[Federal Register Volume 76, Number 13 (Thursday, January 20, 2011)]
[Notices]
[Pages 3744-3787]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2011-976]
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Part III
Department of Defense
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Science and Technology Reinvention Laboratory Personnel Management
Demonstration Project, Department of the Army, Army Research,
Development and Engineering Command, Armament Research, Development and
Engineering Center (ARDEC); Notice
Federal Register / Vol. 76 , No. 13 / Thursday, January 20, 2011 /
Notices
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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, Armament Research,
Development and Engineering Center (ARDEC)
AGENCY: Office of the Deputy Under Secretary of Defense (Civilian
Personnel Policy), DoD.
ACTION: Notice.
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SUMMARY: Section 342(b) of the National Defense Authorization Act
(NDAA) for Fiscal Year (FY) 1995, Public Law 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) 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 ARDEC 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, 2011.
FOR FURTHER INFORMATION CONTACT: ARDEC: Ms. Christina Duncan, U.S. Army
ARDEC, Human Capital Management Office, Building 1, 3rd Floor, RDAR-
EIH, Picatinny Arsenal NJ 07806-5000.
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) Modified probationary period for newly hired employees;
(3) Modified supervisory and managerial probationary period;
(4) Pay banding;
(5) Streamlined delegated examining;
(6) Modified reduction-in-force (RIF) procedures;
(7) Simplified job classification;
(8) A contribution-based appraisal system;
(9) Academic degree and certificate training;
(10) Sabbaticals;
(11) A Volunteer Emeritus Corps;
(12) Direct hire authority for candidates with advanced degrees for
scientific and engineering positions; and
(13) 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 ARDEC
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 ARDEC 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 (Lab Demo)
before the end of April 2011.
The proposed STRL Demonstration Project Plan for ARDEC was
published on September 9, 2010 in 75 Federal Register (FR) 55200 that
was subsequently corrected by 75 FR 60091 published on September 29,
2010. During the public comment period ending October 9, 2010, DoD
received 40 comments. All comments were carefully considered. Some
comments addressed topics that were outside the project's scope or the
demonstration authority of 5 U.S.C. 4703. These comments are not
included in the summary below.
The following summary addresses the pertinent comments received,
provides responses, and notes resultant changes to the original project
plan in the first Federal Register notice.
A. General
Seven general comments were received; responses are provided below.
(1) Comment: Employees should be returned to the GS system because
it is viewed that the NSPS performance system lost the classification
restrictions and allowed for growth in salaries beyond the GS
classification guides. Also, the merit compensation system allowed for
compensation growth not based on merit. It would be most beneficial to
only have one performance system, that being the GS system.
Response: Public Law 111-84, section 1105, prevents ARDEC from
returning to the GS system and requires ARDEC to develop a Lab Demo.
The ARDEC Lab Demo has been designed to capture the positive features
of various personnel management systems/projects in use today.
Specifically, in reference to this comment, the ARDEC Lab Demo design
is founded on the principle that standard classification criteria are
the basis for both performance assessment and pay setting. In reference
to the comment that it would be beneficial to have only one performance
system, the ARDEC Lab Demo performance management system is designed to
be the performance management system for the ARDEC workforce. No change
to the Lab Demo plan is required.
(2) Comment: The unions have already rejected participation in this
Lab Demo, as they have rejected participation in the previous two
attempts to revise the General Schedule system. All implications that
this Lab Demo is a full workforce management process need to be
stricken from the descriptions and pay bands. This
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proposal is only for the management officials at ARDEC, and should be
described as such, particularly when addressing the expected benefits
on page 55202.
Response: The public law directed ARDEC to develop a personnel
system that could cover the majority of the workforce, not just
management officials. The Lab Demo plan was designed to cover both
bargaining and non-bargaining unit eligible employees. The intent is
for ARDEC to continue to pursue Union acceptance. Upon initial
conversion, there will be both non-management and management employees
within the ARDEC in Lab Demo positions spanning the full spectrum of
the pay bands and associated occupational families. No change to the
Lab Demo plan is required.
(3) Comment: Return to the Acquisition Demonstration project
without any modifications.
Response: Public Law 111-84, section 1105, prevents ARDEC from
returning to the Acquisition Demonstration Project and requires ARDEC
to convert eligible employees to a personnel system under an
appropriate demonstration project as referred to in section 342(b) of
Public Law 103-337, October 5, 1994. No change to the Lab Demo plan is
necessary.
(4) Comment: If as stated, ``The primary benefit expected from this
demonstration project is greater organizational effectiveness through
increased employee satisfaction.'' Why was employee opinion on this
modification not considered?
Response: As an integral part of the process used to develop the
ARDEC Lab Demo Project, a number of employee outreach venues were used,
including Town Halls, ARDEC Web-Site, Focus Groups, Union Meetings and
ARDEC Lab Demo mail box to solicit employee ideas and recommendations
for improvement. As a result of these outreach initiatives significant
changes were incorporated into the Lab Demo project plan. No change to
the initial Lab Demo Federal Register notice is needed.
(5) Comment: The fact that the unions non-concur suggests that
employees will not be satisfied with the proposed system.
Response: The ARDEC Lab Demo project has been designed to capture
the positive features of the personnel management systems/projects in
use today with a key objective being employee acceptance and
satisfaction. By incorporating employee suggestions into the design and
with continuing employee feedback as the design matures, the full
expectation is that employees will be satisfied. No change to the
initial Federal Register notice is required.
(6) Comment: I believe that this system is inherently unfair and
not in line with standard US Government personnel practices. This
system suggests ``pay for contribution.'' Contribution level is
inherently tied to job assignment. A supervisor, upper management, or
fiscal events could dictate responsibility reduction, at no fault of an
employee, which would eventually result in a lower contribution rating
and reduced salary. A salary reduction without merit is not fair and
will definitely not result in ``increased employee satisfaction.''
Response: The ARDEC Lab Demo project uses a contribution-based
compensation system in that both employees' contributions assessments
and subsequent base pay are determined by reference to the
classification system criteria. In as much as the pay setting and
contribution evaluation are one in the same, employees' pay would be
comparable to the level of work and contribution results. Position
classification defines job responsibilities and, therefore, base pay
level. It is expected that all employees will perform, at a minimum, to
their position responsibilities. Supervisors assign objectives and work
assignments commensurate with position responsibilities. No change to
the Federal Register notice is required.
(7) Comment: This system does not capture nor reward the experience
and expertise brought to an organization by seasoned professionals. A
5-year employee who mentors five 1-year employees could be considered
to contribute more than a 30-year employee who mentors three 5-year
employees. In measuring and rewarding current ``contribution'' it
negates and fails to reward experience and wisdom.
Response: The ARDEC Lab Demo project uses a contribution-based
compensation system. In as much as the pay setting and contribution
evaluation are one in the same employees base pay would be comparable
for the work they perform and the value of their contributions. The
system is not designed to reward employees for experience and wisdom
alone but rather how they apply wisdom and experience to their job. In
addition, as in other personnel systems, employee compensation is not
based on amount of workload but rather the level of work accomplished
successfully. No change to the Federal Register notice is required.
B. Participating Employees
Two similar comments regarding participating employees were
received and the response is provided below.
(1) Comment (two similar comments combined): ARDEC should have the
right to exclude When Actually Employed (WAE), Summer Hires (i.e.,
STEPs) and Co-ops (i.e., SCEPs) from Lab Demo coverage at least until
the bargaining unit employees are included. ARDEC needs to be able to
use discretion on that point.
Response: Public Law 111-84, section 1105(b) indicates that the
personnel of each STRL designated in section 1105(a), which includes
ARDEC, are to convert to an appropriate demonstration project as
referred to in Public Law 103-337, section 342(b). These conversions
must be consistent with title 5 U.S.C. 4703(f) and be completed before
April 28, 2011. The conversion provisions do not apply to prevailing
rate employees or senior executives. Thus, the categories of employees
mentioned in the comment are covered by the conversion requirements of
Public Law 111-84, section 1105(b).
C. Pay Administration
Eight comments regarding Pay Administration were received and the
responses are provided below.
(1) Comment: Reassignments to positions of similar responsibility
should not result in an increase to base pay.
Response: The ARDEC Lab Demo does not provide for pay increases for
reassignments to positions with similar responsibilities. However, pay
increases can be granted when 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 PMB. No change to the Federal Register notice is
required.
(2) Comment: The Federal Register does not state anything about
overtime. The only good thing about NSPS, you actually got time and a
half for anything over 8 hours.
Response: The NSPS overtime feature had been considered for
implementation in our initial Federal Register notice but was
determined to be inconsistent with existing public law that established
Lab Demo projects and therefore not included. The ARDEC Lab Demo will
be using the existing GS rules for overtime. No change to the Lab Demo
plan is needed.
(3) Comment: It is not clear if the contribution bonus is
continuous bonus or a onetime bonus.
Response: The Contribution Bonus is a onetime payment to be paid
out on a
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yearly basis corresponding to the annual rating cycle. Language has
been changed in the Lab Demo plan paragraph III.C.5.c(2), from `` * * *
is a lump sum payment * * * '' to `` * * * is a onetime lump sum
payment * * *.''
(4) Comment: It is not clear how and when the General Pay Increase
(GPI) will be decreased for employees that fall above the Normal Pay
Range or above the upper rail.
Response: Employees who fall above the Normal Pay Range or above
the upper rail may have their GPI partially reduced or denied. The
specific rules covering when and how much the GPI is reduced is a
responsibility of the PMB. These rules will define under what
circumstances the GPI will be denied or, if reduced, the amount of
reduction. To address this concern, the Federal Register notice will be
changed to reflect that the PMB will be responsible for establishing
the rules for instances where implementation and operating procedures
are required such as withholding GPI for employees that fall above the
Normal Pay Range (NPR). The Lab Demo plan paragraph II.G.2 is changed
from ``At a minimum, duties executed by the board will be to:'' to
``The PMB is responsible for establishing the implementation and
operating rules as required. At a minimum, duties executed by the board
will be to:''. Also, a new paragraph II.G.2.s has been added stating,
``Establish rules and procedures for denying or reducing GPI for
employees whose contributions are in region A (above the NPR).''
(5) Comment: Will employees that fall above the rail receive the
full locality pay increase regardless of GPI reduction?
Response: Yes, employees will receive locality pay regardless of a
reduction in GPI. Locality pay is separate from the Contribution-Based
Compensation System. No change to the Federal Register notice is
required.
(6) Comment: Traditionally employee recognition is not sufficient
compared to private industry. Recommend raising the invention
disclosures and patent award amounts to a larger limit more comparable
to private industry.
Response: Appreciate your comment, however after further review,
employee recognition for invention disclosures and patents is not a
Federal Register notice issue. These awards are controlled at the
component level (Army) and will be further investigated through other
channels. No change to the Federal Register notice is required.
(1) Comment: The Federal Register does not seem to adequately
address pay setting for employees on temporary assignments at the time
of transition.
Response: It is a requirement for conversion from the National
Security Personnel System and the intent of the Lab Demo project to
ensure an employee does not have any loss in pay on conversion to the
project regardless if the employee is on a permanent or a temporary
assignment prior to conversion. Employees on a temporary assignment
will convert back to their permanent position of record and then
convert to a new temporary assignment within the demonstration project.
In these cases, section 1113(c)(1) would also apply to the temporary
position, i.e., there will be no loss or decrease in pay as a result of
the conversion of positions and employees from NSPS. This is already
covered in paragraph V.B.2 of the Federal Register notice and no change
is required.
(2) Comment: For paragraph III.F.1, change ``Employees whose
performance is acceptable and not on pay retention will receive the
full annual general pay increase and the full locality pay.'' to,
``Employees whose performance is acceptable and not on pay retention
will receive the full annual general pay increase and the full locality
pay, with the exception of those employees covered under paragraph
III.C.5.c.(3).''
Response: Employees whose Assessed Overall Contribution Score falls
in the ``above the rail'' region may not be officially identified as
``unacceptable;'' however, their GPI is subject to being withheld or
reduced. Therefore, for clarity and completeness the Federal Register
paragraph III.F.1 has been changed as follows: change ``Employees whose
performance is acceptable and not on pay retention will receive the
full annual general pay increase and the full locality pay'' to,
``Employees whose performance is acceptable and not on pay retention
will receive the full annual general pay increase and the full locality
pay, with the exception of those employees' whose rating is as
described in paragraph III.C.5.c.(3).''
D. Base Pay
One comment regarding base pay was received and the response is
provided below.
(1) Comment: For persons capped at the top rate under current NSPS
equivalent to GS-15, Step 10, + 5% or $165,300:
Since the executive level cap does not rise by the cost of living
and the Locality Market supplement percentage is set, then the base pay
does not go up as much as it normally would. It seems unreasonable and
unfair, that the distribution of pay between the local market
supplement and base pay which comprises the full salary should be at
the expense of base pay. While the pay is capped, the base pay should
rise relative to the Local Market Supplement. If one were to transfer
to a lower cost of living area where the local market supplement was
less, then one would end up with reduced pay even after they have not
received full or any pay raises for prior years due to the executive
level cap. It is unclear if the same situation exists under the new
demo project but this issue should be fixed.
Response: The situation as described in the comment above will not
occur in the ARDEC Lab Demo project. In the Lab Demo project an
employee's base pay may rise to the annual GS-15, Step 10, base pay
cap. Locality pay adjustments are added to this base pay and are
subject to the overall total Executive Level IV salary cap. The ARDEC
Lab Demo project uses base pay for contribution calculations/payouts
adjustments. All salary adjustments at the end of a rating cycle are
applied to base pay and limited to the base pay salary caps for each of
the pay bands. Locality pay and other salary adjustments are added as
appropriate and are also subject to overall pay cap limitations, more
specifically Executive Level IV. This comment does not require any
change to the Federal Register notice.
E. Conversion
Five comments regarding conversion were received and the responses
are provided below.
