropriate adjustments to reflect pay events during the
temporary promotion, subject to the specific policies and rules
established by the Personnel Management Board. In no case may those
adjustments increase the base pay for the position of record beyond the
applicable pay range maximum base pay rate.
6. Pay Setting for Reassignment
A reassignment may be effected without a change in base pay.
However, a base pay increase may be granted where a reassignment
significantly increases the complexity, responsibility, and authority
or for other compelling reasons. Such an increase is subject to the
specific guidelines established by the Personnel Management Board.
7. Pay Setting for Demotion or Placement in a Lower Pay Band
Employees demoted for cause (performance or conduct) are not
entitled to pay retention and will receive a minimum of a five percent
decrease in base pay. Employees demoted for reasons other than cause
(e.g., erosion of duties, reclassification of duties to a lower pay
band, application under competitive announcements or at the employee's
request, or placement actions resulting from RIF procedures) may be
entitled to pay retention in accordance with the
[[Page 12527]]
provisions of 5 U.S.C. 5363 and 5 CFR 536, except as waived or modified
in section IX of this plan.
Employees who are on a CIP at the time base pay determinations are
made do not receive contribution payouts or the general pay increase.
This action may result in a base pay that is identified in a lower pay
band. This occurs because the minimum rate of base pay in a pay band
increases as the result of the general pay increase (5 U.S.C. 5303).
8. Supervisory and Team Leader Pay Adjustments
a. Supervisory and team leader pay adjustments may be approved by
the TARDEC Director based on the recommendation of the Personnel
Management Board to compensate employees with supervisory or team
leader responsibilities. Only employees in supervisory or team leader
positions as defined by the OPM GS Supervisory Guide or GS Leader Grade
Evaluation Guide may be considered for the pay adjustment. These pay
adjustments are funded separately from performance pay pools. These pay
adjustments are increases to base pay, ranging up to ten percent of
that pay rate for supervisors and up to five percent of that pay rate
for team leaders. Pay adjustments are subject to the constraint that
the adjustment may not cause the employee's base pay to exceed the pay
band maximum base pay. Criteria to be considered in determining the
base pay increase percentage include:
(1) Needs of the organization to attract, retain, and motivate high
quality supervisors/team leaders;
(2) Budgetary constraints;
(3) Years and quality of related experience;
(4) Relevant training;
(5) Performance appraisals and experience as a supervisor/team
leader;
(6) Organizational level of position; and
(7) Impact on the organization.
a. The pay adjustment will not apply to employees in Pay Band V of
the E&S occupational family.
b. After the date of conversion into the demonstration project, a
pay adjustment may be considered under the following conditions:
(1) New hires into supervisory/team leader positions will have
their initial rate of base pay set at the supervisor's discretion
within the pay range of the applicable pay band. This rate of pay may
include a pay adjustment determined by using the ranges and criteria
outlined above.
(2) An employee selected for a supervisory/team leader position
that is within the employee's current pay band may also be considered
for a base pay adjustment. If a supervisor/team leader is already
authorized a base pay adjustment and is subsequently selected for
another supervisor/team leader position within the same pay band, then
the base pay adjustment will be re-determined.
(3) Existing Supervisors/Team Leaders will be converted at their
existing base rate of pay and may be eligible for a base pay adjustment
upon review of the Personnel Management Board following the conversion.
c. The supervisor/team leader pay adjustment will be reviewed
annually, with possible increases or decreases based on the appraisal
scores for the performance element, Team/Project Leadership or
Supervision/EEO. The initial dollar amount of a base pay adjustment
will be removed when the employee voluntarily leaves the position. The
cancellation of the adjustment under these circumstances is not an
adverse action and is not subject to appeal. If an employee is
involuntarily removed from a non-probationary supervisory/team leader
position for unacceptable performance or conduct, the base pay
adjustment will be removed under adverse action procedures. However, if
an employee is involuntarily removed from a non-probationary
supervisory/team leader position for conditions other than unacceptable
performance or conduct, then pay retention will follow current law and
regulations at 5 U.S.C. 5362 and 5363 and 5 CFR part 536, except as
waived or modified in section IX.
9. Supervisory and Team Leader Pay Differentials
Supervisory and team leader pay differentials may be used by the
TARDEC Director to provide an incentive and to reward supervisors and
team leaders as defined by the OPM GS Supervisory Guide and GS Leader
Grade Evaluation Guide. Pay differentials are not funded from
performance pay pools. A pay differential is a cash incentive that may
range up to ten percent of base pay for supervisors and up to five
percent of base pay for team leaders. It is paid on a pay-period basis
for a specified period of time not to exceed (NTE) one year and is not
included as part of the base pay. Criteria to be considered in
determining the amount of the pay differential are the same as those
identified for Supervisory and Team Leader Pay Adjustments. The pay
differential will not apply to employees in Pay Band V of the E&S
occupational family.
The pay differential may be considered, either during conversion
into or after initiation of the demonstration project, if the
supervisor/team leader has subordinate employees in the same pay band.
The differential must be terminated if the employee is removed from a
supervisory/team leader position, regardless of cause.
After initiation of the demonstration project, all personnel
actions involving a supervisory or team leader differential will
require a statement signed by the employee acknowledging that the
differential may be terminated or reduced at the discretion of the
TARDEC Director. The termination or reduction of the differential is
not an adverse action and is not subject to appeal.
10. Staffing Supplements
Employees assigned to occupational categories and geographic areas
covered by GS special rates will be entitled to a staffing supplement
if the maximum adjusted base pay for the banded GS grades (i.e., the
maximum GS locality rate) to which assigned is a special rate that
exceeds the maximum GS locality rate for the banded grades. The
staffing supplement is added to the base pay, much like locality rates
are added to base pay. For employees being converted into the
demonstration project, total pay immediately after conversion will be
the same as immediately before (excluding the impact of any WGI buy-in
for GS employees), but a portion of the total pay will be in the form
of a staffing supplement. Adverse action and pay retention provisions
will not apply to the conversion process, as there will be no loss or
decrease in total pay.
The staffing supplement is calculated as follows. Upon conversion,
the demonstration base rate will be established by dividing the
employee's former GS basic pay (including any locality pay or special
salary rate) or, for former NSPS employees, the NSPS adjusted salary
(including any local market supplement) by the staffing factor. The
staffing factor will be determined by dividing the maximum special rate
for the banded grades by the GS unadjusted rate corresponding to that
special rate (step 10 of the GS rate for the same grade as the special
rate). The employee's demonstration staffing supplement is derived by
multiplying the demonstration base pay rate by the staffing factor
minus one. Therefore, the employee's final demonstration special
staffing rate equals the demonstration base pay rate plus the staffing
supplement. This amount will equal the employee's former GS or NSPS
adjusted
[[Page 12528]]
base pay rate. Simplified, the formula is this:
[GRAPHIC] [TIFF OMITTED] TN07MR11.002
If an employee is in a band where the maximum GS or NSPS adjusted
base pay rate for the banded grades is a locality rate, when the
employee enters into the demonstration project, the demonstration base
pay rate is derived by dividing the employee's former GS adjusted base
pay rate (the higher of locality rate or special rate) by the
applicable locality pay factor. The employee's demonstration locality-
adjusted base pay rate will equal the employee's former GS adjusted
base pay rate in accordance with the above provisions using the new
special salary rate. Any GS or special rate schedule adjustment will
require computing the staffing supplement again. Employees receiving a
staffing supplement remain entitled to an underlying locality rate,
which may over time supersede the need for a staffing supplement. If
OPM discontinues or decreases a special rate schedule, pay retention
provisions will be applied. Upon geographic movement, an employee who
receives the staffing supplement will have the supplement recomputed.
Any resulting reduction in pay will not be considered an adverse action
or a basis for pay retention.
An established base pay rate plus the staffing supplement will be
considered adjusted base pay for the same purposes as a locality rate
under 5 CFR 531.610, i.e., for purposes of retirement, life insurance,
premium pay, severance pay, and advances in pay. It will also be used
to compute worker's compensation payments and lump-sum payments for
accrued and accumulated annual leave.
If an employee is in an occupational category covered by a new or
modified special salary rate table, and the pay band to which assigned
is not entitled to a staffing supplement, then the employee's adjusted
base pay may be reviewed and adjusted to accommodate the rate increase
provided by the special salary rate table. The review may result in a
one-time base pay increase if the employee's adjusted base pay equals
or is less than the highest special salary rate grade and step that
exceeds the comparable locality grade and step. Demonstration project
operating procedures will identify the officials responsible to make
such reviews and determinations.
11. Pay Retention Within the Demonstration Project
For purposes of actions within the TARDEC demonstration project
that provide entitlement to pay retention the standard provisions of
pay retention (5 U.S.C. 5362 and 5363 and 5 CFR 536) shall apply to
employees after conversion to the demonstration project, except as
waived or modified in Section IX of this plan. Wherever the term
``grade'' is used in the law or regulation the term ``pay band'' will
be substituted. The TARDEC Director may also grant pay retention to
employees who meet general eligibility requirements, but do not have
specific entitlement by law, provided they are not specifically
excluded.
G. Employee Development
1. Expanded Developmental Opportunity Program
The Expanded Developmental Opportunity Program will be available to
all demonstration project employees. Expanded developmental
opportunities complement existing developmental opportunities such as
long-term training; rotational job assignments; developmental
assignments to Army Materiel Command/Army/DoD; and self-directed study
via correspondence courses, local colleges, and universities. Each
developmental opportunity must result in a product, service, report, or
study that will benefit the TARDEC or customer organization as well as
increase the employee's individual effectiveness. The developmental
opportunity period will not result in loss of (or reduction) in base
pay, leave to which the employee is otherwise entitled, or credit for
service time. The positions of employees on expanded developmental
opportunities may be back-filled (i.e., with temporarily assigned,
detailed or promoted employees or with term employees). However, that
position or its equivalent must be made available to the employee upon
return from the developmental period. The Personnel Management Board
will provide written guidance for employees on application procedures
and develop a process that will be used to review and evaluate
applicants for developmental opportunities.
a. Sabbaticals. The TARDEC Director has the authority to grant paid
or unpaid sabbaticals to all career employees. The purpose of a
sabbatical will be to permit an employee to engage in study or
uncompensated work experience that will benefit the organization and
contribute to the employee's development and effectiveness. Each
sabbatical must result in a product, service, report, or study that
will benefit the TARDEC mission as well as increase the employee's
individual effectiveness. Various learning or developmental experiences
may be considered, such as advanced academic teaching; research; self-
directed or guided study; and on-the-job work experience.
One paid sabbatical of up to twelve months in duration or one
unpaid sabbatical of up to six months in a calendar year may be granted
to an employee in any seven-year period. Employees will be eligible to
request a
[[Page 12529]]
sabbatical after completion of seven years of Federal service.
Employees approved for a paid sabbatical must sign a service obligation
agreement to continue in service in the TARDEC for a period three times
the length of the sabbatical. If an employee voluntarily leaves TARDEC
before the service obligation is completed, he/she is liable for
repayment of expenses incurred by TARDEC that are associated with
training during the sabbatical. Expenses do not include salary costs.
The TARDEC Director has the authority to waive this requirement.
Criteria for such waivers will be addressed in the operating
procedures.
Specific procedures will be developed for processing sabbatical
applications upon implementation of the demonstration project.
b. Critical Skills Training (Training for Degrees). The TARDEC
Director has the authority to approve academic degree training
consistent with 5 U.S.C. 4107. Training is an essential component of an
organization that requires continuous acquisition of advanced and
specialized knowledge. Degree training is also a critical tool for
recruiting and retaining employees with or requiring critical skills.
Academic degree training will ensure continuous acquisition of advanced
specialized knowledge essential to the organization, and enhance our
ability to recruit and retain personnel critical to the present and
future requirements of the organization. Degree or certificate payment
may not be authorized where it would result in a tax liability for the
employee without the employee's express and written consent. Any
variance from this policy must be rigorously determined and documented.
Guidelines will be developed to ensure competitive approval of degree
or certificate payment and that such decisions are fully documented.
Employees approved for degree training must sign a service obligation
agreement to continue in service in TARDEC for a period three times the
length of the training period. If an employee voluntarily leaves the
TARDEC before the service obligation is completed, he/she is liable for
repayment of expenses incurred by TARDEC related to the critical skills
training. Expenses do not include salary costs. The TARDEC Director has
the authority to waive this requirement. Criteria for such waivers will
be addressed in the operating procedures.
c. Student Career Experience Program (SCEP) Service Agreement. The
extended repayment period also applies to employees under the SCEP who
have received tuition assistance. They will be required to sign a
service agreement up to three times the length of the academic training
period or periods (semesters, trimesters, or quarters).
H. Reduction-in-Force (RIF) Procedures
The competitive area may be determined by occupational family,
lines of business, product lines, organizational units, funding lines,
occupational series, functional area, and/or geographical location, or
a combination of these elements, and must include all Demonstration
Project employees within the defined competitive area. The RIF system
has a single round of competition to replace the current GS two-round
process. Once the position to be abolished has been identified, the
incumbent of that position may displace another employee when the
incumbent has a higher retention standing and is fully qualified for
the position occupied by the employee with a lower standing.
Retention standing is based on tenure, veterans' preference, and
length of service augmented by performance. Modified term appointment
and temporary appointment employees are in Tenure Group 0, and are not
eligible to complete within a RIF. RIF procedures are not required when
separating these employees when their appointments expire.
Displacement is limited to one pay band level below the employee's
present pay band level within the occupational family career path. Pay
band level I employees can displace within their current pay band
level. A veterans' preference eligible employee with a compensable
service connected disability of 30 percent or more may displace up to
two pay band levels below the employee's present level within the
career path. A pay band level I preference eligible employee (with a
compensable service connected disability of 30 percent or more) can
displace within their current pay band. The same ``undue disruption''
standard currently utilized, serves as the criteria to determine if an
employee is fully qualified.
The additional RIF service credit for performance shall be based on
the last three OCS scores and will be applied as follows:
a. 20 years of credit for each year the OCS is equal to or greater
than 94 percent of the expected OCS.
b. 16 years of credit for each year the OCS is less than 94 percent
but greater than 92 percent of the expected OCS.
c. 12 years of credit for each year the OCS is less than 92 percent
but greater than 90 percent of the expected OCS.
d. Zero (0) year of credit for each year the employees OCS is less
than 90 percent of the expected OCS.
Note 1: Expected OCS is the OCS that corresponds to the
employee's base pay at the time of rating.
An employee whose current overall contribution score places him/her
in the area above the upper rail and on a CIP, any time during the
rating cycle, may only displace an employee who is also above the upper
rail and also on a CIP during that same period. The displaced
individual may similarly displace another employee on a CIP. If/When
there is no position in which an employee can be placed by this process
or assigned to a vacant position, that employee will be separated. If
an employee has not been rated under the demonstration project their
rating will be considered acceptable and they will be given the full 21
years of performance credit. After completion of the first or second
rating cycle the total years of service will be prorated based on
ratings received to date.
IV. Implementation Training
A. Critical to the success of the demonstration project is the
training developed to promote understanding of the broad concepts and
finer details needed to implement and successfully execute this
project. New pay banding, job classification, and performance
management systems all contribute to significant cultural change to the
organization. Training will be tailored to address employee concerns
and to encourage comprehensive understanding of the demonstration
project. Training will be required both prior to implementation and at
various times during the life of the demonstration project.
B. A training program will begin prior to implementation and will
include modules tailored for employees, supervisors, senior managers,
and administrative staff. Typical modules are:
1. An overview of the demonstration project personnel system;
2. How employees are converted into and out of the system;
3. Pay banding;
4. The CCAS system;
5. Defining contribution goals;
6. How to assign weights;
7. Assessing performance--giving feedback;
8. New position descriptions; and
9. Demonstration project administration and formal evaluation.
C. Various types of training are being considered, including
videos, on-line tutorials, and train-the-trainer concepts.
[[Page 12530]]
V. Conversion Into the Demonstration Project
A. Conversion From NSPS to the Demonstration Project
1. Placement into Demonstration Project Occupational Families, Career
Paths, Pay Plans, and Pay Bands
The employee's NSPS occupational series, pay plan, pay band, and
supervisory code will be considered upon converting into the
demonstration project as follows:
a. Determine the appropriate demonstration project pay plan.
Employees will be converted into an occupational family career path pay
plan based on the occupational series of their position. If there is a
separate pay plan for supervisors, conversion to that pay plan will be
without regard to the occupational series. In cases where the employee
is assigned to a NSPS-unique occupational series, a corresponding OPM
occupational series must be identified using OPM GS classification
standards and guidance to determine the proper demonstration project
pay plan.
b. Determine the appropriate demonstration project pay band. The
appropriate pay band will be determined by establishing the
corresponding GS grade for the employee's NSPS position using OPM GS
classification standards and guidance. Once the GS grade has been
determined, the employee's position will be placed in the appropriate
demonstration project pay band in the occupational family career path.
In cases where a GS grade is encompassed in more than one pay band of a
career path, a careful review will be required using demonstration
project classification criteria to determine the appropriate pay band
in which to place the position.
2. Setting Pay Upon Conversion to the Demonstration Project
a. Determine the appropriate base salary. Conversion from NSPS into
the demonstration project will be accomplished with full employee pay
protection. Adverse action provisions will not apply to the conversion
action. In accordance with section 1113(c)(1) of NDAA 2010, which
prohibits a loss of or decrease in pay upon transition from NSPS,
employees converting to the demonstration project will retain the
adjusted salary (as defined in 5 CFR 9901.304) from their NSPS
permanent or temporary position at the time the position converts. Upon
conversion, the retained NSPS adjusted salary may not exceed Level IV
of the Executive Schedule plus 5 percent. If the employee's base pay
exceeds the maximum rate for his or her assigned demonstration project
pay band, the employee will be placed on indefinite pay retention until
an event, as described in 5 CFR 536.308, results in a loss of
eligibility for or termination of pay retention. Increases to the
retained rate after conversion will be in accordance with applicable
regulations; however, for any NSPS employee whose retained rate exceeds
Executive Level IV upon conversion, any adjustment to the retained rate
in accordance with applicable pay retention regulations may not cause
the employee's adjusted pay to exceed Executive Level IV plus 5
percent.
b. Employees Previously Covered by an NSPS Targeted Local Market
Supplement (TLMS)
Employees who were covered by an NSPS TLMS prior to conversion to
the demonstration project will no longer be covered by a TLMS. Instead
they may receive a locality or similar supplement (e.g., a staffing
supplement), whichever is greater, or pay retention, if applicable. The
adjusted base pay upon conversion will not change.
c. Other Pay. Once converted, employees may receive other
adjustments and/or differentials, as applicable, as described in this
Federal Register notice or an internal operating instruction.
3. Fair Labor Standards Act (FLSA) Status
Since FLSA provisions were not waived under NSPS and duties do not
change upon conversion to the demonstration project, the FLSA status
determination will remain the same upon conversion. Employees will be
converted to the demonstration project with the same FLSA status they
had under NSPS.
4. Transition Equity
During the first 12 months following conversion to the
demonstration project, management may approve certain adjustments
within the pay band for pay equity reasons stemming from conversion.
For example, if an employee would have been otherwise promoted but
demonstration project pay band placement no longer provides a promotion
opportunity, a pay equity adjustment may be authorized provided the
adjustment does not cause the employee's base pay to exceed the maximum
rate of his or her assigned pay band and the employee's performance
warrants an adjustment. The decision to grant a pay equity adjustment
is at the sole discretion of TARDEC management and is not subject to
employee appeal procedures.
During the first 12 months following conversion, management may
approve an adjustment of not more than 10 percent, provided the
adjustment does not cause the employee's base pay to exceed the maximum
rate of his or her assigned pay band and the employee's performance
warrants an adjustment, to mitigate base pay inequities that may be
caused by artifacts of the process of conversion into STRL pay bands.