(1) Comment (two similar comments combined): Clarify what is the
deciding factor for putting a YF-2 supervisor in Pay Band III or Pay
Band IV? Page 55203 (first Federal Register notice) shows that a first-
level supervisory position would be a pay band IV, however, Table 1--
Equivalent NSPS pay bands shows YF-2 (first-level supervisory position)
in both Pay Band III and Pay Band IV. I thought it was equal pay for
equal work?
Response: Employees will convert to the appropriate band based on
position classification. Table 1 identifies the possible bands to which
employees may convert. The verbiage on Page 55203 is solely intended to
provide examples of the types of positions that could be in each band
but they are not absolute. Case in point, an employee's position can be
a first-line supervisor position in pay bands II, III, IV, or V
depending on the position's responsibilities and type and complexity of
work supervised. The Federal Register notice has been changed to better
reflect the potential position matching upon conversion. Paragraph
III.A.1 has been changed by
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adding the following at the end of the paragraph: ``The following
descriptions of positions for the bands in the occupational families
illustrate examples of the types of positions included.'' In addition,
to ensure pay equity, it is the intent to set the base pay for an
employee at the minimum base pay of the pay band to which the
employee's position is classified. For clarification the Federal
Register notice has been changed as follows: In section V.B.2, the
following has been added to the end of the first paragraph, ``If the
employee's base pay is less than the minimum rate for his/her
position's assigned demonstration project pay band, the base pay rate
will be increased to the minimum of that pay band.''
(2) Comment: Conversion from NSPS is not redressing the problems
created by the GS-Demo-NSPS-Demo sequence at ARDEC over the last 5-10
years. The Acquisition Demo created GS-14/15 bands, where once
selected, an employee could move up, without competition, through the
entire pay scale of the band. In NSPS, ARDEC ``gated'' some of these
employees, such that their max pay would be capped at essentially a GS-
14, Step 10, level. In other words, the full range of opportunity was
taken away from some people. It would seem reasonable that under this
Lab Demo proposal, any employee who was competitively selected for a
GS-14/15 band in the past, be converted to a Pay Band V under this Lab
Demo.
Response: Employees will convert to the appropriate band based on
classification for the position they occupy at the time of conversion.
Table 1 (Pay Band Charts) identifies the possible bands to which
employees may convert. Any employee that has a base pay that exceeds
the band will be place on indefinite pay retention until such time as
their pay falls within the Normal Pay Range. No change to the Federal
Register notice is required.
(3) Comment: Paragraph V.B.4, Transition Equity. Recommend this
paragraph also apply to GS employees under paragraph V.A.
Response: It has been determined that adding the provision of
Transition Equity in the NSPS conversion section to the GS conversion
section of the Federal Register notice is appropriate. The notice has
been changed by adding the following paragraphs to the end of section
V.A. as a new paragraph 6:
``6. 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 the
opportunity for promotion, 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 the ARDEC Director
and is not subject to employee appeal procedures.
During the first 12 months following conversion, management may
approve an adjustment of not more than 20 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 compensation inequities that may be
caused by artifacts of the process of conversion into STRL pay bands.''
(4) Comment: Recommend deleting the last part of the paragraph
V.A.5.a. and V.B.7.a, ``and may have their initial period extended in
accordance with the demonstration project regulation and implementing
issuances.'' This is a change in contract with a person as that person
was promoted with the understanding of only having a one-year
probationary period and this is not considered reasonable.
Response: It has been determined that to change an employee's
original probationary period contract, as defined when hired, during
conversion to the ARDEC Lab Demo would be an unreasonable change to the
employee's employment contract. The Federal Register notice paragraphs
V.A.5.a. and V.B.7.a, have been changed by deleting the last part of
the paragraph, ``and may have their initial period extended in
accordance with the demonstration project regulation and implementing
issuances.''
F. Contributing Factors
Two similar comments regarding Contributing Factors were received;
and the response is provided below.
(1) Comments (two similar comments received): The Contribution-
Based Compensation System (CBCS) is based on 6 factors, which duplicate
to a great degree the GS Position Classification system, and introduce
duplication and unnecessary administrative costs. In one case, Factor 6
on Resource Management actually proposes to add more words, and more
confusion, to the legal definition of appropriation laws (page 55205).
Response: The factors, descriptors, and discriminators are intended
to be used as guides for determining the level of contribution for each
employee across all bands and occupational families. They are not
intended to, nor does the Federal Register notice prescribe, changes to
the legal definition of the appropriation laws. However, additional
clarity has been achieved by revising some of the Descriptors and
Discriminators in Appendix C of the Federal Register notice.
G. Pay Pool Funding
One comment regarding Pay Pool Funding was received. The response
is provided below.
(1) Comment: The 2 percent base pay and 1 percent bonus funding
levels appear to be too low for proper recognition of the workforce.
Response: The Federal Register notice identifies these pay pool
funding levels as minimums and permits the ARDEC Director to increase
these funding levels as needed. These minimums are base pay pool
funding levels, not the limit to the total compensation adjustments for
an individual employee. The system does not preclude other recognition/
awards to employees that are not part of the CBCS compensation. No
change to the Federal Register notice is required.
H. Pay Bands
Three comments regarding Pay Bands were received; and the responses
are provided below.
(1) Comment: (Two similar comments received.) Gating within bands,
similar to what was done under the NSPS system is highly undesirable.
The system that is put in place should prevent ARDEC managers from
setting arbitrary limits on the pay bands and limiting the flexibility.
Response: The ARDEC Lab Demo project has reduced the need for
gating (control points) within a band by placing salary limits on bands
that are commensurate with the level and difficulty of work assignments
across the occupational families for the given bands. The notice does
have provisions to use control points should the need arise in the
future based on experience in operating the system to ensure employees
are appropriately paid for the work they perform. No change to the
Federal Register notice is required.
(2) Comment: The equivalent NSPS Pay Band by Occupational Family
Table appears to be missing the YH category personnel and there are at
least two at Picatinny, ARDEC. Where do they fit in?
Response: There was an oversight in the initial Federal Register
notice. A revision to this table was made by
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adding the NSPS YH category into Table 1 (Equivalent NSPS Pay Bands).
Additionally, the General Health Science Series (0601) was moved from
the Business and Technical to the Engineering and Science Occupational
Family in Appendix B of the Federal Register notice to accommodate
employees in the YH category.
I. Personnel Management Board
One comment regarding the Personnel Management Board was received.
The response is provided below.
(1) Comment: It appears that the PMB is assuming responsibilities
that should reside with Line Management. The responsibility of each
should be clearly delineated. Suggest deleting the following paragraphs
as these are more management functions to be performed by the line
managers than the PMB.
II.G.2.m. ensure in-house budget discipline
II.G.2.n. manage the number of employees by Occupational Family and
pay band.
Response: After further review the following management functions
were determined to be not required for the PMB as they are line
management responsibilities as such. The following paragraphs were
deleted:
II.G.2.m. ensure in-house budget discipline.
II.G.2.n. manage the number of employees by Occupational Family and
pay band.
J. Employee Developmental Programs
One comment regarding Employee Developmental Programs was received;
and the response is provided below.
(1) Comment: It is suggested that the language in paragraph
II.G.2.o.--``Developmental Opportunity Programs'' be changed to
``Employee Developmental Programs'' to be consistent with language of
paragraph III.G.
Response: There is an inconsistent use of terminology in the
Initial Federal Register notice. Developmental Opportunity Programs
should be changed to Employee Developmental Programs for consistency.
The Federal Register notice has been changed as follows: paragraph
II.G.2.o.--Changed from ``Developmental Opportunity Programs'' to
``Employee Developmental Programs''.
K. Annual Appraisal Cycle
Two comments regarding Annual Appraisal Cycle were received; and
the responses provided below.
(1) Comment: The Contribution-Based Compensation System requires a
mid-point review be conducted for all employees. For employees entering
the Lab Demo late in the rating cycle this may be an issue.
Response: The Federal Register notice did not adequately account
for conducting midpoint reviews for employees entering the Lab Demo
project late in the rating cycle. The notice has been changed as
follows: In paragraph ``III.C.4 Annual Appraisal Cycle and Rating
Process,'' the verbiage in the third paragraph was changed from ``At
least one review, normally the mid-point review, will be documented as
a progress review.'' to, ``At least one review, normally the mid-point
review, will be documented as a progress review. Exceptions may be
established by the PMB and approved by the ARDEC Director based on
employees that will be in the Lab Demo for less than 180 days at the
end of the rating cycle.''
(2) Comment: The scoring system seems unbalanced over the bands
with different levels to score. The program should provide for more
levels for each pay band level, either by adding a ``very high''
category to each or use of the five bands as in Level II.
Response: Employees may score anywhere within the full spectrum of
scores for their occupational family. The ``very high'' categorical
rating exists at the top pay band level for each occupational family
and provides the potential for employees in a top pay band level to
score above their band level as can employees in other band levels. The
scoring range for employees in pay band II of the Engineer and Science
and Business and Technical occupational family is greater than other
pay bands reflecting the broader range (equivalent to GS-05 to GS-11
grades) of contribution levels contained in that pay band. The
additional categorical ratings (Medium High and Medium Low) in pay band
II facilitate the ability to assess and categorize employee
contributions within pay band II. No change to the notice is needed.
L. Probationary Periods
One comment regarding Probationary Periods was received. The
response is provided below.
(1) Comment: Consider adding written documentation for
reassignments of supervisors on probationary periods similar to what is
being done for the employee probationary period.
Response: There is an inconsistent requirement for written
documentation for different probationary periods. It is appropriate to
document the supervisory probationary period reassignments in the same
manner as required for the employee probationary period. The notice has
been modified to add the following to paragraph III.D.9, ``When a
supervisor determines to reassign a probationary supervisor to a non-
supervisory position during the probationary period because his/her
work performance or conduct is unacceptable, the probationary
employee's supervisor will provide written notification subject to
higher level management approval.''
M. Position Classification
One comment regarding Position Classification was received. The
response is provided below.
(1) Comment: Should specialty codes be used for Lab Demo position
descriptions? Can any position description be established without them?
Suggest changing from ``will'' to ``may'' or remove from the Federal
Register notice.
Response: Concur with the recommendation to change ``will'' to
``may'' in paragraph III.B.2.
N. Reduction in Force
Three comments regarding reduction in force were received. The
responses are provided below.
(1) Comment: Do Specialty Work Codes have any effect if ARDEC were
to conduct a reduction in force?
Response: The Lab Demo Federal Register notice does not mandate the
use of Specialty Work Codes on position descriptions; and, therefore,
the notice will not specifically make the use of Specialty Work Codes
mandatory when conducting a reduction in force (RIF). No change to the
Federal Register notice is required.
(2) Comment: Paragraph III.H--Recommend changing the RIF credit
lines to define them as 3 points below the Expected Overall
Contribution Score (EOCS). Using 94 percent would mean 3 Overall
Contribution Score (OCS) points for an EOCS of 50 and 6 OCS points for
an EOCS of 100. Also, since ratings are not given to people on a
Contribution Improvement Period (CIP), recommend deleting the
requirement for OCS to be less than 92 percent (actually 4 points) as
well as CIP to get 0 years of credit. Define the year as the year that
the employee enters a CIP, so as not to penalize two years should the
CIP overlap two years.
Response: The use of percent was in error and the intent was to
define the years of service augmentation based upon the delta between
an employee's Assessed Overall Contribution Score (AOCS) and an
employee's EOCS at the end of a rating cycle. Additionally, the Federal
Register notice has been adjusted (see service augmentation rule 3
below) to clarify when zero years of
[[Page 3749]]
service augmentation are applied. The following are the service
augmentation rules:
1. Seven (7) years of service augmentation for each year the AOCS
is greater than or equal to the EOCS minus 3 (AOCS = EOCS -
3).
2. Four (4) years of service augmentation for each year the AOCS is
less than the EOCS minus 3 (AOCS < EOCS -3).
3. Zero (0) years of service augmentation for each year the
employee was placed on a CIP at any time during the rating cycle.
(3) Comment: The RIF procedures have a predictable outcome on the
rating process. If ARDEC gets into a long downsizing cycle, such as in
the 1990s, rating will be progressively exaggerated, until almost all
employees get the seven years of extra credit. This will return the
workforce to the standard, GS RIF ranking of tenure, veterans'
preference and years of service.
Response: The Lab Demo project has been designed to improve the
discipline of the rating process and reduces the possibility of
inflated ratings. No change to the Federal Register notice is required.
O. Hiring Authority
One comment regarding Hiring Authority was received. The response
is provided below.
(1) Comment: For paragraph III.D.3.a, change the beginning to ``The
ARDEC has and is forecasted to have for the near future an urgent
need.* * *'' This is not a one time need, but will continue.
Response: The verbiage in the Federal Register notice does not
address the anticipated near future hiring need. The following
rewording provides for the current and future hiring needs of ARDEC.
Change paragraph III.D.3.a from The ARDEC has an urgent need * * *'' to
``The ARDEC has and is forecasted to have for the foreseeable future an
urgent need.* * *'' This is not a one time need, but will continue.
P. Projected Annual Expenses
One comment regarding Projected Annual Expenses was received; and
the response is provided below.
(1) Comment: The costs need to be re-visited and validated. NSPS
costs of implementation need to be obtained and used as a comparable
set of figures. The operating costs of NSPS, meaning the paperwork, the
administrative support costs, the automation costs, the employee and
supervisor time spent feeding the system need to be compiled. There
needs to be some realistic comparison between the value of a 2%
incentive to the life cycle cost of operating a system. The investment
ARDEC has made in its previous attempts to shed the GS system must by
now total millions. By the way, the $85k shown does not cover the
salary of the lead admin officer for the project, so it can hardly be
right.
Response: The projected annual expenses in the initial Federal
Register notice were determined based on benchmarks of other lab demo
projects and do not include the normal managerial labor expenses
typically incurred in the execution of other personnel systems.