For instance, inappropriate ``leap-frogging'' of more senior employees
by more junior employees when the inversion of compensation levels are
not warranted by performance or mission accomplishment outcomes.
5. Pay Band Retention
Employees converting from NSPS to the demonstration project will
not be granted pay band retention based on the pay band formerly
assigned to their NSPS position.
6. Converting Employees on NSPS Term and Temporary Appointments
a. Employees serving under term appointments at the time of
conversion to the demonstration project will be converted to modified
term appointments provided they were hired for their current positions
under competitive procedures. These employees will be eligible for
conversion to career or career-conditional appointments in the
competitive service provided they:
(1) Have served two years of continuous service in the term
position;
(2) Were selected for the term position under competitive
procedures; and
(3) Are performing at a satisfactory level.
Converted term employees who do not meet these criteria may
continue on their term appointment up to the not-to-exceed date
established under NSPS. Extensions of term appointments after
conversion may be granted in accordance with 5 CFR part 316, subpart D.
b. Employees serving under temporary appointments under NSPS when
their organization converts to the demonstration project will be
converted and may continue on their temporary appointment up to the
not-to-exceed date established under NSPS. Extensions of temporary
appointments after conversion may be granted in accordance with 5 CFR
213.104 for excepted service employees and 5 CFR part 316, subpart D,
for competitive service employees.
[[Page 12531]]
7. Probationary Periods
a. Initial probationary period. NSPS employees who have completed
an initial probationary period prior to conversion from NSPS will not
be required to serve a new or extended initial probationary period.
NSPS employees who are serving an initial probationary period upon
conversion from NSPS will serve the time remaining on their initial
probationary period and may have their initial probationary period
extended in accordance with the demonstration project regulation and
implementing issuances.
b. Supervisory probationary period. NSPS employees who have
completed a supervisory probationary period prior to conversion from
NSPS will not be required to serve a new or extended supervisory
probationary period while in their current position. NSPS employees who
are serving a supervisory probationary period upon conversion from NSPS
will serve the time remaining on their supervisory probationary period.
B. Conversion From Non-NSPS System to the Demonstration Project
Conversion from current GS, Acq Demo, or other systems not covered
by NSPS into the new pay band system will be accomplished during
implementation of the demonstration project (refer Section III.A.2 and
Table 1). Initial entry into the demonstration project will be
accomplished through a full employee-protection approach that ensures
each employee an initial place in the appropriate pay band without loss
or decrease of adjusted base pay on conversion. If the employee's base
pay exceeds the maximum rate for his or her assigned demonstration
project pay band, the employee will be placed on pay retention.
Employees serving under term appointments at the time of the
implementation of the demonstration project will be converted to the
modified term appointment if all requirements (refer III.D.4 Revisions
to Term Appointments) have been satisfied. Position announcements,
etc., will not be required for these term appointments.
Employees serving under temporary appointments at the time of the
implementation of the demonstration project will be converted to the
demonstration project. Employees on temporary appointments at the time
of conversion may continue on those appointments up to the not-to-
exceed date established under the former system. Extensions of
temporary appointments may be granted in accordance with 5 CFR 213.104
for excepted service employees and 5 CFR part 316, subpart D, for
competitive service employees.
Employees who are covered by GS special salary rates prior to
entering the demonstration project will no longer be considered a
special salary rate employee under the demonstration project. Instead,
they will receive locality pay or a staffing supplement, whichever is
greater. Special conversion rules, as described in III.F.10, describe
staffing supplements which replace GS special salary rates and NSPS
targeted local market supplements and apply to employees in occupations
and geographic locations to which GS special salary rates or NSPS
targeted local market supplements would otherwise apply. The adjusted
base pay of these employees will not change. Rather, the employees will
receive a new adjusted base pay rate computed under the staffing
supplement rules in section III.F.10.
Employees who are on temporary promotions at the time of conversion
will be converted to a pay band commensurate with the grade of the
position to which temporarily promoted. At the conclusion of the
temporary promotion, the employee will revert to the grade or pay band
that corresponds to the position of record. When a temporary promotion
is terminated, pay will be determined based on the position of record,
with appropriate adjustments to reflect pay events during the temporary
promotion, subject to the specific policies and rules established by
the Personnel Management Board. In no case may those adjustments
increase the pay for the position of record beyond the applicable pay
band maximum base pay. The only exception will be if the original
competitive promotion announcement stipulated that the promotion could
be made permanent; in these cases, actions to make the temporary
promotion permanent will be considered, and if implemented, will be
subject to all existing priority placement programs.
During the first 12 months following conversion, employees will
receive pay increases for non-competitive promotion equivalents when
the grade level of the promotion is encompassed within the same pay
band, the employee's performance warrants the promotion, and promotions
would have otherwise occurred during that period. For employees who
receive an in-level promotion in accordance with this provision at the
time of conversion, a prorated step increase equivalent as defined
below will not be provided.
For GS employees, rules governing GS within-grade increases (WGIs)
will continue in effect until conversion. Adjustments to a GS
employee's base pay for WGI equity will be computed as of the effective
date of conversion provided the employee is performing at an acceptable
level of competence as defined in 5 CFR 531.403. WGI equity will be
acknowledged by increasing base pay by a prorated share based upon the
number of full weeks an employee has completed toward the next higher
step. Payment will equal the value of the employee's next WGI times the
proportion of the waiting period completed (weeks completed in waiting
period/weeks in the waiting period) at the time of conversion. GS
employees at step 10 or receiving retained rates, on the day of
implementation will not be eligible for WGI equity adjustments since
they are already at or above the top of the step scale. GS employees
serving on retained grade will receive WGI equity adjustments provided
they are not at step 10 or receiving a retained rate. Acq Demo and NSPS
employees do not receive WGI's and will convert into the demonstration
project without WGI adjustments.
Employees who enter the demonstration project from other pay
systems (DCIPS, Acq Demo, or other STRLs) after initial implementation
by lateral transfer, promotion, reassignment, reduction in band, or
realignment will be subject to the pay rules that govern conversion out
of their respective systems. Pay conversion into Lab Demo will be based
upon the job classification of the employee's new position.
C. Movement Out of the Demonstration Project
1. Termination of Coverage Under the TARDEC Demonstration Project Pay
Plans
In the event employees' coverage under the TARDEC demonstration
project pay plans is terminated, employees move with their
demonstration project position to another system applicable to TARDEC
employees. The grade of their demonstration project position in the new
system will be based upon the position classification criteria of the
gaining system. Employees when converted to their positions classified
under the new system will be eligible for pay retention under 5 CFR
part 536, if applicable.
[[Page 12532]]
2. Determining a GS-Equivalent Grade and GS-Equivalent Rate of Pay for
Pay Setting Purposes When a TARDEC Employee's Coverage by a
Demonstration Project Pay Plan Terminates or the Employee Voluntarily
Exits the TARDEC Demonstration Project
a. If a demonstration project employee is moving to a GS or other
pay system position, the following procedures will be used to translate
the employee's project pay band to a GS-equivalent grade and the
employee's project base pay to the GS-equivalent rate of pay for pay
setting purposes. The equivalent GS grade and GS rate of pay must be
determined before movement out of the demonstration project and any
accompanying geographic movement, promotion, or other simultaneous
action. For lateral reassignments, the equivalent GS grade and rate
will become the employee's converted GS grade and rate after leaving
the demonstration project (before any other action). For transfers,
promotions, and other actions, the converted GS grade and rate will be
used in applying any GS pay administration rules applicable in
connection with the employee's movement out of the project (e.g.,
promotion rules, highest previous rate rules, pay retention rules), as
if the GS converted grade and rate were actually in effect immediately
before the employee left the demonstration project.
(1) Equivalent GS-Grade-Setting Provisions
An employee in a pay band corresponding to a single GS grade is
provided that grade as the GS-equivalent grade. An employee in a pay
band corresponding to two or more grades is determined to have a GS-
equivalent grade corresponding to one of those grades according to the
following rules:
(a) The employee's adjusted base pay under the demonstration
project (including any locality payment or staffing supplement) is
compared with step 4 rates in the highest applicable GS rate range. For
this purpose, a GS rate range includes a rate in:
i. The GS base schedule;
ii. The locality rate schedule for the locality pay area in which
the position is located; or
iii. The appropriate special rate schedule for the employee's
occupational series, as applicable.
If the series is a two-grade interval series, only odd-numbered
grades are considered below GS-11.
(b) If the employee's adjusted base pay under the demonstration
project equals or exceeds the applicable step 4 adjusted base pay rate
of the highest GS grade in the band, the employee is converted to that
grade.
(c) If the employee's adjusted base pay under the demonstration
project is lower than the applicable step 4 adjusted base pay rate of
the highest grade, the adjusted base pay under the demonstration
project is compared with the step 4 adjusted base pay rate of the
second highest grade in the employee's pay band. If the employee's
adjusted base pay under the demonstration project equals or exceeds the
step 4 adjusted base pay rate of the second highest grade, the employee
is converted to that grade.
(d) This process is repeated for each successively lower grade in
the band until a grade is found in which the employee's adjusted base
pay under the demonstration project rate equals or exceeds the
applicable step 4 adjusted base pay rate of the grade. The employee is
then converted at that grade. If the employee's adjusted base pay is
below the step 4 adjusted base pay rate of the lowest grade in the
band, the employee is converted to the lowest grade.
(e) Exception: An employee will not be provided a lower grade than
the grade held by the employee immediately preceding a conversion,
lateral reassignment, or lateral transfer into the project, unless
since that time the employee has either undergone a reduction in band
or a reduction within the same pay band due to unacceptable
performance.
(2) Equivalent GS-Rate-of-Pay-Setting Provisions
An employee's pay within the converted GS grade is set by
converting the employee's demonstration project rates of pay to GS
rates of pay in accordance with the following rules:
(a) The pay conversion is done before any geographic movement or
other pay-related action that coincides with the employee's movement or
conversion out of the demonstration project.
(b) An employee's adjusted base pay under the demonstration project
(i.e., including any locality payment or staffing supplement) is
converted to a GS adjusted base pay rate on the highest applicable GS
rate range for the converted GS grade. For this purpose, a GS rate
range includes a rate range in:
i. The GS base schedule,
ii. An applicable locality rate schedule, or
iii. An applicable special rate schedule.
(c) If the highest applicable GS rate range is a locality pay rate
range, the employee's adjusted base pay under the demonstration project
is converted to a GS locality rate of pay. If this rate falls between
two steps in the locality-adjusted schedule, the rate must be set at
the higher step. The converted GS unadjusted rate of base pay would be
the GS base rate corresponding to the converted GS locality rate (i.e.,
same step position).
(d) If the highest applicable GS rate range is a special rate
range, the employee's adjusted base pay under the demonstration project
is converted to a special rate. If this rate falls between two steps in
the special rate schedule, the rate must be set at the higher step. The
converted GS unadjusted rate of base pay will be the GS rate
corresponding to the converted special rate (i.e., same step position).
(3) Employees with Pay Retention
If an employee is receiving a retained rate under the demonstration
project, the employee's GS-equivalent grade is the highest grade
encompassed in his or her pay band level. Demonstration project
operating procedures will outline the methodology for determining the
GS-equivalent pay rate for an employee retaining a rate under the
demonstration project.
3. Within-Grade Increase--Equivalent Increase Determinations
Service under the demonstration project is creditable for within-
grade increase purposes upon conversion back to the GS pay system.
Performance pay increases (including a zero increase) under the
demonstration project are equivalent increases for the purpose of
determining the commencement of a within-grade increase waiting period
under 5 CFR Section 531.405(b).
D. Personnel Administration
All personnel laws, regulations, and guidelines not waived by this
plan will remain in effect. Basic employee rights will be safeguarded
and Merit System Principles will be maintained. Servicing CPACs will
continue to process personnel-related actions and to provide other
appropriate services.
E. Automation
The TARDEC will continue to use the Defense Civilian Personnel Data
System (DCPDS) for the processing of personnel-related data. Payroll
servicing will continue from the respective payroll offices.
An automated tool will be used to support computation of
performance-related pay increases and awards and other personnel
processes and systems associated with this project.
F. Experimentation and Revision
Many aspects of a demonstration project are experimental.
Modifications
[[Page 12533]]
may be made from time to time as experience is gained, results are
analyzed, and conclusions are reached on how the new system is working.
DoDI 1400.37, July 28, 2009, provides instructions for adopting other
STRL flexibilities, making minor changes to an existing demonstration
project, and requesting new initiatives.
VI. Project Duration
Public Law 103-337 removed any mandatory expiration date for
section 342(b) demonstration projects. TARDEC, DA, and DoD will ensure
this project is evaluated for the first five years after implementation
in accordance with 5 U.S.C. 4703. Modifications to the original
evaluation plan or any new evaluation will ensure the project is
evaluated for its effectiveness, its impact on mission, and any
potential adverse impact on any employee groups. Major changes and
modifications to the interventions will be made if warranted by
formative evaluation data and will be published in the Federal Register
to the extent required. At the five-year point, the demonstration
project will be reexamined for permanent implementation, modification
and additional testing, or termination of the entire demonstration
project.
VII. Evaluation Plan
A. Overview
Chapter 47 of title 5 U.S.C. requires that an evaluation be
performed to measure the effectiveness of the demonstration project and
its impact on improving public management. A comprehensive evaluation
plan for the entire demonstration program, originally covering 24 DoD
laboratories, was developed by a joint OPM/DoD Evaluation Committee in
1995. This plan was submitted to the Office of Defense Research and
Engineering and was subsequently approved. The main purpose of the
evaluation is to determine whether the waivers granted result in a more
effective personnel system and improvements in ultimate outcomes (i.e.,
organizational effectiveness, mission accomplishment, and customer
satisfaction).
B. Evaluation Model
1. Appendix D shows an intervention model for the evaluation of the
demonstration project. The model is designed to evaluate two levels of
organizational performance: Intermediate and ultimate outcomes. The
intermediate outcomes are defined as the results from specific
personnel system changes and the associated waivers of law and
regulation expected to improve human resource (HR) management (i.e.,
cost, quality, and timeliness). The ultimate outcomes are determined
through improved organizational performance, mission accomplishment,
and customer satisfaction. Although it is not possible to establish a
direct causal link between changes in the HR management system and
organizational effectiveness, it is hypothesized that the new HR system
will contribute to improved organizational effectiveness.
2. Organizational performance measures established by the
organization will be used to evaluate the impact of a new HR system on
the ultimate outcomes. The evaluation of the new HR system for any
given organization will take into account the influence of three
factors on organizational performance: Context, degree of
implementation, and support of implementation. The context factor
refers to the impact which intervening variables (e.g., downsizing,
changes in mission, or the economy) can have on the effectiveness of
the program. The degree of implementation considers:
a. The extent to which the HR changes are given a fair trial
period;
b. The extent to which the changes are implemented; and
c. The extent to which the changes conform to the HR interventions
as planned.
The support of implementation factor accounts for the impact that
factors such as training, internal regulations and automated support
systems have on the support available for program implementation. The
support for program implementation factor can also be affected by the
personal characteristics (e.g., attitudes) of individuals who are
implementing the program.
3. The degree to which the project is implemented and operated will
be tracked to ensure that the evaluation results reflect the project as
it was intended. Data will be collected to measure changes in both
intermediate and ultimate outcomes, as well as any unintended outcomes,
which may happen as a result of any organizational change. In addition,
the evaluation will track the impact of the project and its
interventions on veterans and other protected groups, the Merit System
Principles, and the Prohibited Personnel Practices. Additional measures
may be added to the model in the event that changes or modifications
are made to the demonstration plan.
4. The intervention model at Appendix D will be used to measure the
effectiveness of the personnel system interventions implemented. The
intervention model specifies each personnel system change or
``intervention'' that will be measured and shows:
a. The expected effects of the intervention,
b. The corresponding measures, and
c. The data sources for obtaining the measures.
Although the model makes predictions about the outcomes of specific
interventions, causal attributions about the full impact of specific
interventions will not always be possible for several reasons. For
example, many of the initiatives are expected to interact with each
other and contribute to the same outcomes. In addition, the impact of
changes in the HR system may be mitigated by context variables (e.g.,
the job market, legislation, and internal support systems) or support
factors (e.g., training, automation support systems).
C. Evaluation
A modified quasi-experimental design will be used for the
evaluation of the STRL Personnel Demonstration Program. Because most of
the eligible laboratories are participating in the program, a title 5
U.S.C. comparison group will be compiled from the Central Personnel
Data File (CPDF). This comparison group will consist of workforce data
from Government-wide research organizations in civilian Federal
agencies with missions and job series matching those in the DoD
laboratories. This comparison group will be used primarily in the
analysis of pay banding costs and turnover rates.
D. Method of Data Collection
1. Data from several sources will be used in the evaluation.
Information from existing management information systems and from
personnel office records will be supplemented with perceptual survey
data from employees to assess the effectiveness and perception of the
project. The multiple sources of data collection will provide a more
complete picture as to how the interventions are working. The
information gathered from one source will serve to validate information
obtained through another source. In so doing, the confidence of overall
findings will be strengthened as the different collection methods
substantiate each other.
2. Both quantitative and qualitative data will be used when
evaluating outcomes. The following data will be collected:
a. Workforce data;
b. Personnel office data;
c. Employee attitude surveys;
[[Page 12534]]
d. Focus group data;
e. Local site historian logs and implementation information;
f. Customer satisfaction surveys; and
g. Core measures of organizational performance.
3. The evaluation effort will consist of two phases, formative and
summative evaluation, covering at least 5 years to permit inter- and
intra-organizational estimates of effectiveness. The formative
evaluation phase will include baseline data collection and analysis,
implementation evaluation, and interim assessments. The formal reports
and interim assessments will provide information on the accuracy of
project operation and current information on impact of the project on
veterans and protected groups, Merit System Principles, and Prohibited
Personnel Practices. The summative evaluation will focus on an overall
assessment of project outcomes after five years. The final report will
provide information on how well the HR system changes achieved the
desired goals, which interventions were most effective, and whether the
results can be generalized to other Federal installations.
VIII. Demonstration Project Costs
A. Cost Discipline
An objective of the demonstration project is to ensure in-house
cost discipline. A baseline will be established at the start of the
project, and labor expenditures will be tracked yearly. Implementation
costs (including project development, automation costs, step buy-in
costs, and evaluation costs) are considered one-time costs and will not
be included in the cost discipline.
The Personnel Management Board will track personnel cost changes
and recommend adjustments if required to achieve the objective of cost
discipline.
B. Developmental Costs
Costs associated with the development of the personnel
demonstration project include software automation, training, and
project evaluation. All funding will be provided through the
organization's budget. The projected annual expenses are summarized in
Table 9. Project evaluation costs are not expected to continue beyond
the first five years unless the results and external requirements
warrant further evaluation.
Table 9--Projected Development Costs
[In thousands of dollars]
----------------------------------------------------------------------------------------------------------------
FY10 FY11 FY12 FY13 FY14
----------------------------------------------------------------------------------------------------------------
Design & Termination From NSPS..................................... 2-K 2-K
Training........................................................... 5-K 20-K 10-K 5-K 5-K
Project Evaluation................................................. 0-K 35-K 25-K 25-K 25-K
Automation......................................................... 0-K 190-K 40-K 40-K 40-K
--------------------------------------------
Totals......................................................... 7-K 247-K 75-K 70-K 70-K
----------------------------------------------------------------------------------------------------------------
IX. Required Waivers to Law and Regulation
Public Law 106-398 gave the DoD the authority to experiment with
several personnel management innovations. In addition to the
authorities granted by the law, the following are waivers of law and
regulation that will be necessary for implementation of the
demonstration project. In due course, additional laws and regulations
may be identified for waiver request.