Subsequently, ARDEC has obtained and developed additional cost data and
revised Table 6 of the Federal Register notice as follows:
Table 6--Projected Annual Expenses
--------------------------------------------------------------------------------------------------------------------------------------------------------
FY10 FY11 FY12 FY13 FY14
--------------------------------------------------------------------------------------------------------------------------------------------------------
Training........................... 0K.................... 15K................... 10K.................. 5K................... 5K
Project Evaluation................. 40K................... 80K................... 30K.................. 30K.................. 30K
Automation......................... 97K................... 400K.................. 400K................. 50K.................. 50K
--------------------------------------------------------------------------------------------------------------------
Totals......................... 137K.................. 495K.................. 440K................. 85K.................. 85K
--------------------------------------------------------------------------------------------------------------------------------------------------------
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 designated 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: January 13, 2011.
Morgan F. Park,
Alternate OSD Federal Register Liaison Officer, 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
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 Contribution System (CBCS)
D. Hiring Authority
E. Internal Placement
F. Pay Administration
G. Employee Development
H. Reduction-in-Force (RIF) Procedures
IV. Implementation Training
V. Conversion
A. Conversion From the GS System to the Demonstration Project
B. Conversion From NSPS to the Demonstration Project
C. Conversion From Other Personnel Systems
D. Movement Out of the Demonstration Project
VI. Other Provisions
A. Personnel Administration
B. Automation
C. Experimentation and Revision
VII. Project Duration
VIII. Evaluation Plan
A. Overview
B. Evaluation Model
C. Evaluation
D. Method of Data Collection
IX. Demonstration Project Costs
A. Cost Discipline
B. Developmental Costs
X. Required Waivers to Law and Regulation
A. Waivers to Title 5, U.S.C.
B. Waivers to Title 5, CFR
Appendix A: ARDEC Employees by Duty Locations
Appendix B: Occupational Series by Occupational Family
Appendix C: Contribution Factors and Level Descriptors
Appendix D: Intervention Model
I. Executive Summary
The Armament Research, Development and Engineering Center includes
the ARDEC organizations at Picatinny Arsenal, NJ; Watervliet Arsenal,
NY; Rock Island Arsenal, IL; and ARDEC employees with duty stations at
other sites. The intent of this demonstration project is to cover all
employees, subject to bargaining unit agreement.
[[Page 3750]]
The ARDEC provides integrated science, technology, and engineering
solutions to address the armament, munitions, and fire control needs
for the Army. The ARDEC's core competency is working with weapon
systems at all stages of the materiel life cycle. The ARDEC maintains
the following fundamental capabilities:
(1) Armaments and Weapons;
(2) Fire Control;
(3) Energetics, Warheads, and Ammunition;
(4) Ammunition Logistics;
(5) Explosive Ordnance Disposal; and
(6) Homeland Defense Technology.
In order to sustain these unique capabilities, the ARDEC 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 ARDEC 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 ARDEC
mission, adjust the workforce for change, and improve workforce
satisfaction. With some modifications, this project mirrors the STRL
personnel management demonstration project, designed by the U.S. Army
Edgewood Chemical Biological Center (ECBC). The ARDEC Demonstration
Project was built on the ECBC concepts and uses much of the same
language; however, it includes several concepts from the Air Force
Research Laboratory (AFRL), Naval Research Laboratory (NRL), and the
DoD Civilian Acquisition Workforce (Acq Demo) personnel management
demonstration projects. Of significant note is the inclusion of a
contribution-based compensation and assessment system similar to that
used in the Acq Demo program. 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 DUSD(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
The ARDEC 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 (80 percent of ARDEC
employees are currently in this GS system); Acq Demo Project from 2001
to 2006; and NSPS from 2006 to the present (20 percent of ARDEC
employees are currently in NSPS). The ARDEC'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 the ARDEC's
experience, it was determined that certain features from the earlier
systems were worthwhile to carry forward and certain shortcomings/
limitations needed to be corrected or alleviated.
The current Civil Service 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 the
ARDEC must be able to recruit and retain scientific, engineering,
acquisition support and other professionals and skilled technicians.
The ARDEC 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.
The ARDEC'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 the ARDEC 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 ``China Lake''
and National Institute of Standards and Technology (NIST) demonstration
projects have produced impressive statistics on increased job
satisfaction and quality of employees 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 ARDEC
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.
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
[[Page 3751]]
effectiveness of this demonstration project, as modified in this plan,
and will be used to measure the results of specific personnel system
changes.
D. Participating Organizations
The ARDEC is comprised of employees headquartered at Picatinny
Arsenal, NJ. The ARDEC employees are geographically dispersed at the
locations shown in Appendix A. It should be noted that some sites
currently employ fewer than ten people and that the sites may change
should ARDEC reorganize or realign. Successor organizations will
continue coverage in the demonstration project.
E. Participating Employees and Union Representation
This demonstration project will cover approximately 3,400 ARDEC
civilian employees under title 5 U.S.C. in the occupational series
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 presently
covered by the Defense Civilian Intelligence Personnel System (DCIPS),
or Department of Army (DA), Army Command centrally funded interns and
centrally funded students employed under the Student Career Experience
Program (SCEP).
The International Federation of Professional and Technical
Engineers (IFPTE) Local 1437; the American Federation of Government
Employees (AFGE) Local 225; the American Federation of Government
Employees (AFGE) Local 15; and the National Federation of Federal
Employees (NFFE) Local 2109 represent a majority of the ARDEC
employees. Of those employees assigned to the ARDEC, approximately 75
percent are represented by labor unions.
To foster union acceptance of the ARDEC's proposed personnel
demonstration project, initial discussions with the four unions began
in November 2009. The ARDEC 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, the 2010 National Defense Authorization Act
directed the ARDEC to transition to a laboratory personnel management
demonstration project. Following review and analysis of existing DoD
demonstration projects, the ARDEC senior leadership decided to adapt
the ECBC model, one of the latest Army projects. A series of focus
groups, benchmarking and other sensing sessions were completed to
determine the unique ARDEC needs and requirements. One key departure
from the ECBC model is the shift from their Performance Management
System to a Contribution-Based Compensation System (CBCS), similar to
the Acq Demo project.
G. Personnel Management Board (PMB)
1. ARDEC will create a PMB 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 ARDEC Director. As needed, ad hoc members (such as labor
counsel, human resource representatives, etc.) will serve as advisory
members to the board.
2. The PMB is responsible for establishing the implementation and
operating rules as required. At a minimum, duties executed by the board
will be to:
a. Determine the composition of the 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 manage the civilian pay pool budget;
e. formulate and manage the civilian bonus pool budget;
f. determine hiring, reassignment, and promotion base pay as well
as exceptions to Contribution-Based Compensation System 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. manage standard Contribution Factors and Descriptors;
k. identify and implement improvements to demonstration project
procedures and policies;
l. review requests for Supervisory/Team Leader Base Pay Adjustments
and provide recommendations to the Director;
m. develop policies and procedures for administering Employee
Developmental Programs;
n. ensure that all employees are treated in a fair and equitable
manner in accordance with all policies, regulations, and guidelines
covering this demonstration project;
o. monitor the evaluation of the project;
p. establish and manage the Accelerated Compensation for
Developmental Positions (ACDP); and
q. Establish rules and procedures for denying or reducing GPI for
employees whose contributions are in region A (above the NPR).
III. Personnel System Changes
A. Pay Banding
The design of the ARDEC pay banding system takes advantage of the
many reviews performed by DA, DoD, OPM, and others. The design also has
the benefit of being preceded by exhaustive studies of pay banding
systems currently practiced in the Federal sector, to include those
practiced by the China Lake experiment and NIST. The ARDEC pay banding
system will replace the current GS grade and NSPS pay band structures.
1. Occupational Families
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 (GEN). Each Occupational Family's career path will
be composed of pay bands corresponding to recognized advancement and
career progression patterns within the covered occupations. These
career paths and their pay bands will replace the NSPS pay band
structure and the individual GS grades and will not be the same for
each Occupational Family. Each Occupational Family will be divided into
three to six pay bands. Employees track into an Occupational Family
based on their current OPM classification series as provided in
Appendix B. All employees are initially assigned to the Occupational
Family and pay band in which their comparable grade fits based on
position classification using the GS classification standards.
Comparison to the GS grades is used in setting the upper and lower base
pay dollar limits of the pay band levels with the exception of Pay Band
VI of the E&S Occupational Family (refer to III.A.3). The current
occupations have been examined; and their characteristics and
distribution have served as guidelines in the development of the three
Occupational Families. The following descriptions of positions in the
pay bands of each occupational family illustrate examples of the types
of positions included.
[[Page 3752]]
a. Engineering and Science (E&S) (Pay Plan DB): This Occupational
Family includes positions as defined in Appendix B. Specific course
work or educational degrees are required for these occupations. Six
bands have been established for the E&S career path: (refer to Table
1).
(1) Band I includes student trainee positions.
(2) Band II includes developmental positions.
(3) Band III includes full-performance technical positions.
(4) Band IV includes technical specialist and first level
supervisory positions.
(5) Band V includes senior technical and managerial positions.
(6) Band VI includes positions classified above the GS-15 level.
b. Business and Technical (B&T) (Pay Plan DE): This Occupational
Family includes positions as defined in Appendix B. Employees in these
positions may or may not require specific course work or educational
degrees. Five bands have been established for the B&T career path:
(refer to Table 1).
(1) Band I includes student trainee positions.
(2) Band II includes developmental positions.
(3) Band III includes full-performance technical and first level
supervisory positions.
(4) Band IV includes senior technical specialist and supervisory
positions.
(5) Band V includes managerial positions.
c. General Support (GEN) (Pay Plan DK): This Occupational Family
includes positions as defined in Appendix B. Employees in these
positions may or may not require specific course work or educational
degrees. Three bands have been established for the GEN career path:
(refer to Table 1).
(1) Band I covers entry-level and student positions.
(2) Band II covers full-performance positions.
(3) Band III includes supervisory and senior positions.
2. Pay Band Design
The pay bands for the Occupational Families and how they relate to
the current GS/NSPS frameworks are shown in Table 1.
Table 1--Pay Band Charts
--------------------------------------------------------------------------------------------------------------------------------------------------------
Equivalent GS grades
Occupational family -----------------------------------------------------------------------------------------------------------------------
I II III IV V VI
--------------------------------------------------------------------------------------------------------------------------------------------------------
E&S............................. GS-01-04.......... GS-05-11.......... GS-12-13.......... GS-14............. GS-15............. >GS-15
Business & Technical............ GS-01-04.......... GS-05-11.......... GS-12-13.......... GS-14............. GS-15............. ..................
General Support................. GS-01-04.......... GS-05--08......... GS-9.............. .................. .................. ..................
--------------------------------------------------------------------------------------------------------------------------------------------------------
--------------------------------------------------------------------------------------------------------------------------------------------------------
Equivalent NSPS Pay bands1, 2
Occupational family -----------------------------------------------------------------------------------------------------------------------
I II III IV V VI
--------------------------------------------------------------------------------------------------------------------------------------------------------
E&S............................. YP-1.............. YD-1, YF-1, YF-2, YD-2, YF-2........ YD-3, YF-2, YF-3, YD-3,............. ..................
(DB)............................ YP-1. YH-3. YF-3..............
Business & Technical............ YP-1,............. YA-1, YA-2, YB-1, YA-2, YB-3, YC-2, YA-3, YC-2, YC-3.. YA-3,............. ..................
(DE)............................ YB-1,............. YB-2, YB-3, YC-1, YE-3, YE-4. YC-3..............
YE-1.............. YC-2, YE-1, YE-2,
YE-3, YP-1.
General Support................. YB-1,............. YB-1, YB-2, YE-1, YB-2, YE-2, YP-1.. .................. .................. ..................
(DK)............................ YE-1,............. YE-2, YP-1.
YP-1..............
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ NSPS Pay Bands overlap Lab Demo bands and Occupational Families.
\2\ Student Career Experience Program participants in YP pay bands are not included in this Demonstration Project.
As the rates of the GS are increased due to the annual general pay
increases, the upper and lower base pay rates of the pay bands will
also be adjusted. Since pay progression through the bands depends
directly on contribution, there will be no scheduled Within-Grade
Increases (WGIs) or Quality Step Increases (QSIs) for former GS
employees once the pay banding system is in place. GS special rate
schedules and NSPS Targeted Local Market Supplements (TLMS) will no
longer be applicable to demonstration project employees. Special
provisions have been included to ensure no loss of pay upon conversion
(refer to III.F.11 Staffing Supplements). Except for those receiving a
staffing supplement and employees on pay retention, employees will
receive locality pay in addition to their base pay in the same amount
and to the same extent as established for GS employees in accordance
with 5 U.S.C. 5304 and 5304a. However, adjusted pay (base + locality)
for employees in Band V or below cannot exceed Executive Level IV. 3.
Science and Engineering Positions Classified Above GS-15.
The career path for the E&S Occupational Family includes a pay band
VI 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 the technical
expertise requirements including inherent supervisory and managerial
responsibilities. However, these positions are not considered to be
appropriately classified as Scientific or 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 the requirement
for advanced specialized scientific or engineering expertise, and
because the positions are not at the level of the general managerial
authority and impact that is 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
[[Page 3753]]
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.
B. Classification
1. Occupational Series
The GS classification system has over 400 occupational series which
are divided into 23 occupational groupings. The ARDEC currently has
positions in approximately 60 occupational series that fall into
approximately 16 occupational groupings. All positions listed in
Appendix B will be included in the classification structure. Provisions
will be made for including other occupations in response to changing
missions.
2. Classification Standards and Position Descriptions
The ARDEC may use an automated classification system. The current
OPM classification standards will be used for the identification of
proper series and occupational titles of positions within the
demonstration project. The grading criteria in the OPM classification
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 by stating the characteristics of the work,
the responsibilities of the position, the competencies required, and
the expected contributions. The Factor Descriptors will serve as both
classification criteria and contribution assessment criteria and may be
found in Appendix C. New position descriptions will replace the current
position/job descriptions. The Factor Descriptors of 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 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. Positions will be evaluated as
needed by comparing the duties and responsibilities assigned the pay
band factor level descriptors for each pay band level, and the 5 CFR
part 551 FLSA criteria. As a general rule, the FLSA status of a
position can be matched to an Occupational Family, career path, and pay
band level as indicated in Table 2. For example, positions classified
in Pay Band I of the E&S Occupational Family are typically nonexempt,
meaning they are covered by the overtime entitlements prescribed by the
FLSA. An exception to this guideline includes supervisors/managers
whose primary duty meets the definitions outlined in the OPM GS
Supervisory Guide. Therefore, supervisors/managers in any of the pay
bands who meet the foregoing criteria are exempt from the FLSA.