The following waivers and adaptations of certain title 5 U.S.C. and
5 CFR provisions are required only to the extent that these statutory
provisions limit or are inconsistent with the actions contemplated
under this demonstration project. Nothing in this plan is intended to
preclude the demonstration project from adopting or incorporating any
law or regulation enacted, adopted, or amended after the effective date
of this demonstration project.
A. Waivers to Title 5 U.S.C.
Chapter 5, section 552a: Records maintained on individuals. This
section is waived only to the extent required to clarify that
volunteers under the Voluntary Emeritus Corps are considered employees
of the Federal government for purposes of this section.
Chapter 31, section 3111: Acceptance of Volunteer Service. Waived
to allow for a Volunteer Emeritus Corps in addition to student
volunteers.
Chapter 33, subchapter 1, section 3318(a): Competitive Service,
Selection from Certificate. Waived to the extent necessary to eliminate
the requirement for selection using the ``Rule of Three.''
Chapter 33, section 3319: Alternative Ranking and Selection
Procedures. This section is waived to eliminate quality categories.
Chapter 33, section 3321: Competitive Service; Probationary Period.
This section waived only to the extent necessary to replace grade with
``pay band level.''
Chapter 33, section 3341: Details. Waived as necessary to extend
the time limits for details.
Chapter 41, section 4108 (a)-(c): Employee Agreements: Service
After Training. Waived to the extent necessary to: (1) Provide that the
employee's service obligation is to continue in the service of TARDEC
for the period of the required service; (2) permit the TARDEC Director,
to waive in whole or in part, a right of recovery; and (3) require
employees under the Student Career Experience Program who have received
tuition assistance to sign a service agreement up to three times the
length of the training.
Chapter 43, section 4302 and 4303: Waived to the extent necessary
to: (1) Substitute pay band for grade; and (2) provide that moving to a
lower pay band as a result of not receiving the general pay increase
because of poor performance is not an action covered by the provisions
of sections 4303(a) through (d).
Chapter 43, section 4304(b)(1) and (3): Responsibilities of the
OPM. Waived in its entirety to remove the responsibilities of the OPM
with respect to the performance appraisal system.
Chapter 45, subchapter I, section 4502(a) and (b)--Waiver to permit
TARDEC to approve awards up to $25,000 for individual employees.
Chapter 51, sections 5101-5112: Classification. Waived as necessary
to allow for the demonstration project pay banding system.
Chapter 53, sections 5301, 5302 (8) and (9), 5303, and 5304: Pay
Comparability System. Sections 5301, 5302, and 5304 are waived to the
extent necessary to allow: (1) Demonstration project employees to be
treated as GS employees and (2) basic rates of pay under the
demonstration project to be treated as scheduled rates of pay.
[[Page 12535]]
Chapter 53, section 5305: Special Pay Authority. Waived to the
extent necessary to allow for use of a staffing supplement in lieu of
the special pay authority.
Chapter 53, sections 5331-5336: General Schedule Pay Rates. Waived
in its entirety to allow for the demonstration project's pay banding
system and pay provisions.
Chapter 53, sections 5361-5366: Grade and Pay Retention. Waived to
the extent necessary to: (1) Replace ``grade'' with ``pay band;'' (2)
allow demonstration project employees to be treated as GS employees;
(3) provide that pay band retention provisions do not apply to
conversions from GS special rates or NSPS Targeted Local Market
Supplements to demonstration project pay, as long as total pay is not
reduced, to reductions in pay due solely to the removal of a
supervisory pay adjustment upon voluntarily leaving a supervisory
position, and to movements to a lower pay band as a result of not
receiving the general pay increase due to a rating of record of
``Unacceptable'' contribution; (4) provide that an employee on pay
retention whose rating of record is ``Unacceptable'' contribution is
not entitled to 50 percent of the amount of the increase in the maximum
rate of base pay payable for the pay band of the employee's position;
and (5) provide that pay retention does not apply to reduction in base
pay due solely to the reallocation of demonstration project pay rates
in the implementation of a staffing supplement.
Chapter 55, section 5542(a) (1)-(2): Overtime rates; computation.
Waived to the extent necessary to provide that the GS-10 minimum
special rate (if any) for the special rate category to which a project
employee belongs is deemed to be the ``applicable special rate'' in
applying the pay cap provisions.
Chapter 55, section 5545(d): Hazardous duty differential. Waived to
the extent necessary to allow demonstration project employees to be
treated as GS employees. Chapter 55, section 5546: Waived to allow
holiday premium pay at twice an employee's adjusted salary hourly rate
for each hour worked as directed or approved, including overtime hours.
Chapter 55, section 5547 (a)-(b): Limitation on premium pay. Waived
to the extent necessary to provide that the GS-15 maximum special rate
(if any) for the special rate category to which an employee belongs is
deemed to be the applicable special rate in applying the pay cap
provisions in 5 U.S.C. 5547.
Chapter 57, section 5753, 5754, and 5755: Recruitment and
relocation bonuses, retention incentives and supervisory differentials.
Waived to the extent necessary to allow: (1) Employees and positions
under the demonstration project to be treated as employees and
positions under the GS and (2) that management may offer a bonus to
incentivize geographic mobility to a SCEP student.
Chapter 59, section 5941: Allowances based on living costs and
conditions of environment; employees stationed outside continental U.S.
or Alaska. Waived to the extent necessary to provide that cost of
living allowances paid to employees under the demonstration project are
paid in accordance with regulations prescribed by the President (as
delegated to OPM).
Chapter 75, sections 7501(1), 7511(a)(1)(A)(ii), and
7511(a)(1)(C)(ii): Adverse Actions--Definitions. Waived to the extent
necessary to allow for up to a three-year probationary period and to
permit termination during the extended probationary period without
using adverse action procedures for those employees serving a
probationary period under an initial appointment except for those with
veterans' preference.
Chapter 75, section 7512(3): Adverse actions. Waived to the extent
necessary to replace ``Grade'' with ``Pay Band.''
Chapter 75, section 7512(4): Adverse actions. Waived to the extent
necessary to provide that adverse action provisions do not apply to:
(1) Conversions from GS special rates to demonstration project pay, as
long as total pay is not reduced; (2) reductions in pay due to the
removal of a supervisory or team leader pay adjustment upon voluntary
movement to a non-supervisory or non-team leader position; and (3)
reduction in supervisory pay due to a performance review.
B. Waivers to Title 5 CFR
Part 300, sections 300.601 through 605: Time-in-Grade restrictions.
Waived to eliminate time-in-grade restrictions in the demonstration
project.
Part 308, sections 308.101 through 308.103: Volunteer service.
Waived to allow for a Voluntary Emeritus Corps in addition to student
volunteers.
Part 315, section 315.801(a), 315.801(b)(1), (c), and (e), and
315.802(a) and (b)(1): Probationary period and Length of probationary
period. Waived to the extent necessary to allow for up to a three-year
probationary period and to permit termination during the extended
probationary period without using adverse action procedures for those
employees serving a probationary period under an initial appointment
except for those with veterans' preference.
Part 315, section 315.901 and 315.907: Probation on Initial
Appointment to a Supervisory or Managerial Position. This section
waived only to the extent necessary to replace grade with ``pay band
level.''
Part 316, sections 316.301, 316.303, and 316.304: Term Employment.
(These sections are waived to allow modified term appointments as
described in this Federal Register notice.)
Part 332, sections 332.401 and 332.404: Order on Registers and
Order of Selection from Certificates. (These sections are waived to the
extent necessary to allow: (1) No rating and ranking when there are 15
or fewer qualified applicants and no preference eligibles; (2) the
hiring and appointment authorities as described in this Federal
Register notice; and (3) elimination of the ``rule of three.''
Part 335, section 335.103(c)(1) i and ii: Agency promotion
programs. Waived to the extent necessary to extend the length of
details and temporary promotions without requiring competitive
procedures or numerous short-term renewals.
Part 337, section 337.101(a): Rating applicants. Waived to the
extent necessary to allow referral without rating when there are 15 or
fewer qualified candidates and no qualified preference eligibles.
Part 340, subpart A, subpart B, and subpart C: Other than Full-Time
Career Employment. (These subparts are waived to the extent necessary
to allow a Volunteer Emeritus Corps.)
Part 351, Reduction in Force. This part is waived to the extent
necessary to allow provisions of the RIF plan as described in this
Federal Register notice. In accordance with this FR, TARDEC will define
the competitive area, retention standing, and displacement limitations.
Specific waivers include:
Part 351.402(b): Competitive area. Waived to expand the definition
of a competitive area.
Part 351, section 351.504: Credit for performance. Waived as
necessary to revise the method for adding years of service based on
performance; to allow for single round of competition; and modified
displacement.
Part 351, sections 351.601-351.608: Release from Competitive Level.
Waived order of release from a competitive level based upon augmented
service performance.
Part 351, section 351.701: Assignment involving displacement.
Waived to the extent that bump and retreat rights are
[[Page 12536]]
limited to one pay band with the exception of 30 percent preference
eligibles who are limited to two pay bands (or equivalent of five GS
grades); to limit the assignment rights of employees with an
unacceptable current rating of record to a position held by another
employee with an unacceptable rating of record; and to modify
assignment rights to allow for a single round of competition.
Part 410, section 410.309: Agreements to continue in service.
Waived to the extent necessary to allow the TARDEC Director to
determine requirements related to continued service agreements,
including employees under the Student Career Experience Program who
have received tuition assistance.
Part 430, subpart B: Performance Appraisal for GS and Certain Other
Employees. Waived to the extent necessary to be consistent with the
demonstration project's CCAS system.
Part 430, section 430.208(a)(1) and (2): Rating Performance. Waived
to allow presumptive ratings for new employees hired 90 days or less
before the end of the appraisal cycle or for other situations not
providing adequate time for an appraisal
Part 432, sections 432.101-432.105: Regarding performance based
reduction in grade and removal actions. These sections are waived to
the extent necessary to: (1) Replace grade with ``pay band;'' (2)
exclude reductions in pay band level not accompanied by a reduction in
pay; and (3) allow provisions of CCAS. For employees who are reduced in
pay band level without a reduction in pay, sections 432.105 and 432.106
(a) do not apply.
Part 451, subpart A, section 451.103(c)(2): Waived with respect to
performance awards under the TARDEC CCAS.
Part 451, Sections 451.106(b) and 451.107(b): Awards. Waived to
permit TARDEC to approve awards up to $25,000 for individual employees.
Part 511, subpart A: General Provisions and subpart B: Coverage of
the GS. Waived to the extent necessary to allow for the demonstration
project classification system and pay banding structure.
Part 511, section 511.601: Applicability of regulations.
Classification appeals modified to the extent that white collar
positions established under the project plan, although specifically
excluded from title 5 CFR, are covered by the classification appeal
process outlined in this FRN section III.B.5, as amended below.
Part 511, section 511.603(a): Right to appeal. Waived to the extent
necessary to substitute pay band for grade.
Part 511, section 511.607(b): Non-Appealable Issues. Add to the
list of issues that are neither appealable nor reviewable, the
assignment of series under the project plan to appropriate occupational
families and the demonstration project classification criteria.
Part 530, subpart C: Special Rate Schedules for Recruitment and
Retention. Waived in its entirety to allow for staffing supplements.
Part 531, subparts B: Determining Rate of Basic Pay. Waived to the
extent necessary to allow for pay setting and CCAS under the provisions
of the demonstration project.
Part 531, subparts D and E: Within-Grade Increases and Quality Step
Increases. Waived in its entirety.
Part 531, subpart F: Locality-Based Comparability Payments. Waived
to the extent necessary to allow: (1) Demonstration project employees,
except employees in Pay Band V of the E&S occupational family, to be
treated as GS employees; and (2) base rates of pay under the
demonstration project to be treated as scheduled annual rates of pay.
Part 536: Grade and Pay Retention: These sections waived to the
extent necessary to: (1) Replace grade with ``pay band;'' (2) allow
Demonstration project employees to be treated as GS employees; and (3)
to allow provisions of this Federal Register notice pertaining to pay
band and pay retention.
Part 550, sections 550.105 and 550.106: Bi-weekly and annual
maximum earnings limitations. Waived to the extent necessary to provide
that the GS-15 maximum special rate (if any) for the special rate
category to which a project employee belongs is deemed to be the
applicable special rate in applying the pay cap provisions in 5 U.S.C.
5547.
Part 550, section 550.703: Definitions. Waived to the extent
necessary to modify the definition of ``reasonable offer'' by replacing
``two grade or pay levels'' with ``one band level'' and ``grade or pay
level'' with ``band level.''
Part 550, section 550.902: Definitions. Waived to the extent
necessary to allow demonstration project employees to be treated as GS
employees.
Part 575, subparts A, B, and C: Recruitment, Relocation, and
Retention Incentives. Waived to the extent necessary to allow: (1)
Employees and positions under the demonstration project covered by pay
banding to be treated as employees and positions under the GS; (2)
Occupational Family relocation incentives to new SCEP students; and (3)
relocation incentives to SCEP students whose worksite is in a different
geographic location than that of the college enrolled.
Part 575, subpart D: Supervisory Differentials. Subpart D is waived
in its entirety.
Part 591, subpart B: Cost-of-Living Allowance and Post
Differential--Non-foreign Areas. Waived to the extent necessary to
allow: (1) Demonstration project employees to be treated as employees
under the GS.
Part 752, sections 752.101, 752.201, 752.301 and 752.401: Principal
statutory requirements and Coverage. Waived to the extent necessary to
allow for up to a three-year probationary period and to permit
termination during the extended probationary period without using
adverse action procedures for those employees serving a probationary
period under an initial appointment except for those with veterans'
preference.
Part 752, section 752.401: Coverage. Waived to the extent necessary
to replace grade with pay band and to provide that a reduction in pay
band level is not an adverse action if it results from the employee's
rate of base pay being exceeded by the minimum rate of base pay for
his/her pay band.
Part 752, section 752.401(a)(4): Coverage. Waived to the extent
necessary to provide that adverse action provisions do not apply to:
(1) Conversions from GS special rates or NSPS Targeted Local Market
Supplements to demonstration project pay, as long as total pay is not
reduced; and (2) reductions in pay due to the removal of a supervisory
or team leader pay adjustment upon voluntary movement to a non-
supervisory or non-team leader position or decreases in the amount of a
supervisory or team leader pay adjustment based on the annual review.
Appendix A: TARDEC Employees by Duty Location
[[Page 12537]]
[Total excludes SES, ST, and Wage Grade]
------------------------------------------------------------------------
Duty location Employees Servicing personnel office
------------------------------------------------------------------------
TARDEC Warren, MI............. 1093 NE Region.
Matrixed to PEO's............. 312 NE Region.
York, PA...................... 1 NE Region.
New Cumberland, PA............ 11 NE Region.
Selfridge AFB, MI............. 1 NE Region.
Ft. Hood, TX.................. 2 NE Region.
Ft. Bragg, NC................. 1 NE Region.
Ft. Lewis, WA................. 1 NE Region.
Ft. Hueneme, CA............... 2 NE Region.
Alexandria, VA................ 1 NE Region.
Ft. Benning, GA............... 1 NE Region.
McClean, VA................... 1 NE Region.
-----------------------------------------
Total All Employees....... 1427 ...........................
------------------------------------------------------------------------
Appendix B: Occupational Series by Occupational Family
Engineering & Science
0801 General Engineering and Architecture Series
0803 Safety Engineering Series
0806 Materials Engineering Series
0819 Environmental Engineering Series
0830 Mechanical Engineering Series
0850 Electrical Engineering Series
0854 Computer Engineering Series
0855 Electronics Engineering Series
0858 Bioengineering and Biomedical Engineering Series
0861 Aerospace Engineering Series
0893 Chemical Engineering Series
0896 Industrial Engineering Series
0899 General Engineering Student Trainee Series
1301 General Physical Science Series
1306 Health Physics Series
1310 Physics Series
1320 Chemistry Series
1321 Metallurgy Series
1399 Physical Science Student Trainee Series
1501 General Mathematics and Statistics Series
1515 Operations Research Series
1520 Mathematics Series
1550 Computer Science Series
1599 Mathematics and Statistics Student Trainee Series
Business/Technical
0018 Safety and Occupational Health Management Series
0301 Miscellaneous Administration and Program Series
0340 Management Series
0341 Administrative Officer Series
0342 Support Services Administration Series
0343 Management and Program Analysis Series
0346 Logistics Management Series
0501 Financial Administration and Program Series
0510 Accounting Series
0802 Engineering Technical Series
0856 Electronics Technical Series
0895 Industrial Engineering Technical Series
0905 General Attorney Series
0950 Paralegal Specialist Series
1000 Information and Arts Group Series
1035 Public Affairs Series
1071 Audiovisual Production Series
1083 Technical Writing and Editing Series
1084 Visual Information Series
1100 Business and Industry Series
1102 Contracting Series
1222 Patent Attorney Series
1311 Physical Science Technician Series
1410 Librarian Series
1412 Technical Information Services Series
1670 Equipment Services Series
1702 Education and Training Technician Series
1712 Training Instructor Series
1910 Quality Assurance Series
2032 Packaging Series
2210 Information Technology Management Series
General Support
0303 Miscellaneous Clerk and Assistant Series
0318 Secretary Series
0326 Office Automation Clerical and Assistance Series
0335 Computer Clerk and Assistant Series
0344 Management and Program Clerical and Assistance Series
Appendix C: Contribution-Based Compensation and Appraisal System (CCAS)
Factors
CAREER PATH 1: ENGINEERING AND SCIENCE PROFESSIONAL
FACTOR 1: PROBLEM SOLVING
FACTOR DESCRIPTION: This factor describes/captures personal and
organizational problem-solving results.
EXPECTED PERFORMANCE CRITERIA (Applicable to all contributions
at all levels): Work is timely, efficient, and of acceptable
quality. Completed work meets projects/programs objectives.
Flexibility, adaptability, and decisiveness are exercised
appropriately. Descriptors indicate the type of contribution
appropriate for the high end of each level. Descriptors are not to
be used individually to assess contributions, but rather are to be
taken as a group to derive a single evaluation of the factor.
------------------------------------------------------------------------
Level descriptors Discriminators
------------------------------------------------------------------------
Level I:
Performs activities on a Scope/Impact.
task; assists supervisor or other
appropriate personnel.
Resolves routine problems Complexity/
within established guidelines. Difficulty.
Independently performs Independence.
assigned tasks within area of
responsibility; refers situations to
supervisor or other appropriate
personnel when existing guidelines do
not apply.
Takes initiative in Creativity.
determining and implementing
appropriate procedures.
Level II:
Plans and conducts functional Scope/Impact.
technical activities for projects/
programs.
Identifies, analyzes, and Complexity/
resolves complex/difficult problems. Difficulty.
Independently identifies and Independence.
resolves conventional problems which
may require deviations from accepted
policies or instructions.
[[Page 12538]]
Adapts existing plans and Creativity.
techniques to accomplish complex
projects/programs. Recommends
improvements to the design or
operation of systems, equipment, or
processes.
Level III:
Independently defines, Scope/Impact.
directs, or leads highly challenging
projects/programs. Identifies and
resolves highly complex problems not
susceptible to treatment by accepted
methods.
Develops, integrates, and Complexity/
implements solutions to diverse, Difficulty.
highly complex problems across
multiple areas and disciplines.
Anticipates problems, Independence.
develops sound solutions and action
plans to ensure program/mission
accomplishment.
Develops plans and techniques Creativity.
to fit new situations to improve
overall program and policies.
Establishes precedents in application
of problem-solving techniques to
enhance existing processes.
Level IV:
Defines, establishes, and Scope/Impact.
directs organizational focus (on
challenging and highly complex
project/programs). Identifies and
resolves highly complex problems that
cross organizational boundaries and
promulgates solutions. Resolution of
problems requires mastery of the
field to develop new hypotheses or
fundamental new concepts.