Supervisors with classification authority will make the determinations
on a case-by-case basis by comparing assigned duties and
responsibilities and pay band factor level descriptors to the 5 CFR
part 551 FLSA criteria. Additionally, the advice and assistance of the
servicing Civilian Personnel Advisory Center (CPAC) will be obtained in
making determinations. The position descriptions will not be the sole
basis for the determination. The 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 CPAC.
Table 2--FLSA Status
[Pay bands]
----------------------------------------------------------------------------------------------------------------
Occupational family I II III IV V VI
----------------------------------------------------------------------------------------------------------------
E&S............................. N N/E E E E E
B&T............................. N N/E E E E ...........
GEN............................. N N E ........... ........... ...........
----------------------------------------------------------------------------------------------------------------
N--Non-Exempt from FLSA; E--Exempt from FLSA; and N/E--Exemption status determined on a case-by-case basis.
Note: Although typical exemption status under the various pay
bands is shown in the above table, actual FLSA exemption
determinations are made on a case-by-case basis.
4. Classification Authority
The ARDEC 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, occupational 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 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 the employee is not
satisfied with the supervisory response, he/she may then appeal to the
DoD appellate level. Appeal decisions rendered by DoD will be final and
binding on all administrative, certifying, payroll, disbursing, and
accounting officials of the Government. Classification appeals are not
accepted on positions which
[[Page 3754]]
exceed the equivalent of a GS-15 level. 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 an
Occupational Family; the propriety of a pay schedule; matters grievable
under an administrative or negotiated grievance procedure; or a
decision reached using an alternative dispute resolution 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
servicing Civilian Personnel Advisory Center (CPAC) and will include
copies of appropriate demonstration project criteria.
C. Contribution-Based Compensation System
1. Overview
The purpose of the Contribution-Based Compensation System (CBCS) is
to provide an effective, efficient, and flexible method for assessing,
compensating, and managing the ARDEC workforce. CBCS is essential for
the development and continued growth of the high quality, extremely
productive and innovative workforce needed to meet mission
requirements. The CBCS allows for greater 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 base pay changes by linking pay, performance,
and contribution. The CBCS process described herein applies to all
Occupational Families and pay band levels except Pay Band VI of the E&S
Occupational Family. The assessment process for E&S Pay Band VI
positions will be based on the final outcome of the DoD evaluation and
documented in ARDEC Internal Operating Instructions.
CBCS is an assessment system that measures the employee's level of
contribution to the organization's mission and how well the employee
performed. Contribution is simply defined as the measure of the
demonstrated value of employee actions in terms of accomplishing or
advancing the organizational objectives and mission impact. CBCS
promotes base pay adjustment decisions made on the basis of an
individual's overall annual contributions and current base pay in
relation to other employees' contributions and their level of
compensation in the pay pool. The measurement of overall contribution
is determined through a rating process which determines the Overall
Contribution Score (OCS). OCS is a key component to the CBCS assessment
system in that it:
(1) Provides a consistent scoring scale linked to base pay even as
salaries increase in accordance with GPI increases.
(2) Provides a rating scale that enables direct comparison of the
level and quality of employee contributions to the current base pay of
that employee.
To accomplish (2) above, the employee's current base pay is
converted to an Expected OCS (EOCS). The other OCS score, Assessed OCS
(AOCS) is the measurement of the employee's contributions in the
appraisal process. AOCS is the result of measuring contribution and
performance by using the pay band level descriptors for a set of
contribution factors and discriminators each of which is relevant to
mission success of the organization. The comparison of EOCS and AOCS
determines if the employee is appropriately compensated. The same
factor level descriptors used for classification will also be used for
the annual CBCS employee assessments (see Appendix C).
2. Contribution Factors
The following six (6) factors will be used for evaluating the
yearly contribution of the ARDEC personnel in all three Occupational
Families:
(1) Problem Solving
(2) Teamwork/Cooperation
(3) Customer Relations
(4) Leadership/Supervision
(5) Communication
(6) Resource Management
Each factor has multiple levels of increasing contribution
corresponding to the pay band levels. Each factor contains descriptors
for each respective pay band level within the relevant Occupational
Family.
The appropriate Occupational Family pay band level factor
descriptors will be 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.
3. Pay Pools
The ARDEC employees will be placed into pay pools that are defined
for the purpose of determining performance payouts under the CBCS. Pay
pools will be established and operated in accordance with the
guidelines provided in the following paragraphs. These guidelines will
be followed noting the following exception. The ARDEC Director may
deviate from the guidelines provided there is a compelling need. The
rationale must be documented in writing.
The ARDEC 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 contribution
payout are based on the established formal payout calculations.
Funds within a pay pool available for contribution payouts are
divided into two components, base pay and bonus. These funds will be
determined based on historical data. The base pay fund will be set at
no less than two percent of total base pay of employees eligible for
compensation adjustment in CBCS. The bonus fund will be set at no less
than one percent of total base pay. The ARDEC PMB will annually review
the pay pool funding and recommend adjustments to the ARDEC Director to
ensure cost discipline over the life of the demonstration project. CBCS
payouts can be in the form of increases to base pay and/or 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
managed separately from the CBCS payouts.
4. Annual Appraisal Cycle and Rating Process
The annual appraisal cycle normally begins on October 1 and ends on
September 30 of the following year. The minimum rating period will be
90 days. 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. If weighting is used, the same weighting will be applied to
all similar positions within an Occupational Family in a pay pool.
Also, if weighting is used, the minimum weighting will be 10 percent
and the sum of all weights must equal 100 percent. Employees will be
informed of
[[Page 3755]]
the weights at the beginning of the rating cycle.
Each supervisor will discuss work assignment, performance and
conduct standards, and provide clear objectives to their employees.
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. Exceptions
may be established by the PMB and approved by the ARDEC Director based
on employees that will be in the Lab Demo for less than 180 days at the
end of the rating cycle. 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. An
employee may elect to provide self-ratings on the contribution 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 for each factor, and
recommends the AOCS.
To determine the AOCS, numerical values are assigned based on the
contribution levels of individuals, using the ranges shown in Table 3.
The AOCS is calculated by averaging the numerical values (as weighted
if applicable) assigned for each of the six contribution factors. (All
AOCS's will be rounded to the nearest tenth of a point. If the decimal
is .05 or higher, the AOCS will be rounded up.) The rating official in
conjunction with the second-level supervisor reviews the AOCS for all
employees, correcting any inconsistencies identified and making the
appropriate adjustments in the factor ratings.
Table 3--Contribution Score Ranges By Occupational Family
----------------------------------------------------------------------------------------------------------------
Engineering and Science Business and Technical General Support
Pay Band Levels --------------------------------------------------------------------------
Point Range Point Range Point Range
----------------------------------------------------------------------------------------------------------------
VI .................... TBD -- --
Very High........... 101-115 101-115 --
High................ 97-100 97-100 --
V Med................. 91-96 91-96 --
Low................. 87-90 87-90 --
High................ 91-95 91-95 --
IV Med................. 84-90 84-90 --
Low................. 79-83 79-83 --
Very High........... -- -- 60-64
High................ 81-86 81-86 53-59
III Med................. 68-80 68-80 47-52
Low................. 62-67 62-67 43-46
High................ 62-68 62-68 46-54
Med High............ 51-61 51-61 --
II Med................. 41-50 41-50 30-45
Med Low............. 30-40 30-40 --
Low................. 22-29 22-29 22-29
High................ 24-30 24-30 24-30
I Med................. 6-23 6-23 6-23
Low................. 0-5 0-5 0-5
----------------------------------------------------------------------------------------------------------------
The pay pool panel conducts a final review of the AOCS for each
employee in the pay pool. The pay pool panel has the authority to make
AOCS adjustments, after discussion with the initial rating officials,
to ensure equity and consistency. Final approval of AOCS rests with the
pay pool manager, the individual within the organization responsible
for managing the CBCS process. The AOCS, as approved by the pay pool
manager, becomes the rating of record. Rating officials will
communicate the factor scores and AOCS to each employee and discuss the
results.
If on the last day of the appraisal cycle the employee has served
under CBCS for less than 90 days, the first rating will be provided at
the end of the next annual rating cycle. The first CBCS appraisal must
be rendered within 18 months after entering the demonstration project.
When an employee cannot be evaluated readily by the normal CBCS
appraisal process due to special circumstances that take the individual
away from normal duties or duty station (e.g., long-term full-time
training, active military duty, extended sick leave, leave without pay,
etc.), the rating official will document the special circumstances on
the appraisal form. The rating official will then determine which of
the following options to use:
a. Re-certify the employee's last contribution appraisal; or
b. Presume the employee is contributing consistently at his/her pay
level.
5. Linking OCS to Compensation Adjustment
a. The Normal Pay Range (NPR)
The CBCS integrated pay schedule provides a direct link between
contribution level and base pay. This is shown by the graph in Figure
1. The horizontal axis spans from 0 to the maximum OCS of 100 for
positions in pay band levels I through V. Impact of Band VI will be
determined after receiving DoD guidance on Band VI
[[Page 3756]]
positions. The vertical axis spans from zero dollars to the dollar
equivalent of the highest positions covered by CBCS. This encompasses
the full base pay range (excluding locality pay and staffing
supplements) under this demonstration for the given calendar year
(note: Figure 1 currently depicts Calendar Year (CY) 10). 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 NPR. This pay range represents a base pay range of plus
or minus eight percent from the Standard Pay Line (SPL). The SPL is a
mapping of the GS base pay scale to OCS values (see formula below) that
shows the expected level of contributions (EOCS) from an employee at a
specific base pay rate. The SPL and NPR provide the means to link base
pay and contribution using a scale that does not change even as a base
pay range changes with GPI increases. This scale is not a linear scale
but rather adopts and reflects the provision that the former GS basic
pay increases (e.g., GPI, step increases) are percentage increases.
Thus, the scale reflects that each point increase in OCS reflects a
fixed percent increase in base pay. For example, an OCS of 61 reflects
an approximate two percent base pay difference over an OCS of 60 and an
OCS of 87 reflects an approximate two percent base pay difference over
an OCS of 86. The SPL and NPR are 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 100 equates to the base pay of GS-15, step 10.
The SPL is calculated as:
Standard Pay Line (SPL) = (GS-1, Step 1) * (1.020043) \OCS\
The factor 1.020043 is called the SPL factor and reflects the
percent increase of salary corresponding to a one point increase in
OCS:
SPL Factor = (GS-15, Step 10)/(GS-1, Step 1)\(0.01)\
The SPL Factor will remain the same value (1.020043) for as long as
GPI increases are applied as the same percentage increase to GS-1, Step
1, to GS-15, Step 10.
The upper rail is calculated as: Upper Rail = SPL * 1.08
The lower rail is calculated as: Lower Rail = SPL * 0.92
The upper and lower rails encompass an area of +/- 8.0 percent in
terms of base pay which correlates to approximately +/- 4.0 OCS points.
The EOCS is the intersection of the employee's current base pay and
the SPL. In the instance of an employee on retained pay, the EOCS is
determined by using the maximum base pay of the employee's assigned pay
band in lieu of their current base pay.
[GRAPHIC] [TIFF OMITTED] TN20JA11.002
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 4. 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 3757]]
Table 4--OCS and Pay Band Base Pay Ranges
--------------------------------------------------------------------------------------------------------------------------------------------------------
$ (CY10 OCS salaries)
Occupational family --------------------------------------------------------------------------------------------------------------------
I II III IV V VI\1\
--------------------------------------------------------------------------------------------------------------------------------------------------------
E&S................................ $17,803-$32,288 $27,548-$68,634 $60,930-$98,100 $85,377-$117,283 $100,066-$129,517
0-30 22-68 62-86 79-95 87-100
Business & Technical............... $17,803-$32,288 $27,548-$68,634 $60,930-$98,100 $85,377-$117,283 $100,066-$129,517
0-30 22-68 62-86 79-95 87-100
General Support.................... $17,803-$32,288 $27,548-$51,986 $41,791-$57,409
0-30 22-54 43-59
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ Band VI pay and OCS range will be determined based on DoD guidance.
b. OCS-Based Compensation Adjustment Guidelines
After the pay pool manager approves the OCS for all employees in
the pay pool, the current base pay versus AOCS is plotted for all
employees on a chart similar to Figure 2. This plot relates
contribution to base pay, and identifies the placement of each employee
into one of three regions: Region A--Above-the-NPR, Region C--Within-
the-NPR, or Region B--Below-the-NPR. When an employee is placed in the
Region A--Above-the-NPR, the employee is considered to be
overcompensated. When an employee is placed in the Region B--Below-the-
NPR the employee is considered to be undercompensated and when an
employee is placed in the Region C--Within-the-NPR, the employee is
considered to be adequately compensated.
[GRAPHIC] [TIFF OMITTED] TN20JA11.003
c. The following delineates compensation adjustment guidelines for
employees in each of the three regions:
(1) All employees are entitled to the full locality pay or a
staffing supplement, as appropriate (subject to overall salary pay
limitations).
(2) The employees whose base pay falls within the NPR (Region C)
must receive the full GPI, may receive a Contribution Base Pay Increase
of up to 6 percent, and may receive a Contribution Bonus. The
Contribution Base Pay Increase is included as a permanent increase in
base pay, but the Contribution Bonus is a onetime lump sum payment that
does not affect base pay.
(3) The employees whose base pay falls above the NPR (Region A)
could be denied part or all of the GPI and will receive no Contribution
Base Pay 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 GPI an Overcompensated (Region A)
employee shall receive, on a case-by-case basis.