Assesses and provides Complexity/
strategic direction for resolution of Difficulty.
mission critical problems, policies,
and procedures.
Works at senior level to Independence.
define, integrate, and implement
strategic direction for vital
programs with long-term impact on
large numbers of people. Initiates
actions to resolve major
organizational issues. Promulgates
innovative solutions and
methodologies.
Works with senior management Creativity.
to establish new fundamental concepts
and criteria and stimulate the
development of new policies,
methodologies, and techniques.
Converts strategic goals into
programs or policies.
------------------------------------------------------------------------
FACTOR 2: TEAMWORK/COOPERATION
FACTOR DESCRIPTION: This factor, applicable to all teams,
describes/captures individual and organizational teamwork and
cooperation.
EXPECTED PERFORMANCE CRITERIA (Applicable to all contributions
at all levels): Work is timely, efficient, and of acceptable
quality. Personal and organizational interactions exhibit and foster
cooperation and teamwork. Flexibility, adaptability, and
decisiveness are exercised appropriately.
Descriptors indicate the type of contribution appropriate for
the high end of each level. Descriptors are not to be used
individually to assess contributions, but rather are to be taken as
a group to derive a single evaluation of the factor.
------------------------------------------------------------------------
Level descriptors Discriminators
------------------------------------------------------------------------
Level I:
Works with Scope of Team Effort.
others to accomplish
routine tasks.
Contributes Contribution to Team.
ideas in own area of
expertise. Interacts
cooperatively with
others.
Regularly Effectiveness.
completes assignments in
support of team goals.
Level II:
Works with Scope of Team Effort.
others to accomplish
projects/programs.
Uses varied Contribution to Team.
approaches to resolve or
collaborate on projects/
programs issues.
Facilitates cooperative
interactions with others.
Guides/supports Effectiveness.
others in executing team
assignments. Proactively
functions as an integral
part of the team.
Level III:
Works with Scope of Team Effort.
others to accomplish
complex projects/
programs.
Applies Contribution to Team.
innovative approaches to
resolve unusual/
difficult issues
significantly impacting
important policies or
programs. Promotes and
maintains environment
for cooperation and
teamwork.
Leads and guides Effectiveness.
others in formulating
and executing team
plans. Expertise is
sought by peers.
Level IV:
Leads/guides/ Scope of Team Effort.
mentors workforce in
dealing with complex
problems.
Solves broad Contribution to Team.
organizational issues.
Implements strategic
plans within and across
organizational
components. Ensures a
cooperative teamwork
environment.
Leads/guides Effectiveness.
workforce in achieving
organizational goals.
Participates on high-
level teams. Is sought
out for consultation.
------------------------------------------------------------------------
FACTOR 3: CUSTOMER RELATIONS
FACTOR DESCRIPTION: This factor describes/captures the
effectiveness of personal and organizational interactions with
customers (anyone to whom services or products are provided), both
internal (within an assigned organization) and external (outside an
assigned organization).
EXPECTED PERFORMANCE CRITERIA (Applicable to all contributions
at all levels):
Work is timely, efficient, and of acceptable quality. Personal
and organizational interactions enhance customer relations and
actively promote rapport with customers. Flexibility, adaptability,
and decisiveness are exercised appropriately.
Descriptors indicate the type of contribution appropriate for
the high end of each level. Descriptors are not to be used
individually to assess contributions, but rather are to be taken as
a group to derive a single evaluation of the factor.
[[Page 12539]]
------------------------------------------------------------------------
Level descriptors Discriminators
------------------------------------------------------------------------
Level I:
Independently Breadth of Influence.
carries out routine
customer requests.
Participates as Customer Needs.
a team member to meet
customer needs.
Interacts with Customer Interaction Level.
customers on routine
issues with appropriate
guidance.
Level II:
Guides the Breadth of Influence.
technical/functional
efforts of individuals
or team members as they
interact with customers.
Initiates Customer Needs.
meetings and
interactions with
customers to understand
customer needs/
expectations.
Interacts Customer Interaction Level.
independently with
customers to communicate
information and
coordinate actions.
Level III:
Guides and Breadth of Influence.
integrates functional
efforts of individuals
or teams in support of
customer interaction.
Seeks innovative
approaches to satisfy
customers.
Establishes Customer Needs.
customer alliances,
anticipates and fulfills
customer needs, and
translates customer
needs to programs/
projects.
Interacts Customer Interaction Level.
independently and
proactively with
customers to identify
and define complex/
difficult problems and
to develop and implement
strategies or techniques
for resolving program/
project problems (e.g.,
determining priorities
and resolving conflict
among customers'
requirements).
Level IV:
Leads and Breadth of Influence.
manages the
organizational
interactions with
customers from a
strategic standpoint.
Works to assess Customer Needs.
and promulgate
political, fiscal, and
other factors affecting
customer and program/
project needs. Works
with customer at
management levels to
resolve problems
affecting programs/
projects (e.g., problems
that involve determining
priorities and resolving
conflicts among
customers' requirements).
Works at senior Customer Interaction Level.
level to stimulate
customer alliances for
program/project support.
Stimulates, organizes,
and leads overall
customer interactions.
------------------------------------------------------------------------
FACTOR 4: LEADERSHIP/SUPERVISION
FACTOR DESCRIPTION: This factor describes/captures individual
and organizational leadership and/or supervision. Recruits,
develops, motivates, and retains quality team members in accordance
with EEO/AA and Merit Principles. Takes timely/appropriate personnel
actions, communicates mission and organizational goals; by example,
creates a positive, safe, and challenging work environment;
distributes work and empowers team members.
EXPECTED PERFORMANCE CRITERIA (Applicable to all contributions
at all levels): Work is timely, efficient, and of acceptable
quality. Leadership and/or supervision effectively promotes
commitment to mission accomplishment. Flexibility, adaptability, and
decisiveness are exercised appropriately.
Descriptors indicate the type of contribution appropriate for
the high end of each level. Descriptors are not to be used
individually to assess contributions, but rather are to be taken as
a group to derive a single evaluation of the factor.
------------------------------------------------------------------------
Level descriptors Discriminators
------------------------------------------------------------------------
Level I:
Takes initiative Leadership Role.
in accomplishing
assigned tasks.
Provides inputs Breadth of Influence.
to others in own
technical/functional
area.
Seeks and takes Mentoring/Employee Development.
advantage of
developmental
opportunities.
Level II:
Actively Leadership Role.
contributes as a team
member/leader; provides
insight and recommends
changes or solutions to
problems.
Proactively Breadth of Influence.
guides, coordinates, and
consults with others to
accomplish projects.
Identifies and Mentoring/Employee Development.
pursues individual/team
development
opportunities.
Level III:
Provides Leadership Role.
guidance to individuals/
teams; resolves
conflicts. Considered a
functional/technical
expert by others in the
organization; is
regularly sought out by
others for advice and
assistance.
Defines, Breadth of Influence.
organizes, and assigns
activities to accomplish
projects/programs goals.
Guides, motivates, and
oversees the activities
of individuals and teams
with focus on projects/
programs issues.
Fosters Mentoring/Employee Development.
individual/team
development by
mentoring. Pursues or
creates training
development programs for
self and others.
Level IV:
Establishes and/ Leadership Role.
or leads teams to carry
out complex projects or
programs. Resolves
conflicts. Creates
climate where
empowerment and
creativity thrive.
Recognized as a
technical/functional
authority on specific
issues.
Leads, defines, Breadth of Influence.
manages, and integrates
efforts of several
groups or teams. Ensures
organizational mission
and program success.
Fosters the Mentoring/Employee Development.
development of other
team members by
providing guidance or
sharing expertise.
Directs assignments to
encourage employee
development and cross-
functional growth to
meet organizational
needs. Pursues personal
professional development.
------------------------------------------------------------------------
FACTOR 5: COMMUNICATION
FACTOR DESCRIPTION: This factor describes/captures the
effectiveness of oral/written communications.
EXPECTED PERFORMANCE CRITERIA (Applicable to all contributions
at all levels): Work is timely, efficient, and of acceptable
quality. Communications are clear, concise, and at appropriate
level. Flexibility, adaptability, and decisiveness are exercised
appropriately.
Descriptors indicate the type of contribution appropriate for
the high end of each level. Descriptors are not to be used
[[Page 12540]]
individually to assess contributions, but rather are to be taken as
a group to derive a single evaluation of the factor.
------------------------------------------------------------------------
Level descriptors Discriminators
------------------------------------------------------------------------
Level I:
Communicates Level of Interaction (Audience).
routine task status/
results as required.
Provides timely Written.
data and written
analyses for input to
management/technical
reports or contractual
documents.
Explains status/ Oral.
results of assigned
tasks.
Level II:
Communicates Level of Interaction (Audience).
team or group tasking
results, internally and
externally, at peer
levels.
Writes, or is a Written.
major contributor to,
management/technical
reports or contractual
documents.
Presents Oral.
informational briefings.
Level III:
Communicates Level of Interaction (Audience).
project or program
results to all levels,
internally and
externally.
Reviews and Written.
approves, or is a major
contributor to/lead
author of, management
reports or contractual
documents for external
distribution. Provides
inputs to policies.
Presents Oral.
briefings to obtain
consensus/approval.
Level IV:
Determines and Level of Interaction (Audience).
communicates
organizational positions
on major projects or
policies to senior level.
Prepares, Written.
reviews, and approves
major reports or
policies of organization
for internal and
external distribution.
Resolves diverse
viewpoints/controversial
issues.
Presents Oral.
organizational briefings
to convey strategic
vision or organizational
policies.
------------------------------------------------------------------------
FACTOR 6: RESOURCE MANAGEMENT
FACTOR DESCRIPTION: This factor describes/captures personal and
organizational utilization of resources to accomplish the mission.
(Resources include, but are not limited to, personal time, equipment
and facilities, human resources, and funds.)
EXPECTED PERFORMANCE CRITERIA (Applicable to all contributions
at all levels): Work is timely, efficient, and of acceptable
quality. Resources are utilized effectively to accomplish mission.