(4) The employees whose base pay falls below the NPR (Region B)
must receive the full GPI, may receive up to a 20 percent Contribution
Base Pay Increase (higher amounts require the approval of the ARDEC
Director), and may also receive a Contribution Bonus.
(5) The employees on retained pay in the demonstration project will
receive base pay adjustments in accordance with 5 U.S.C. 5363 and 5 CFR
Part 536. An employee receiving retained pay is not eligible for a
Contribution Base Pay Increase, but may receive a Contribution Bonus.
[[Page 3758]]
(6) Table 5 illustrates the additional pay adjustments possible for
the three groupings of employees.
Table 5--Compensation Eligibility Chart
----------------------------------------------------------------------------------------------------------------
Locality pay/
Category General pay Contribution base Contribution bonus staffing
increase pay increase supplement \1\
----------------------------------------------------------------------------------------------------------------
--Above the NPR................ Could be reduced or NO................ NO................ YES
denied.
Within the NPR--............... YES................ YES \2\--Up to 6 YES \5\........... YES
percent.
--Below the NPR................ YES................ YES 3 4--Up to 20 YES \5\........... YES
percent.
----------------------------------------------------------------------------------------------------------------
\1\ Base pay plus locality pay/staffing supplement may not exceed Executive Level IV, except for Band VI.
\2\ May not exceed upper rail of NPR for employee's AOCS or maximum base pay for current pay band level.
\3\ Over 20 percent requires ARDEC 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 ARDEC Director's approval.
(7) 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 base pay appropriate for their level
of contribution.
(8) Employees whose AOCS would result in awarding a Contribution
Base Pay Increase such that the base pay exceeds the maximum base pay
for their current pay band level may receive a Contribution Bonus
equaling the difference.
6. Accelerated Compensation for Developmental Positions (ACDP)
ACDP provides for an increase to base pay, bonus, or a combination
of these to employees participating in training programs or in other
developmental capacities as determined by the ARDEC policy. ACDP
recognizes growth and development in the acquisition of job-related
competencies combined with successful contribution. In order to receive
an ACDP, the employee must be in a pay and duty status and have been on
an approved performance plan (may be from any system) for 90 days. Most
ACDP increases will occur yearly, comparable to the GS intern career
progression. However, when warranted (e.g., high turnover positions,
hard-to-fill positions, exceptional performance by the employee), an
ACDP increase may occur anytime during the year. Employees under an
ACDP will follow the standard CBCS rating cycle. The employee is only
entitled to the bonus component as a result of CBCS rating.
7. Extraordinary Achievement Recognition
A pay pool manager may request approval from the ARDEC 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 budget constraints.
8. 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 title 5 U.S.C. awards are separately funded within
budget constraints.
While not directly linked to the CBCS, this additional flexibility
is important to encourage outstanding contribution and innovation in
accomplishing the diverse mission of the ARDEC. 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.
9. Adverse Actions
Except where specifically waived or modified in this plan, adverse
action procedures under 5 CFR part 752 remain unchanged.
10. Grievance of Assessed Overall Contribution Score
An employee may grieve the AOCS received under the CBCS. 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. Payout amounts resulting from the contribution
assessment cannot be grieved.
11. Inadequate Employee Performance/Contribution
Inadequate performance/contribution 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 5 U.S.C.
75, as modified in the waiver section of this notice (section IX),
remains unchanged by these procedures.
When an employee's AOCS plots above the upper rail of the NPR and
the employee is considered to be under-performing/contributing, 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 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, pay band level, or removed.
The second option will include a Contribution Improvement Plan
(CIP). The CIP must include standards for acceptable contribution,
actions required of the employee, and time in
[[Page 3759]]
which they must be accomplished to increase and sustain the employee's
contribution at an acceptable 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 not receive performance payouts or the annual GPI. Employees who are
on a CIP 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 and RIF service
credit will be reinstated at the beginning of the next pay period. No
retroactive GPI will be paid for time lost under a CIP.
Once an employee has been afforded a reasonable opportunity to
demonstrate acceptable 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 unacceptable level, the employee will be afforded an
additional opportunity to demonstrate acceptable 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 unacceptable 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 unacceptable
contribution may be based only on those instances of unacceptable
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 unacceptable 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 unacceptable 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 acceptable contribution.
D. Hiring Authority
1. Qualifications
The qualifications required for placement into a position in a pay
band within an Occupational Family 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 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, or Delegated Examining. 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 fifteen
qualified applicants and no preference eligibles, all eligible
applicants are immediately referred to the selecting official without
rating and ranking. Rating and ranking will be required only when the
number of qualified candidates exceeds fifteen 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.
3. Direct Hire Authority for Candidates With Advanced Degrees for
Scientific and Engineering Positions
a. Background:
The ARDEC has, and is forecasted to have, for the foreseeable
future 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 percent hold Masters Degrees, while 10 percent are
in possession of a Ph.D. The ARDEC employs over 2,300 scientists and
engineers; 34 percent holding Masters Degrees, while 2.6 percent are in
possession of a Ph.D. Over the next five years, the ARDEC 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 ARDEC. Statistics indicate
that the available pool of advanced degree, security clearable
candidates is substantially diminished by the number of non-U.S.
citizens granted degrees by U.S. institutions. For instance, in 2006,
20 percent of Masters Degrees in science and over 35 percent 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 09, 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
[[Page 3760]]
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) The term ``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.
(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.
4. Distinguished Scholastic Achievement Appointment
ARDEC will establish 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 pay level no greater than the equivalent of
GS-7, step 10, provided that: they meet the minimum standards for the
position as published in OPM's operating manual, ``Qualification
Standards for General Schedule Positions,'' plus any selective factors
stated in the vacancy announcement; the occupation has a positive
education requirement; and the candidate has a cumulative grade point
average 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 grade point average of
3.5 or better (on a 4.0 scale) 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. Distinguished Scholastic Achievement Appointments will
enable ARDEC to respond quickly to hiring needs with eminently
qualified candidates possessing distinguished scholastic achievements.
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
The ARDEC 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 results in 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.
The ARDEC 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, ARDEC 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 part 316 in that they may be made
for a period not to exceed five, rather than four years. The ARDEC
Director is authorized to extend a modified 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-conditional or career appointments. To be
converted, the employee must:
(1) 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-conditional or career appointment at a later
date;
(2) have served two years of continuous service in the term
position; and
(3) be performing at an acceptable level of performance.
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 Contribution Improvement Period
(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 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
part 315.
[[Page 3761]]
The specific probationary period will be defined and controlled by the
ARDEC 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. Any employee fulfilling this
probationary period prior to the implementation date will not be
affected.
8. Termination of Initial Probationary Period Employees
Probationary employees may be terminated when they fail to
demonstrate proper conduct, technical competency, and/or acceptable
performance for continued employment and for conditions arising before
employment. When a supervisor decides to terminate an employee during
the probationary period because his/her work performance or conduct is
unacceptable, the supervisor shall terminate the employee's services by
written notification subject to higher level management approval. This
notification shall state the reason(s) for termination and the
effective date of the action. The information in the notice shall, at a
minimum, consist of the supervisor's conclusions as to the inadequacies
of the employee's performance or conduct or those conditions arising
before employment that support the termination.
9. Supervisory and Managerial Probationary Periods
Supervisory and managerial probationary periods will be made
consistent with 5 CFR part 315. Current government employees, selected
for an initial appointment to a supervisory or managerial position in
ARDEC are required to successfully complete a two-year probationary
period. If the employee is transferred to a different supervisory
position, he or she does not have to repeat the probationary period,
but may continue the duration of the probationary period if the time
was not completed in the previous supervisory position. If, during this
probationary period, the decision is made to return the employee to a
non-supervisory/managerial position for reasons related to supervisory/
managerial performance, the employee will be returned to a comparable
position of no lower pay than the position from which promoted or
reassigned. When a supervisor determines to reassign a probationary
supervisor to a non-supervisory position during the probationary period
because of his/her work performance or conduct is unacceptable, the
probationary employee's supervisor will provide written notification
subject to higher level management approval.
10. Volunteer Emeritus Corps
Under the demonstration project, the ARDEC Director will have the
authority to offer retired or separated employees voluntary positions.
The ARDEC Director may re-delegate this authority. Volunteer 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 volunteer's Federal retirement pay (whether military or civilian)
is not affected while serving in a voluntary capacity. Retired or
separated Federal employees may accept an emeritus position without a
break or mandatory waiting period.
The Volunteer 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 ARDEC 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 an ARDEC manager to the 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.
Volunteer 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 CPAC. 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 ARDEC Director for review and approval;
(k) statement that he/she 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 he/she 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 he/she agrees to disclose any inventions made in
the course of work performed at ARDEC. The ARDEC Director has the
option to obtain title to any such invention on behalf of the U.S.
Government. Should the ARDEC Director elect not to take title, the
ARDEC, 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
[[Page 3762]]
(o) statement that he/she agrees to comply with designated
mandatory training.
Exceptions to the provisions in this procedure may be granted by
the ARDEC 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 or to another pay band in a different
Occupational Family, wherein the band in the new Occupational Family
has a higher maximum base pay than the band from which the employee is
moving. The move from one band to another must result in an increase in
the employee's base pay to be considered a promotion unless the
employee is on retained pay. 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 CBCS.
Progression within a pay band is based upon contribution base pay
increases; as such, these actions are not considered promotions and are
not subject to the provisions of this section. Except as specified in
III.E.6, promotions will be processed under competitive procedures in
accordance with Merit System Principles and requirements of the local
merit promotion plan.
To be promoted competitively or non-competitively from one band to
the next, an employee must meet the minimum qualifications for the job
and have an acceptable level of performance. If an employee does not
have a current performance rating, the employee will be treated the
same as an employee with an acceptable rating as long as there is no
documented evidence of unacceptable performance.
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.
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 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. Detail Assignment
Under the demonstration project, the ARDEC's approving manager
would have the authority:
(1) To effect details up to one year to demonstration project
positions without the current 120-day renewal requirement; and
(2) To effect details to a higher level position in the
demonstration project up to one year within a 24-month period without
competition.
Detail assignments beyond one-year require the approval of the
ARDEC Director, and are not subject to the 120-day renewal requirement.
6. Expanded Temporary Promotions
Current regulations require that temporary promotions for more than
120 days to a higher level position than previously held must be made
competitively. Under the demonstration project, the ARDEC would be able
to effect temporary promotions of not more than one year within a 24-
month period without competition to positions within the demonstration
project.
7. 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 one year or less in a 24-month period.
(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 PMB. These
policies will be exempt from Army Regulations or Higher Headquarter pay
fixing policies but will conform to basic governmental pay fixing
policy. Employees whose performance is acceptable and not on pay
retention will receive the full annual general pay increase and the
full locality pay, with the exception of those employees'
[[Page 3763]]
whose rating is as described in paragraph III.C.5.c.(3). The ARDEC 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 except
as 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
consistent with 5 CFR 530.201. In addition, each pay band will have its
own base pay ceiling. Base pay rates for the various pay bands were
established to approximately cover the pay ranges for the GS grade
equivalents. Other than where retained rate applies, base pay will be
limited to the maximum base pay rate for each pay band. (See Table 4)
3. Pay Setting for Appointment
Upon initial appointment, the individual's pay may be set at the
lowest base pay in the pay band or anywhere within the 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 PMB.
4. Highest Previous Rate
Highest Previous Rate (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 PMB.
5. Pay Setting for Promotion
The minimum base pay increase upon promotion to a higher pay band
will be six percent or the amount necessary to set the new base pay at
the minimum base pay rate of the new pay band, whichever is greater.
The maximum amount of a base pay increase for a promotion will not
exceed $10,000 or other such amount as established by the PMB. The
maximum base pay increase for promotion may be exceeded when necessary
to allow for the minimum base pay increase. For employees promoted from
positions external to Lab Demo covered by special rates, the new
demonstration project base pay rate will be calculated to assure an
adjusted base pay increase of a minimum of six percent.
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 PMB. In no case may those adjustments increase the
base pay for the position of record beyond the applicable pay band
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 PMB.
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 provided that decrease does not result in base pay
falling below the minimum rate for the pay band. Employees demoted for
reasons other than cause (e.g., erosion of duties, reclassification of
duties to a lower pay band, application under competitive
announcements, at the employee's request, or placement actions
resulting from RIF procedures) may be entitled to pay retention in
accordance with the provisions of 5 U.S.C. 5363 and 5 CFR part 536,
except as waived or modified in section X of this plan.
8. Pay Setting for Employees on a CIP
Employees who are on a CIP do not receive contribution payouts or
the general pay increase. This action may result in a base pay that is
below the assigned 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). For this situation, the employee will remain in the
assigned band until such time as the CIP is resolved. Upon resolution
of the CIP, pay or band adjustments shall be made in accordance with
this document. This action will not be considered an adverse action,
nor will it be grievable.
9. Supervisory and Team Leader Pay Adjustments
a. Supervisory and team leader pay adjustments may be approved by
the ARDEC Director based on the recommendation of the PMB to compensate
employees with supervisory or team leader responsibilities. Only
employees in supervisory or team leader positions 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 the employee's base pay rate. 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.
b. After the date of conversion into the demonstration project, a
base 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 base pay range of the applicable pay band, subject to
approval of the ARDEC Director. This rate of pay may include a base pay
adjustment determined by using the ranges and criteria outlined above.
(2) A career 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,
the base pay adjustment will be re-determined.
c. Supervisors and team leaders will not receive a base pay
adjustment at the time of initial conversion into the demonstration
project. The supervisor/team leader pay adjustment will be reviewed
annually, with possible increases or decreases based on the AOCS. The
initial dollar amount of a base pay adjustment will be removed when the
employee voluntarily leaves the position. The cancellation of the base
pay adjustment under these circumstances is not an adverse action and
is not subject to appeal. If an employee is removed from a supervisory/
team leader position for
[[Page 3764]]
personal cause (performance or conduct), the base pay adjustment will
be removed under adverse action procedures. However, if an employee is
removed from a non-probationary supervisory/team leader position for
conditions other than voluntary or for personal cause, 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 X.