Flexibility, adaptability, and decisiveness are exercised
appropriately.
Descriptors indicate the type of contribution appropriate for
the high end of each level. Descriptors are not to be used
individually to assess contributions, but rather are to be taken as
a group to derive a single evaluation of the factor.
------------------------------------------------------------------------
Level descriptors Discriminators
------------------------------------------------------------------------
Level I:
Uses assigned Scope of Responsibility.
resources needed to
accomplish tasks.
Plans individual Planning/Budgeting.
time and assigned
resources to accomplish
tasks.
Effectively Execution/Efficiency.
accomplishes assigned
tasks.
Level II:
Plans and Scope of Responsibility
utilizes appropriate
resources to accomplish
project goals.
Optimizes Planning/Budgeting.
resources to accomplish
projects/programs within
established schedules.
Effectively Execution/Efficiency.
accomplishes projects/
programs goals within
established resource
guidelines.
Level III:
Plans and Scope of Responsibility.
allocates resources to
accomplish multiple
projects/programs.
Identifies and Planning/Budgeting.
optimizes resources to
accomplish multiple
projects/programs goals.
Effectively Execution/Efficiency.
accomplishes multiple
projects/programs goals
within established
guidelines.
Level IV:
Develops, Scope of Responsibility.
acquires, and allocates
resources to accomplish
mission goals and
strategic objectives.
Formulates Planning/Budgeting.
organizational
strategies, tactics, and
budget/action plan to
acquire and allocate
resources.
Optimizes, Execution/Efficiency.
controls, and manages
all resources across
projects/programs.
Develops and integrates
innovative approaches to
attain goals and
minimize expenditures.
------------------------------------------------------------------------
CAREER PATH 2: BUSINESS AND TECHNICAL SUPPORT
FACTOR 1: PROBLEM SOLVING
FACTOR DESCRIPTION: This factor describes/captures personal and
organizational problem-solving.
EXPECTED PERFORMANCE CRITERIA (Applicable to all contributions
at all levels): Work is timely, efficient, and of acceptable
quality. Completed work meets project/program objectives.
Flexibility, adaptability, and decisiveness are exercised
appropriately.
Descriptors indicate the type of contribution appropriate for
the high end of each level. Descriptors are not to be used
individually to assess contributions, but rather are to be taken as
a group to derive a single evaluation of the factor.
------------------------------------------------------------------------
Level descriptors Discriminators
------------------------------------------------------------------------
Level I:
Conducts Scope/Impact.
activities on a task;
assists supervisors or
other appropriate
personnel.
Resolves routine Complexity/Difficulty.
problems within
established guidelines.
Works with Independence.
others in solving
problems with
appropriate guidance.
Takes initiative Creativity.
in selecting and
implementing appropriate
procedures.
Level II:
Plans and Scope/Impact.
conducts technical
activities for projects.
Identifies and Complexity/Difficulty.
resolves non-routine
technical problems
utilizing established
patterns and methods.
[[Page 12541]]
Identifies and Independence.
resolves problems;
adapts accepted
policies, procedures, or
methods with moderate
guidance.
Adapts existing Creativity.
plans and techniques to
accomplish projects.
Level III:
Plans and Scope/Impact.
conducts challenging and
difficult technical
activities for projects/
programs.
Develops, Complexity/Difficulty.
integrates, and
implements solutions to
complex problems on
projects/programs.
Identifies Independence.
problems; develops
solutions and action
plans with minimal
guidance.
Develops plans Creativity.
and techniques to fit
new situations.
Level IV:
Identifies and Scope/Impact.
resolves complex
problems that may cross
functional/technical
boundaries and
promulgates solutions.
Develops, Complexity/Difficulty.
integrates/implements
solutions to diverse,
complex problems which
may cross multiple
projects/programs or
functional/technical
areas.
Independently Independence.
resolves and coordinates
technical problems
involving multiple
projects/programs.
Develops plans Creativity.
and techniques to fit
new situations and/or to
address issues that
cross technical/
functional areas.
------------------------------------------------------------------------
FACTOR 2: TEAMWORK/COOPERATION
FACTOR DESCRIPTION: This factor describes/captures individual
and organizational teamwork and cooperation.
EXPECTED PERFORMANCE CRITERIA (Applicable to all contributions
at all levels): Work is timely, efficient, and of acceptable
quality. Personal and organizational interactions exhibit and foster
cooperation and teamwork. Flexibility, adaptability, and
decisiveness are exercised appropriately.
Descriptors indicate the type of contribution appropriate for
the high end of each level. Descriptors are not to be used
individually to assess contributions, but rather are to be taken as
a group to derive a single evaluation of the factor.
------------------------------------------------------------------------
Level descriptors Discriminators
------------------------------------------------------------------------
Level I:
Works with Scope of Team Effort.
others to accomplish
routine tasks.
Contributes Contribution to Team.
ideas in own area of
expertise. Interacts
cooperatively with
others.
Regularly Effectiveness.
completes assignments in
support of team goals.
Level II:
Works with Scope of Team Effort.
others in accomplishing
projects.
Contributes Contribution to Team.
ideas in own area of
expertise. Facilitates
cooperative interactions
with others.
Supports others Effectiveness.
in executing team
assignments. Proactively
functions as an integral
part of the team.
Level III:
Works with Scope of Team Effort.
others to accomplish
complex projects/
programs.
Guides others to Contribution to Team.
resolve or collaborate
on complex projects/
programs issues.
Promotes cooperative
interactions with others.
Integrates Effectiveness.
technical expertise and
guides activities to
support team
accomplishment.
Level IV:
Leads others to Scope of Team Effort
accomplish complex
projects and programs.
Applies Contribution to Team.
innovative approaches to
resolve unusual/
difficult technical/
management issues.
Promotes and maintains
environment for
cooperation and teamwork.
Leads and guides Effectiveness.
others in formulating
and executing team
plans. Expertise is
sought by others.
------------------------------------------------------------------------
FACTOR 3: CUSTOMER RELATIONS
FACTOR DESCRIPTION: This factor describes/captures the
effectiveness of personal and organizational interactions with
customers (anyone to whom services or products are provided), both
internal (within an assigned organization) and external (outside an
assigned organization).
EXPECTED PERFORMANCE CRITERIA (Applicable to all contributions
at all levels): Work is timely, efficient, and of acceptable
quality. Personal and organizational interactions enhance customer
relations and actively promote rapport with customers. Flexibility,
adaptability, and decisiveness are exercised appropriately.
Descriptors indicate the type of contribution appropriate for
the high end of each level. Descriptors are not to be used
individually to assess contributions, but rather are to be taken as
a group to derive a single evaluation of the factor.
------------------------------------------------------------------------
Level descriptors Discriminators
------------------------------------------------------------------------
Level I:
Assists customer Breadth of Influence.
support activities.
Participates as Customer Needs.
a team member to meet
customer needs.
Interacts with Customer Interaction Level.
customers on routine
issues with appropriate
guidance.
Level II:
Actively Breadth of Influence.
participates with others
to satisfy customer
requests.
Interacts with Customer Needs.
customers to respond to
customer needs/
expectations.
Interacts with Customer Interaction Level.
customers to communicate
information and
coordinate action.
Level III:
Guides the Breadth of Influence.
technical efforts of
individuals or teams as
they relate with
customers. Deviates from
standard approaches when
necessary.
Initiates Customer Needs.
meetings and
interactions with
customers to understand
customer needs/
expectations.
Interacts Customer Interaction Level.
independently and
proactively with
customers to identify/
define problems and to
implement solutions.
[[Page 12542]]
Level IV:
Leads and Breadth of Influence.
coordinates technical
efforts of individuals
or teams in support of
customer interactions.
Develops innovative
approaches to satisfy
customers.
Establishes Customer Needs.
customer alliances;
anticipates and fulfills
customer needs and
translates customer
needs to projects/
programs. Organizes and
leads customer
interactions.
Interacts Customer Interaction Level.
proactively with
customers to identify
and define complex/
controversial problems
and to develop and
implement strategies or
techniques for resolving
projects/programs issues.
------------------------------------------------------------------------
FACTOR 4: LEADERSHIP/SUPERVISION
FACTOR DESCRIPTION: This factor describes/captures individual
and organizational leadership and/or supervision. Recruits,
develops, motivates, and retains quality team members in accordance
with EEO/AA and Merit Principles. Takes timely/appropriate personnel
actions, communicates mission and organizational goals; by example,
creates a positive, safe, and challenging work environment;
distributes work and empowers team members.
EXPECTED PERFORMANCE CRITERIA (Applicable to all contributions
at all levels): Work is timely, efficient, and of acceptable
quality. Leadership and/or supervision effectively promotes
commitment to mission accomplishment. Flexibility, adaptability, and
decisiveness are exercised appropriately.
Descriptors indicate the type of contribution appropriate for
the high end of each level. Descriptors are not to be used
individually to assess contributions, but rather are to be taken as
a group to derive a single evaluation of the factor.
------------------------------------------------------------------------
Level descriptors Discriminators
------------------------------------------------------------------------
Level I:
Takes initiative Leadership Role.
in accomplishing
assigned tasks. Asks for
assistance as
appropriate.
Provides input Breadth of Influence.
to others in technical/
functional area.
Seeks and takes Mentoring and Employee
advantage of Development.
developmental
opportunities.
Level II:
Actively Leadership Role.
contributes as team
member; takes initiative
to accomplish assigned
projects.
Consults and Breadth of Influence.
coordinates with others
to complete projects
within established
guidelines.
Identifies and Mentoring and Employee
pursues individual/team Development.
developmental
opportunities.
Level III:
Actively Leadership Role.
contributes as team
member or leader.
Recognized for
functional/technical
expertise.
Defines, Breadth of Influence.
organizes, and assigns
activities to accomplish
goals. Guides, motivates
and oversees others in
accomplishing projects/
programs.
Promotes Mentoring and Employee
developmental Development.
opportunities for self
and team. Advises others
to seek specific
training.
Level IV:
Provides