10. Supervisory and Team Leader Pay Differentials
a. Supervisory and team leader pay differentials may be used by the
ARDEC Director to provide an incentive and reward supervisors and team
leaders. 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 for team leaders. It is paid on a pay
period basis with a specified not-to-exceed (NTE) of one year or less
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
differential must be terminated if the employee is removed from a
supervisory/team leader position, regardless of cause.
b. 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
ARDEC Director. The termination or reduction of the differential is not
an adverse action and is not subject to appeal.
11. 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 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 base
salary (the higher of GS special rate, NSPS targeted local market
supplement, or locality rate) 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 adjusted
basic pay rate or NSPS adjusted base salary rate. Simplified, the
formula is this:
[GRAPHIC] [TIFF OMITTED] TN20JA11.026
If an employee is in a band where the maximum GS adjusted basic pay
or NSPS adjusted base salary 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 basic 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 basic 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
[[Page 3765]]
adjusted base pay for the same purposes as a locality rate under 5 CFR
531.610, e.g., 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.
12. Pay Retention
For purposes of actions within the ARDEC demonstration project that
provide entitlement to pay retention, the standard provisions of pay
retention under 5 U.S.C. 5362 and 5363 and 5 CFR part 536 shall apply
to employees after conversion to the demonstration project, except as
waived or modified in Section X of this plan. Wherever the term
``grade'' is used in the law or regulation, the term ``pay band'' will
be substituted. The intent is to only use pay retention for all
situations. Grade retention provisions will not be applicable to the
ARDEC Demonstration Project. The ARDEC Director may 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, or 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 ARDEC 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 PMB will provide written guidance for employees on application
procedures and develop a process that will be used to review and
evaluate applicants for development opportunities.
a. Sabbatical. The ARDEC Director has the authority to grant paid
or unpaid sabbaticals to all career employees. The purpose of a
sabbatical will be to permit employees 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 ARDEC 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 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 ARDEC for a period
three times the length of the sabbatical. If an employee voluntarily
leaves the ARDEC organization before the service obligation is
completed, he/she is liable for repayment of expenses incurred by ARDEC
that are associated with training during the sabbatical. Expenses do
not include salary costs. The ARDEC 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. The ARDEC 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.
Each academic degree training program in its entirety can be
approved based upon a complete individual degree study program plan; it
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 service in the ARDEC for a period three times the length of
the training period commencing after the completion of the entire
degree program. If an employee voluntarily leaves the ARDEC before the
service obligation is completed, he/she is liable for repayment of
expenses incurred by the ARDEC that are related to the critical skills
training. Expenses do not include salary costs. The ARDEC 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
[[Page 3766]]
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 employees are in tenure group III for RIF purposes. 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
Occupational Family 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. Employees bumped
to lower pay band levels are entitled to pay retention. The same
``undue disruption'' standard currently utilized, serves as the
criteria to determine if an employee is fully qualified.
The additional reduction-in-force years of service augmentation for
performance shall be based upon the delta between an employee's AOCS
and an employee's EOCS at the end of a rating cycle. The following are
the years of service augmentation rules:
a. Seven (7) years of service augmentation for each year the AOCS
is greater than or equal to the EOCS minus 3 (AOCS = EOCS -
3).
b. Four (4) years of service augmentation for each year the AOCS is
less than the EOCS minus 3 (AOCS < EOCS -3).
c. Zero (0) years of service augmentation for each year the
employee was placed on a CIP at any time during the rating cycle.
An employee on a CIP, any time during the rating cycle, may only
displace an employee who was also on a CIP during the same rating
cycle. The displaced individual may similarly displace another employee
on a CIP during the same rating cycle. If 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 service
augmentation. After completion of the first or second rating cycle, the
total years of service augmentation 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. Pay banding, a new position classification system, and a new
CBCS all represent significant cultural change for 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;
2. conversion in and out of the system;
3. pay banding;
4. the CBCS;
5. defining objectives;
6. assigning weights;
7. assessing performance, including 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.
V. Conversion
A. Conversion From the GS System to the Demonstration Project
1. Placement Into Demonstration Project Occupational Families, Career
Paths, and Pay Bands
Conversion will be into the Occupational Family and career path
that corresponds to the employee's current GS grade and basic pay. If
conversion into the demonstration project is accompanied by a
simultaneous change in the geographic location of the employee's duty
station, the employee's overall GS entitlements (including locality
rate) in the new area will be determined before converting the
employee's pay to the demonstration project pay system. Employees will
be assured of placement within the new system without loss of total
pay.
2. WGI Buy-In
For GS employees, rules governing WGIs will continue in effect
until conversion. Adjustments to the employee's GS basic pay for WGI
equity will be computed as of the effective date of conversion. WGI
equity will be acknowledged by increasing basic 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 a retained rate, on
the day of implementation will not be eligible for WGI equity
adjustments. GS employees serving on retained grade will receive WGI
equity adjustments provided they are not at step 10 or receiving a
retained rate.
3. Conversion of Term and Temporary Limited Appointments
Employees serving under a term appointment at the time of
demonstration project implementation will be converted to the modified
term appointment if all requirements (refer to III.D.6, Modified Term
Appointments) have been satisfied. Employees serving under temporary
limited appointments at the time of demonstration implementation will
be converted to temporary limited appointments.
4. Conversion of Special Salary Rate Employees
Employees who are in positions covered by a special salary rate
prior to the demonstration project will no longer be considered a
special salary rate employee under the demonstration project. These
employees will be eligible for full locality pay. The adjusted pay for
these employees will not change. The employees will receive a new
staffing adjusted base pay rate computed under the staffing supplement
rules in section III.F.11.
5. Probationary Periods
a. Initial probationary period. GS employees who have completed an
initial probationary period prior to conversion from GS will not be
required to serve a new or extended initial probationary period. GS
employees who are serving an initial probationary period upon
conversion from GS will serve the time remaining on their initial
probationary period.
b. Supervisory probationary period. GS employees who have completed
a supervisory probationary period prior to conversion from GS will not
be required
[[Page 3767]]
to serve a new or extended supervisory probationary period while in
their current position. GS employees who are serving a supervisory
probationary period upon conversion from GS will serve the time
remaining on their supervisory probationary period.
6. 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 the
opportunity for promotion, 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 the ARDEC Director
and is not subject to employee appeal procedures.
During the first 12 months following conversion, management may
approve an adjustment of not more than 20 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 compensation inequities that may be
caused by artifacts of the process of conversion into STRL pay bands.
B. 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 and
pay plan based on the occupational series of their position. 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.
2. Pay Upon Conversion From NSPS
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 five
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. If an employee's base pay is less than the minimum rate for
his/her assigned demonstration project pay band, the employee will have
his/her base pay rate increased to the minimum of the pay band.
Employees covered by an NSPS targeted local market supplement
(TLMS) prior to conversion to the demonstration project will no longer
be covered by a TLMS. Instead, they will receive a staffing supplement.
The adjusted base pay upon conversion will not change.
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 the
opportunity for promotion, 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 the ARDEC Director
and is not subject to employee appeal procedures.
During the first 12 months following conversion, management may
approve an adjustment of not more than 20 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 compensation inequities that may be
caused by artifacts of the process of conversion into STRL pay bands.
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
[[Page 3768]]
accordance with 5 CFR 213.104 for excepted service employees and 5 CFR
part 316, subpart D, for competitive service employees.
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.
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.
C. Conversion From Other Personnel Systems
Employees who enter the demonstration project from other personnel
systems (e.g., Defense Civilian Intelligence Personnel System, Civilian
Acquisition Workforce Demonstration Project, or other STRLs) will be
subject to the pay rules that govern conversion out of their respective
systems. Conversion into Lab Demo will be based upon the position
classification of the employee's new position and the Lab Demo rules,
consistent with the intent as outlined for GS and NSPS above.
D. Movement out of the ARDEC Demonstration Project
1. Termination of Coverage Under the ARDEC Demonstration Project Pay
Plans
In the event employees' coverage under the ARDEC demonstration
project pay plans is terminated, employees move with their
demonstration project position to another system applicable to ARDEC
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.
2. Determining a GS-Equivalent Grade and GS-Equivalent Rate of Pay for
Pay Setting Purposes When an ARDEC Employee's Coverage by a
Demonstration Project Pay Plan Terminates or the Employee Voluntarily
Exits the ARDEC 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
[[Page 3769]]
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.
VI. Other Provisions
A. 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 provide consultative
and other appropriate services.
B. Automation
The ARDEC will continue to use standard systems such as 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 bonus and other personnel
processes and systems associated with this project.
C. Experimentation and Revision
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 new system
is working. DoDI 1400.37, July 28, 2009, provides instructions for
making minor changes to an existing demonstration project and
requesting new initiatives.
VII. Project Duration
Public Law 103-337 removed any mandatory expiration date for
section 342(b) demonstration projects. The ARDEC, 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 would be made if formative
evaluation data warrants and will be published in the Federal Register
to the extent required. At the five-year point, the demonstration will
be reexamined for permanent implementation, modification and additional
testing, or termination of the entire demonstration project.
VIII. Evaluation Plan
A. Overview
Chapter 47 of 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 (i.e., 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.
[[Page 3770]]
Although the model makes predictions about the outcomes of specific
intervention, 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;
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 five 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.
IX. 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 PMB 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 6. Project evaluation costs are not expected to continue beyond
the first five years unless the results and external requirements
warrant further evaluation.
Table 6--Projected Annual Expenses
----------------------------------------------------------------------------------------------------------------
FY10 FY11 FY12 FY13 FY14
----------------------------------------------------------------------------------------------------------------
Training....................................... 0K 15K 10K 5K 5K
Project Evaluation............................. 0K 80K 30K 30K 30K
Design......................................... 40K 0K 0K 0K 0K
Automation..................................... 97K 400K 400K 50K 50K
----------------------------------------------------------------
Totals..................................... 137K 495K 440K 85K 85K
----------------------------------------------------------------------------------------------------------------
X. 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 Volunteer 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
[[Page 3771]]
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 in entirety.
Chapter 41, section 4107a(1) and b(2) to the extent required to
allow ARDEC to pay for all courses related to a degree program approved
by the ARDEC Director.
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 the ARDEC organization for the
period of the required service; (2) permit the Director, ARDEC, 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
ARDEC 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. Occupational Family 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. These
sections waived to the extent necessary to: (1) Replace grade with
``pay band;'' and (2) allow Demonstration project employees to be
treated as GS employees.
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 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 Volunteer 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: 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.
[[Page 3772]]
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, ARDEC will define
the competitive area, retention standing, and displacement limitations.
Specific waivers include:
Sections 351.402-351.404: Scope of Competition: this part is waived
to the extent necessary to allow for modification of the competitive
area;
Sections 351.501-351.504: Retention Standing: this part is waived
to the extent necessary to allow for modification of the calculation of
the retention standing;
Sections 351.601-351.608: Release from Competitive Level: this part
is waived to the extent necessary to allow for the use of pay bands in
lieu of grades; and
Section 351.701: Assignment involving displacement. Waived to the
extent that bump and retreat rights are 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), and 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.
Part 410, section 410.308(a) and (c) sufficient to allow ARDEC to
pay for all courses related to an academic degree program approved by
the ARDEC Director.
Part 410, section 410.309: Agreements to continue in service.
Waived to the extent necessary to allow the ARDEC 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
CBCS.
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 CBCS. 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 ARDEC CBCS.
Part 451, sections 451.106(b) and 451.107(b): Awards. Waived to
permit ARDEC 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 pay for performance 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 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 ARDEC
pay band and pay retention provisions.
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 demonstration project employees to be treated as employees under
the GS system.
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
[[Page 3773]]
NSPS Targeted Local Market Supplements 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; or (3)
decreases in the amount of a supervisory or team leader pay adjustment
based on the annual review.
Appendix A--ARDEC Employees by Duty Location
[Totals exclude SES, ST, DCIPS and FWS employees]
----------------------------------------------------------------------------------------------------------------
Duty location Employees Servicing Personnel Office
----------------------------------------------------------------------------------------------------------------
Picatinny Arsenal, NJ................... 2,956 NE Region.
Aberdeen Proving Ground, MD............. 23 NE Region.
Rock Island, IL......................... 155 NC Region.
Adelphi, MD............................. 31 NE Region.
Watervliet, NY.......................... 239 NE Region.
Washington, DC.......................... 5 NE Region.
Ft. Benning, GA......................... 1 NE Region.
Ft. Knox, KY............................ 1 NE Region.
Ft. Lee, VA............................. 1 NE Region.
Ft. Leonardwood, MO..................... 1 NE Region.
Ft. Shafter, HI......................... 1 NE Region.
Ft. Sill, OK............................ 2 NE Region.
Indianhead, MD.......................... 1 NE Region.
MacDill AFB, FL......................... 1 NE Region.
Redstone Arsenal, AL.................... 3 SC Region.
------------------
Total All Employees................. 3,421 ....................................................
----------------------------------------------------------------------------------------------------------------
Appendix B: Occupational Series by Occupational Family
I. Engineering & Science
0601 General Health Science Series
0801 General Engineering Series
0803 Safety Engineering Series
0806 Materials Engineering Series
0819 Environmental Engineering Series
0830 Mechanical Engineering Series
0840 Nuclear 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 Engineering and Architecture 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
II. Business/Technical
0018 Safety and Occupational Health Management Series
0301 Miscellaneous Administration and Program Series
0340 Program 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
1001 Information and Arts Group Series General Arts and Information
Series
1035 Public Affairs Series
1071 Audiovisual Production Series
1083 Technical Writing and Editing Series
1084 Visual Information Series
1101 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 Instruction Series
1801 General Inspection, Investigation, Enforcement, and Compliance
Series
1910 Quality Assurance Series
2032 Packaging Series
2210 Information Technology Management Series
III. 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 Factors and Level Descriptors
1. Occupational Family DB--Engineering and Science (E&S)
Factor 1-1: 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, appropriately coordinated and
of acceptable quality. Completed work meets projects/programs
objectives. Recommendations are sound. 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 3774]]
----------------------------------------------------------------------------------------------------------------
Level descriptors Discriminators
----------------------------------------------------------------------------------------------------------------
LEVEL I:
Performs activities on a --Scope/Impact.
task; assists supervisor or other
appropriate personnel.
Resolves routine problems --Complexity/Difficulty.
within established guidelines.
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 --Scope/Impact.
functional technical activities for
projects/programs.
Identifies, analyzes, and --Complexity/Difficulty.
resolves moderately complex/
difficult problems.
Independently identifies and --Independence.
resolves conventional problems which
may require deviations from accepted
policies or instructions.
Adapts existing plans and --Creativity.
techniques to accomplish moderately
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/Difficulty.
implements solutions to diverse,
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 --Creativity.
techniques to fit new situations to
improve overall program and
policies. Establishes precedents in
application of problem-solving
techniques to enhance existing
processes.
LEVEL IV:
Plans and performs work --Scope/Impact.
across a broad range of highly
complex activities that require
substantial depth of analysis and
expertise and/or organizational
problem solving skills. The work
significantly affects policies/major
programs. Actively engages in
organizational planning.
Resolves critical, --Complexity/Difficulty.
multifaceted problems and/or
develops new theories or methods
that affect the work of other
experts, major aspects of management
programs, or a large number of
people.
Independently plans and --Independence.
carries out work from general
objectives. Work results are
considered authoritative. Expertise
is recognized both internally and
externally.
Uses judgment and ingenuity --Creativity.
in making decisions or developing
methodologies for areas with
substantial uncertainty. Adapts to
tasks with changing/competing
requirements. Approaches to solving
problems require interpretation,
deviation from traditional methods,
or research of trends and patterns
to develop new methods, scientific
knowledge, or organizational
principles.
LEVEL V:
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/Difficulty.
strategic direction for resolution
of 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 strategically with --Creativity.
senior management to establish new
fundamental concepts and criteria
and stimulate the development of new
policies, methodologies, and
techniques. Converts strategic goals
into programs or policies.
LEVEL VI:
TBD.........................
----------------------------------------------------------------------------------------------------------------
Factor 1-2: 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, appropriately coordinated 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 others to --Scope of Team Effort.
accomplish routine tasks.
Contributes ideas in own --Contribution to Team.
area of expertise. Interacts
cooperatively with others.
Regularly completes --Effectiveness.
assignments in support of team goals.
[[Page 3775]]
LEVEL II:
Works with others to --Scope of Team Effort.
accomplish projects/programs.
Uses varied approaches to --Contribution to Team.
resolve or collaborate on projects/
programs issues. Facilitates
cooperative interactions with others.
Guides/supports others in --Effectiveness.
executing team assignments.
Proactively functions as an integral
part of the team.
LEVEL III:
Works with/leads others to --Scope of Team Effort.
accomplish complex projects/programs.
Applies innovative --Contribution to Team.
approaches to resolve unusual/
difficult issues significantly
impacting important policies or
programs. Promotes and maintains
environment for cooperation and
teamwork.
Leads, guides and mentors --Effectiveness.
others in formulating and executing
team plans. Expertise is sought by
peers.
LEVEL IV:
Leads team(s) working on --Scope of Team Effort.
critical aspects of technology areas
or programmatic/business management
efforts. Team results significantly
affect internal/external
organizations and/or relationships.
Is accountable for quality --Contribution to Team.
and effectiveness of team efforts.
Integrates efforts across
disciplines.
Leads/guides/mentors team(s) --Effectiveness.
on highly complex, high priority
programs. Is sought out for
leadership roles and for
consultation on complex issues with
internal/external impact.
LEVEL V:
Leads/guides/mentors --Scope of Team Effort.
workforce in dealing with complex
problems.
Solves broad organizational --Contribution to Team.
issues. Implements strategic plans
within and across organizational
components. Ensures a cooperative
teamwork environment. Develops
future team leaders and supervisors.
Leads/guides workforce in -- Effectiveness.
achieving organizational goals. Is
sought out for leadership roles for
critical issues and strategy.
Fosters teamwork throughout the
organization.
LEVEL VI:
TBD.........................
----------------------------------------------------------------------------------------------------------------
Factor 1-3: 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, appropriately coordinated 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:
Independently carries out --Breadth of Influence.
routine customer requests.
Participates as a team member --Customer Needs.
to meet customer needs.
Interacts with customers on --Customer Interaction
routine issues with appropriate Level.
guidance.
LEVEL II:
Guides the technical/ --Breadth of Influence.
functional efforts of individuals or
team members as they interact with
customers.
Initiates meetings and --Customer Needs.
interactions with customers to
understand customer needs/
expectations.
Interacts independently with --Customer Interaction
customers to communicate information Level.
and coordinate actions.
LEVEL III:
Guides and integrates --Breadth of Influence.
functional efforts of individuals or
teams in support of customer
interaction. Seeks innovative
approaches to satisfy customers.
Establishes customer --Customer Needs.
alliances, anticipates and fulfills
customer needs, and translates
customer needs to programs/projects.
Interacts independently and --Customer Interaction
proactively with customers to Level.
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 efforts involving --Breadth of Influence.
extensive customer interactions and
partnerships. Establishes successful
working relationships with customers
to address and resolve highly complex
or controversial issues.
Identifies and fosters new --Customer Needs.
customer alliances. Anticipates
customer needs to avoid potential
problems and improve customer
satisfaction.
[[Page 3776]]
Works proactively at senior --Customer Interaction
level to assure customer satisfaction Level.
on programs and issues with a high
level of customer interest and
concern.
LEVEL V:
Leads and manages the --Breadth of Influence.
organizational interactions with
customers from a strategic standpoint.
Works to assess and --Customer Needs.
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).
Collaborates at senior level --Customer Interaction
to stimulate customer alliances for Level.
program/project support. Stimulates,
organizes, and leads overall customer
interactions.
LEVEL VI:
TBD..........................
------------------------------------------------------------------------
Factor 1-4: 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, appropriately coordinated 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 in --Leadership Role.
accomplishing assigned tasks.
Provides inputs to others in --Breadth of Influence.
own technical/functional area.
Seeks and takes advantage of --Mentoring/Employee
developmental opportunities. Development.
LEVEL II:
Actively contributes as a --Leadership Role.
team member/leader; provides insight
and recommends changes or solutions
to problems.
Proactively guides, --Breadth of Influence.
coordinates, and consults with others
to accomplish projects.
Identifies and pursues --Mentoring/Employee
individual/team development Development.
opportunities.
LEVEL III:
Provides guidance to --Leadership Role.
individuals/teams; resolves
conflicts. Considered a functional/
technical expert by others in the
organization; is regularly sought out
by others for advice and assistance.
Fosters individual/team --Breadth of Influence.
development by mentoring.
Pursues or creates training --Mentoring/Employee
development programs for self and Development.
others.
LEVEL IV:
As a program area expert, --Leadership Role.
resolves highly complex team problems
and conflicts. Effectively seeks out
and capitalizes on opportunities for
teams/work units to achieve
significant results that support
organizational goals. Is sought out
for consultation and leadership roles.
Leads teams engaged in highly --Breadth of Influence.
complex and critical work, with
accountability for employee
motivation, quality, and
effectiveness and for team success.
Fosters and initiates --Mentoring/Employee
effective team development to meet Development.
current and future organizational
needs. Actively seeks out
opportunities for and engages in
mentoring, coaching, and instruction.
Pursues personal professional
development.
LEVEL V:
Establishes and/or leads --Leadership Role.
teams to carry out complex projects
or programs. Creates an
organizational climate where
empowerment and creativity thrive.
Mentors and motivates workforce.
Leads, defines, manages, and --Breadth of Influence.
integrates efforts involving large
numbers of people. Ensures
organizational mission and program
success.
Fosters workforce --Mentoring/Employee
development. Encourages cross Development.
functional growth to meet mission
needs. Pursues personal professional
development as a model for staff.
LEVEL VI:
TBD..........................
------------------------------------------------------------------------
Factor 1-5: 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, appropriately coordinated and
of acceptable quality.
Communications are clear, concise, and at appropriate level.
Flexibility,
[[Page 3777]]
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:
Communicates routine task --Level of Interaction
status/results as required. (Audience).
Provides timely data and --Written.
written analyses for input to
management/technical reports or
contractual documents.
Explains status/results of --Oral.
assigned tasks.
LEVEL II:
Communicates team or group --Level of Interaction
tasking results, internally and (Audience).
externally, at peer levels.
Writes, or is a major --Written.
contributor to, management/technical
reports or contractual documents.
Presents informational --Oral.
briefings.
LEVEL III:
Communicates project or --Level of Interaction
program results to all levels, (Audience).
internally and externally.
Reviews and approves, or is a --Written.
major contributor to/lead author of,
management reports or contractual
documents for external distribution.
Provides inputs to policies.
Presents briefings to obtain --Oral.
consensus/approval.
LEVEL IV:
Communicates complex --Level of Interaction
technical, programmatic, and/or (Audience).
management information across
multiple organizational levels to
drive decisions by senior leaders
internally and externally.
Leads efforts in documenting --Written.
diverse and highly complex
information, concepts, and ideas.
Authors and enables authoritative
reports pertaining to multiple areas
of expertise, incorporating diverse
viewpoints. Reviews communications of
others for appropriate and accurate
content.
Demonstrates expert speaking --Oral.
skills and the adaptability to be
effective in critical briefings.
LEVEL V:
Determines and communicates --Level of Interaction
organizational positions on major (Audience).
projects or policies to senior level.
Prepares, reviews, and --Written.
approves major reports or policies of
organization for internal and
external distribution. Resolves
diverse viewpoints/controversial
issues.
Presents organizational --Oral.
briefings to convey strategic vision
or organizational policies.
LEVEL VI:
TBD..........................
------------------------------------------------------------------------
Factor 1-6: 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, appropriately coordinated 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 resources --Scope of Responsibility.
needed to accomplish tasks.
Plans individual time and --Planning/Budgeting.
assigned resources to accomplish
tasks.
Effectively accomplishes --Execution/Efficiency.
assigned tasks.
LEVEL II:
Plans and utilizes --Scope of Responsibility.
appropriate resources to accomplish
project goals.
Optimizes resources to --Planning/Budgeting.
accomplish projects/programs within
established schedules.
Effectively accomplishes --Execution/Efficiency.
projects/programs goals within
established resource guidelines.
LEVEL III:
Plans and allocates resources --Scope of Responsibility.
to accomplish multiple projects/
programs.
Identifies and optimizes --Planning/Budgeting.
resources to accomplish multiple
projects/programs goals.
Effectively accomplishes --Execution/Efficiency.
multiple projects/programs goals
within established guidelines.
LEVEL IV:
[[Page 3778]]
Plans, allocates, and --Scope of Responsibility.
monitors resources in a complex
environment with substantial
instability in resources/requirements.
Anticipates changes in --Planning/Budgeting.
workload and other resource
requirements for multiple programs/
projects and develops and advocates
solutions in advance.
Leads others in using --Execution/Efficiency.
resources more efficiently and
implements innovative ideas to
stretch limited resources.
LEVEL V:
Develops, acquires, and --Scope of Responsibility.
allocates resources to accomplish
mission goals and strategic
objectives.
Formulates organizational --Planning/Budgeting.
strategies, tactics, and budget/
action plan to acquire and allocate
resources.
Optimizes, controls, and --Execution/Efficiency.
manages all resources across projects/
programs. Develops and integrates
innovative approaches to attain goals
and minimize expenditures.
LEVEL VI:
TBD..........................
------------------------------------------------------------------------
2. Occupational Family DE--Business and Technical (B&T)
Factor 2-1: 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, appropriately coordinated 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/Difficulty.
within established guidelines.
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/Difficulty.
resolves complex/difficult problems.
Independently identifies and --Independence.
resolves conventional problems which
may require deviations from accepted
policies or instructions.
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/Difficulty.
implements solutions to diverse,
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: ............................
Plans and performs work --Scope/Impact.
across a broad range of highly
complex activities that require
substantial depth of analysis and
expertise and/or organizational
problem solving skills. The work
significantly affects policies/major
programs. Actively engages in
organizational planning.
Resolves critical, --Complexity/Difficulty.
multifaceted problems and/or develops
new theories or methods that affect
the work of other experts, major
aspects of management programs, or a
large number of people.
Independently plans and --Independence.
carries out work from general
objectives. Work results are
considered authoritative. Expertise
is recognized both internally and
externally.
Uses judgment and ingenuity --Creativity.
in making decisions or developing
methodologies for areas with
substantial uncertainty. Adapts to
tasks with changing/competing
requirements. Approaches to solving
problems require interpretation,
deviation from traditional methods,
or research of trends and patterns to
develop new methods, scientific
knowledge, or organizational
principles.
LEVEL V: ............................
[[Page 3779]]
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/Difficulty.
strategic direction for resolution of
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 strategically with --Creativity.
senior management 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 2-2: 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, appropriately coordinated 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 others to --Scope of Team Effort.
accomplish routine tasks.
Contributes ideas in own area --Contribution to Team.
of expertise. Interacts cooperatively
with others.
Regularly completes --Effectiveness.
assignments in support of team goals.
LEVEL II: ............................
Works with others to --Scope of Team Effort.
accomplish projects/programs.
Uses varied approaches to --Contribution to Team.
resolve or collaborate on projects/
programs issues. Facilitates
cooperative interactions with others.
Guides/supports others in --Effectiveness.
executing team assignments.
Proactively functions as an integral
part of the team.
LEVEL III: ............................
Works with/leads others to --Scope of Team Effort.
accomplish complex projects/programs.
Applies innovative approaches --Contribution to Team.
to resolve unusual/difficult issues
significantly impacting important
policies or programs. Promotes and
maintains environment for cooperation
and teamwork.
Leads guides and mentors --Effectiveness.
others in formulating and executing
team plans. Expertise is sought by
peers.
LEVEL IV: ............................
Leads team(s) working on --Scope of Team Effort.
critical aspects of technology areas
or programmatic/business management
efforts. Team results significantly
affect internal/external
organizations and/or relationships.
Is accountable for quality --Contribution to Team.
and effectiveness of team efforts.
Integrates efforts across disciplines.
Leads/guides/mentors team(s) --Effectiveness.
on highly complex, high priority
programs. Is sought out for
leadership roles and for consultation
on complex issues with internal/
external impact.
LEVEL V: ............................
Leads/guides/mentors --Scope of Team Effort.
workforce in dealing with complex
problems.
Solves broad organizational --Contribution to Team.
issues. Implements strategic plans
within and across organizational
components. Ensures a cooperative
teamwork environment. Develops future
team leaders and supervisors.
Leads/guides workforce in --Effectiveness.
achieving organizational goals. Is
sought out for leadership roles for
critical issues and strategy. Fosters
teamwork throughout the organization.
------------------------------------------------------------------------
Factor 2-3: 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, appropriately coordinated 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
[[Page 3780]]
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: ............................
Independently carries out --Breadth of Influence.
routine customer requests.
Participates as a team member --Customer Needs.
to meet customer needs.
Interacts with customers on --Customer Interaction
routine issues with appropriate Level.
guidance.
LEVEL II: ............................
Guides the technical/ --Breadth of Influence.
functional efforts of individuals or
team members as they interact with
customers.
Initiates meetings and --Customer Needs.
interactions with customers to
understand customer needs/
expectations.
Interacts independently with --Customer Interaction
customers to communicate information Level.
and coordinate actions.
LEVEL III: ............................
Guides and integrates --Breadth of Influence.
functional efforts of individuals or
teams in support of customer
interaction. Seeks innovative
approaches to satisfy customers.
Establishes customer --Customer Needs.
alliances, anticipates and fulfills
customer needs, and translates
customer needs to programs/projects.
Interacts independently and --Customer Interaction
proactively with customers to Level.
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 efforts involving --Breadth of Influence.
extensive customer interactions and
partnerships. Establishes successful
working relationships with customers
to address and resolve highly complex
or controversial issues.
Identifies and fosters new --Customer Needs.
customer alliances. Anticipates
customer needs to avoid potential
problems and improve customer
satisfaction.
Works proactively at senior --Customer Interaction
level to assure customer satisfaction Level.
on programs and issues with a high
level of customer interest and
concern.
LEVEL V: ............................
Leads and manages the --Breadth of influence.
organizational interactions with
customers from a strategic standpoint.
Works to assess and --Customer Needs.
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).
Collaborates at senior level --Customer Interaction
to stimulate customer alliances for Level.
program/project support. Stimulates,
organizes, and leads overall customer
interactions.
------------------------------------------------------------------------
Factor 2-4: 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, appropriately coordinated 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 in --Leadership Role.
accomplishing assigned tasks.
Provides inputs to others in --Breadth of Influence.
own technical/functional area.
Seeks and takes advantage of --Mentoring/Employee
developmental opportunities. Development.
LEVEL II: ............................
Actively contributes as a --Leadership Role.
team member/leader; provides insight
and recommends changes or solutions
to problems.
Proactively guides, --Breadth of Influence.
coordinates, and consults with others
to accomplish projects.
Identifies and pursues --Mentoring/Employee
individual/team development Development.
opportunities.
LEVEL III: ............................
Provides guidance to --Leadership Role.
individuals/teams; resolves
conflicts. Considered a functional/
technical expert by others in the
organization; is regularly sought out
by others for advice and assistance.
[[Page 3781]]
Defines, organizes, and --Breadth of Influence.
assigns activities to accomplish
projects/programs goals. Guides,
motivates, and oversees the
activities of individuals and teams
with focus on projects/programs
issues.
Fosters individual/team --Mentoring/Employee
development by mentoring. Pursues or Development.
creates training development programs
for self and others.
LEVEL IV: ............................
As a program area expert, --Leadership Role.
resolves highly complex team problems
and conflicts. Effectively seeks out
and capitalizes on opportunities for
teams/work units to achieve
significant results that support
organizational goals. Is sought out
for consultation and leadership roles.
Leads teams engaged in highly --Breadth of Influence.
complex and critical work, with
accountability for employee
motivation, quality, and
effectiveness and for team success.
Fosters and initiates --Mentoring/Employee
effective team development to meet Development.
current and future organizational
needs. Actively seeks out
opportunities for and engages in
mentoring, coaching, and instruction.
Pursues personal professional
development.
LEVEL V: ............................
Establishes and/or leads --Leadership Role.
teams to carry out complex projects
or programs. Creates an
organizational climate where
empowerment and creativity thrive.
Mentors and motivates workforce.
Leads, defines, manages, and --Breadth of Influence.
integrates efforts of several
involving large numbers of people.
Ensures organizational mission and
program success.
Fosters workforce --Mentoring/Employee
development. Encourage cross- Development.
functional growth to meet
organizational needs. Pursues
personal professional development as
a model for staff.
------------------------------------------------------------------------
Factor 2-5: 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, appropriately coordinated 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 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 routine task --Level of Interaction
status/results as required. (Audience).
Provides timely data and --Written.
written analyses for input to
management/technical reports or
contractual documents.
Explains status/results of --Oral.
assigned tasks.
LEVEL II:
Communicates team or group --Level of Interaction
tasking results, internally and (Audience).
externally, at peer levels.
Writes, or is a major --Written.
contributor to, management/technical
reports or contractual documents.
Presents informational --Oral.
briefings.
LEVEL III:
Communicates project or --Level of Interaction
program results to all levels, (Audience).
internally and externally.
Reviews and approves, or is a --Written.
major contributor to/lead author of,
management reports or contractual
documents for external distribution.
Provides inputs to policies.
Presents briefings to obtain --Oral.
consensus/approval.
LEVEL IV:
Communicates complex --Level of Interaction
technical, programmatic, and/or (Audience).
management information across
multiple organizational levels to
drive decisions by senior leaders
internally and externally.
Leads efforts in documenting --Written.
diverse and highly complex
information, concepts, and ideas in a
highly responsive and effective
manner. Authors and enables
authoritative reports pertaining to
multiple areas of expertise,
incorporating diverse viewpoints,
with minimal guidance from others.
Reviews communications of others for
appropriate and accurate content.
Demonstrates expert speaking --Oral.
skills and the adaptability to be
effective in critical briefings.
LEVEL V:
Determines and communicates --Level of Interaction
organizational positions on major (Audience).
projects or policies to senior level.
Prepares, reviews, and --Written.
approves major reports or policies of
organization for internal and
external distribution. Resolves
diverse viewpoints/controversial
issues.
Presents organizational --Oral.
briefings to convey strategic vision
or organizational policies.
------------------------------------------------------------------------
[[Page 3782]]
Factor 2-6: 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, appropriately coordinated 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 resources --Scope of Responsibility.
needed to accomplish tasks.
Plans individual time and --Planning/Budgeting.
assigned resources to accomplish
tasks.
Effectively accomplishes --Execution/Efficiency.
assigned tasks.
LEVEL II:
Plans and utilizes --Scope of Responsibility.
appropriate resources to accomplish
project goals.
Optimizes resources to --Planning/Budgeting.
accomplish projects/programs within
established schedules.
Effectively accomplishes --Execution/Efficiency.
projects/programs goals within
established resource guidelines.
LEVEL III:
Plans and allocates resources --Scope of Responsibility.
to accomplish multiple projects/
programs.
Identifies and optimizes --Planning/Budgeting.
resources to accomplish multiple
projects/programs goals.
Effectively accomplishes --Execution/Efficiency.
multiple projects/programs goals
within established guidelines.
LEVEL IV:
Plans, allocates, and --Scope of Responsibility.
monitors resources in a complex
environment with substantial
instability in resources/requirements.
Anticipates changes in --Planning/Budgeting.
workload and other resource
requirements for multiple programs/
projects and develops and advocates
solutions in advance.
Leads others in using --Execution/Efficiency.
resources more efficiently and
implements innovative ideas to
stretch limited resources.
LEVEL V:
Develops, acquires, and --Scope of Responsibility.
allocates resources to accomplish
mission goals and strategic
objectives.
Formulates organizational --Planning/Budgeting.
strategies, tactics, and budget/
action plan to acquire and allocate
resources.
Optimizes, controls, and --Execution/Efficiency.
manages all resources across projects/
programs. Develops and integrates
innovative approaches to attain goals
and minimize expenditures.
------------------------------------------------------------------------
3. Occupational Family DK--General Support
Factor 3-1: 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, appropriately coordinated 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 activities on a --Scope/Impact.
segment of a task. Assists supervisor
or other appropriate personnel.
Applies standard rules, --Complexity/Difficulty.
procedures, or operations to resolve
routine problems.
Independently carries out --Independence
routine tasks..
Takes initiative in selecting --Creativity.
and implementing appropriate
procedures.
LEVEL II:
Plans and conducts --Scope/Impact.
administrative activities for
projects.
Develops, modifies, and/or --Complexity/Difficulty.
applies rules, procedures, or
operations to resolve problems of
moderate complexity/difficulty.
Independently plans and --Independence.
executes assignments; resolves
problems and handles deviations.
Identifies and adapts --Creativity.
guidelines for new or unusual
situations.
LEVEL III:
Plans and conducts complex --Scope/Impact.
administrative activities.
Develops rules, procedures, --Complexity/Difficulty.
or operations for complex/difficult
organizational tasks.
[[Page 3783]]
Identifies issues and --Independence.
determines approaches and methods to
accomplish tasks. Initiates effective
actions and resolves related
conflicts.
Identifies issues requiring --Creativity.
new procedures and develops
appropriate guidelines.
------------------------------------------------------------------------
Factor 3-2: 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, appropriately coordinated 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 others to --Scope of Team Effort.
accomplish routine tasks.
Contributes ideas on routine --Contribution to Team.
procedures. Interacts cooperatively
with others.
Regularly completes tasks in --Effectiveness.
support of team goals.
LEVEL II:
Works with/leads to --Scope of Team Effort.
accomplish tasks.
Resolves administrative --Contribution to Team.
problems; facilitates cooperative
interactions with others.
Guides others and coordinates --Effectiveness.
activities in support of team goals.
Proactively functions as an integral
part of the team.
LEVEL III:
Works with/leads others on --Scope of Team Effort.
complex issues/problems that may
cross-functional areas.
Applies expertise in --Contribution to Team.
resolving complex administrative
issues. Promotes and maintains
environment for cooperation/teamwork.
Sets tone for internal/external
cooperation.
Leads and guides others in --Effectiveness.
formulating and executing plans in
support of team goals.
------------------------------------------------------------------------
Factor 3-3: 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, appropriately coordinated 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 support --Breadth of Influence
activities.
Meets routine customer needs. --Customer Needs.
Interacts with customers on --Customer Interaction
routine issues within specific Level.
guidelines.
LEVEL II:
Guides the administrative --Breadth of Influence
efforts of individuals or team
members as they interact with
customers.
Independently interacts with --Customer Needs.
customers to understand customer
needs/expectations.
Interacts independently with --Customer Interaction
customers to communicate information Level.
and coordinate actions.
LEVEL III:
Identifies, defines, and --Breadth of Influence.
guides administrative efforts in
support of customer interactions;
coordinates and focuses activities to
support multiple customers.
Establishes customer --Customer Needs.
alliances and translates needs to
customer service.
Works independently with --Customer Interaction
customers at all levels to define Level.
services and resolve non-routine
problems.
------------------------------------------------------------------------
Factor 3-4: 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,
[[Page 3784]]
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, appropriately coordinated 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 in --Leadership Role.
accomplishing assigned tasks. Asks
for assistance as appropriate.
Provides input in --Breadth of Influence.
administrative/functional area.
Seeks and takes advantage of -- Mentoring/Employee
developmental opportunities. Development.
LEVEL II:
Actively contributes as team -- Leadership Role.
member or leader; takes initiative to
accomplish assigned projects.
Guides others in --Breadth of Influence.
accomplishing projects.
Identifies and pursues --Mentoring/Employee
individual/team developmental Development.
opportunities.
LEVEL III:
Provides guidance to -- Leadership Role.
individuals/teams; resolves
conflicts. Expertise solicited by
others.
Guides and accounts for -- Breadth of Influence.
results or activities of individuals,
teams, or projects.
Promotes individual/team -- Mentoring/Employee
development; leads development of Development.
training programs for self and others.
------------------------------------------------------------------------
Factor 3-5: 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, appropriately coordinated 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 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 routine task/ --Level of Interaction
status results as required. (Audience).
Writes timely and accurate --Written.
draft documentation.
Explains status/results of --Oral.
assigned tasks..
LEVEL II:
Interprets and communicates --Level of Interaction
administrative procedures within (Audience).
immediate organization.
Prepares, coordinates, and --Written.
consolidates documents, reports, or
briefings.
Communicates/presents --Oral.
internal administrative/functional
procedures and tasks internally and
externally.
LEVEL III:
Develops and advises on --Level of Interaction
administrative procedures and (Audience).
communicates them to all levels, both
internally and externally.
Prepares, reviews, and/or --Written.
approves documents, reports, or
briefings.
Explains and/or communicates --Oral.
complex/controversial administrative/
functional procedures at all levels.
------------------------------------------------------------------------
Factor 3-6: 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, appropriately coordinated and
of acceptable quality. Available 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 resources to --Scope of Responsibility
accomplish tasks.
Plans individual time and --Planning/Budgeting.
assigned resources to accomplish
tasks.
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Effectively accomplishes --Execution/Efficiency.
assigned tasks.
LEVEL II:
Identifies and uses resources --Scope of Responsibility.
to accomplish projects.
Plans resources to achieve --Planning/Budgeting.
project schedules.
Effectively accomplishes --Execution/Efficiency.
projects within established resource
guidelines.
LEVEL III: