Department of Defense

Vol. 76 Thursday No. 13 January 20, 2011

Part III

Department of Defense

Science and Technology Reinvention Laboratory Personnel Management Demonstration Project, Department of the Army, Army Research, Development and Engineering Command, Armament Research, Development and Engineering Center (ARDEC); Notice

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DEPARTMENT OF DEFENSE Law 103–337, as amended, a number of covered employees, it must convert, at DoD STRL personnel demonstration a minimum, its NSPS covered Office of the Secretary projects were approved. These projects employees to a personnel management are ‘‘generally similar in nature’’ to the demonstration project (Lab Demo) Science and Technology Reinvention Department of Navy’s ‘‘China Lake’’ before the end of April 2011. Laboratory Personnel Management Personnel Demonstration Project. The The proposed STRL Demonstration Demonstration Project, Department of terminology, ‘‘generally similar in Project Plan for ARDEC was published the Army, Army Research, nature,’’ does not imply an emulation of on September 9, 2010 in 75 Federal Development and Engineering various features, but rather implies a Register (FR) 55200 that was Command, Armament Research, similar opportunity and authority to subsequently corrected by 75 FR 60091 Development and Engineering Center develop personnel flexibilities that published on September 29, 2010. (ARDEC) significantly increase the decision During the public comment period AGENCY: Office of the Deputy Under authority of laboratory commanders ending October 9, 2010, DoD received Secretary of Defense (Civilian Personnel and/or directors. 40 comments. All comments were Policy), DoD. This demonstration project involves: carefully considered. Some comments addressed topics that were outside the ACTION: Notice. (1) Two appointment authorities (permanent and modified term); project’s scope or the demonstration SUMMARY: Section 342(b) of the National (2) Modified probationary period for authority of 5 U.S.C. 4703. These Defense Authorization Act (NDAA) for newly hired employees; comments are not included in the Fiscal Year (FY) 1995, Public Law 103– (3) Modified supervisory and summary below. 337 (10 U.S.C. 2358 note), as amended managerial probationary period; The following summary addresses the by section 1109 of NDAA for FY 2000, (4) Pay banding; pertinent comments received, provides Public Law 106–65, and section 1114 of (5) Streamlined delegated examining; responses, and notes resultant changes NDAA for FY 2001, Public Law 106– (6) Modified reduction-in-force (RIF) to the original project plan in the first 398, authorizes the Secretary of Defense procedures; Federal Register notice. (7) Simplified job classification; to conduct personnel demonstration A. General projects at DoD laboratories designated (8) A contribution-based appraisal Seven general comments were as Science and Technology Reinvention system; (9) Academic degree and certificate received; responses are provided below. Laboratories (STRLs) to determine (1) Comment: Employees should be whether a specified change in personnel training; (10) Sabbaticals; returned to the GS system because it is management policies or procedures (11) A Volunteer Emeritus Corps; viewed that the NSPS performance would result in improved Federal (12) Direct hire authority for system lost the classification restrictions personnel management. Section 1105 of candidates with advanced degrees for and allowed for growth in salaries the NDAA for FY 2010, Public Law 111– scientific and engineering positions; and beyond the GS classification guides. 84, 123 Stat. 2486, October 28, 2009, (13) Distinguished Scholastic Also, the merit compensation system designates additional DoD laboratories Achievement Appointment Authority. allowed for compensation growth not as STRLs for the purpose of designing based on merit. It would be most 2. Overview and implementing personnel beneficial to only have one performance management demonstration projects for The NDAA for FY 2010 not only system, that being the GS system. conversion of employees from the designated new STRLs but also repealed Response: Public Law 111–84, section personnel system which applied on the National Security Personnel System 1105, prevents ARDEC from returning to October 28, 2009. The ARDEC is listed (NSPS) mandating conversion of NSPS the GS system and requires ARDEC to in subsection 1105(a) of NDAA for FY covered employees to their former develop a Lab Demo. The ARDEC Lab 2010 as one of the newly designated personnel system or one that would Demo has been designed to capture the STRLs. have applied absent the NSPS. A positive features of various personnel DATES: Implementation of this number of ARDEC employees are management systems/projects in use demonstration project will begin no covered by the NSPS and must be today. Specifically, in reference to this earlier than March 9, 2011. converted to another personnel system. comment, the ARDEC Lab Demo design FOR FURTHER INFORMATION CONTACT: Section 1105 of NDAA for FY 2010 is founded on the principle that ARDEC: Ms. Christina Duncan, U.S. stipulates the STRLs designated in standard classification criteria are the Army ARDEC, Human Capital subsection (a) of section 1105 may not basis for both performance assessment Management Office, Building 1, 3rd implement any personnel system, other and pay setting. In reference to the Floor, RDAR–EIH, Picatinny Arsenal NJ than a personnel system under an comment that it would be beneficial to 07806–5000. appropriate demonstration project as have only one performance system, the DoD: Ms. Betty Duffield, CPMS–PSSC, defined in section 342(b) of Public Law ARDEC Lab Demo performance Suite B–200, 1400 Key Boulevard, 103–337, as amended, without prior management system is designed to be Arlington, VA 22209–5144. congressional authorization. In addition, the performance management system for SUPPLEMENTARY INFORMATION: any conversion under the provisions of the ARDEC workforce. No change to the section 1105 shall not adversely affect Lab Demo plan is required. 1. Background any employee with respect to pay or any (2) Comment: The unions have Since 1966, many studies of DoD other term or condition of employment; already rejected participation in this Lab laboratories have been conducted on shall be consistent with section 4703(f) Demo, as they have rejected laboratory quality and personnel. of title 5 United States Code (U.S.C.), participation in the previous two Almost all of these studies have and shall be completed within 18 attempts to revise the General Schedule recommended improvements in civilian months after enactment of NDAA for FY system. All implications that this Lab personnel policy, organization, and 2010. Therefore, since ARDEC is both Demo is a full workforce management management. Pursuant to the authority designated an STRL by section 1105 of process need to be stricken from the provided in section 342(b) of Public NDAA for FY 2010 and has NSPS descriptions and pay bands. This

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proposal is only for the management matures, the full expectation is that B. Participating Employees officials at ARDEC, and should be employees will be satisfied. No change Two similar comments regarding described as such, particularly when to the initial Federal Register notice is participating employees were received addressing the expected benefits on required. and the response is provided below. page 55202. (6) Comment: I believe that this (1) Comment (two similar comments Response: The public law directed system is inherently unfair and not in combined): ARDEC should have the ARDEC to develop a personnel system line with standard US Government right to exclude When Actually that could cover the majority of the personnel practices. This system Employed (WAE), Summer Hires (i.e., workforce, not just management suggests ‘‘pay for contribution.’’ STEPs) and Co-ops (i.e., SCEPs) from officials. The Lab Demo plan was Contribution level is inherently tied to Lab Demo coverage at least until the designed to cover both bargaining and job assignment. A supervisor, upper bargaining unit employees are included. non-bargaining unit eligible employees. management, or fiscal events could ARDEC needs to be able to use The intent is for ARDEC to continue to dictate responsibility reduction, at no discretion on that point. pursue Union acceptance. Upon initial fault of an employee, which would Response: Public Law 111–84, section conversion, there will be both non- eventually result in a lower contribution 1105(b) indicates that the personnel of management and management rating and reduced salary. A salary each STRL designated in section employees within the ARDEC in Lab reduction without merit is not fair and 1105(a), which includes ARDEC, are to Demo positions spanning the full will definitely not result in ‘‘increased convert to an appropriate demonstration spectrum of the pay bands and employee satisfaction.’’ project as referred to in Public Law 103– associated occupational families. No Response: The ARDEC Lab Demo 337, section 342(b). These conversions change to the Lab Demo plan is project uses a contribution-based must be consistent with title 5 U.S.C. required. compensation system in that both 4703(f) and be completed before April (3) Comment: Return to the employees’ contributions assessments 28, 2011. The conversion provisions do Acquisition Demonstration project and subsequent base pay are determined not apply to prevailing rate employees without any modifications. or senior executives. Thus, the Response: Public Law 111–84, section by reference to the classification system criteria. In as much as the pay setting categories of employees mentioned in 1105, prevents ARDEC from returning to the comment are covered by the the Acquisition Demonstration Project and contribution evaluation are one in the same, employees’ pay would be conversion requirements of Public Law and requires ARDEC to convert eligible 111–84, section 1105(b). employees to a personnel system under comparable to the level of work and an appropriate demonstration project as contribution results. Position C. Pay Administration referred to in section 342(b) of Public classification defines job responsibilities and, therefore, base pay level. It is Eight comments regarding Pay Law 103–337, October 5, 1994. No Administration were received and the change to the Lab Demo plan is expected that all employees will perform, at a minimum, to their position responses are provided below. necessary. (1) Comment: Reassignments to responsibilities. Supervisors assign (4) Comment: If as stated, ‘‘The positions of similar responsibility objectives and work assignments primary benefit expected from this should not result in an increase to base commensurate with position demonstration project is greater pay. organizational effectiveness through responsibilities. No change to the Response: The ARDEC Lab Demo does increased employee satisfaction.’’ Why Federal Register notice is required. not provide for pay increases for was employee opinion on this (7) Comment: This system does not reassignments to positions with similar modification not considered? capture nor reward the experience and responsibilities. However, pay increases Response: As an integral part of the expertise brought to an organization by can be granted when a reassignment process used to develop the ARDEC Lab seasoned professionals. A 5-year significantly increases the complexity, Demo Project, a number of employee employee who mentors five 1-year responsibility, and authority or for other outreach venues were used, including employees could be considered to compelling reasons. Such an increase is Town Halls, ARDEC Web-Site, Focus contribute more than a 30-year subject to the specific guidelines Groups, Union Meetings and ARDEC employee who mentors three 5-year established by the PMB. No change to Lab Demo mail box to solicit employee employees. In measuring and rewarding the Federal Register notice is required. ideas and recommendations for current ‘‘contribution’’ it negates and (2) Comment: The Federal Register improvement. As a result of these fails to reward experience and wisdom. does not state anything about overtime. outreach initiatives significant changes Response: The ARDEC Lab Demo The only good thing about NSPS, you were incorporated into the Lab Demo project uses a contribution-based actually got time and a half for anything project plan. No change to the initial compensation system. In as much as the over 8 hours. Lab Demo Federal Register notice is pay setting and contribution evaluation Response: The NSPS overtime feature needed. are one in the same employees base pay had been considered for implementation (5) Comment: The fact that the unions would be comparable for the work they in our initial Federal Register notice but non-concur suggests that employees will perform and the value of their was determined to be inconsistent with not be satisfied with the proposed contributions. The system is not existing public law that established Lab system. designed to reward employees for Demo projects and therefore not Response: The ARDEC Lab Demo experience and wisdom alone but rather included. The ARDEC Lab Demo will be project has been designed to capture the how they apply wisdom and experience using the existing GS rules for overtime. positive features of the personnel to their job. In addition, as in other No change to the Lab Demo plan is management systems/projects in use personnel systems, employee needed. today with a key objective being compensation is not based on amount of (3) Comment: It is not clear if the employee acceptance and satisfaction. workload but rather the level of work contribution bonus is continuous bonus By incorporating employee suggestions accomplished successfully. No change or a onetime bonus. into the design and with continuing to the Federal Register notice is Response: The Contribution Bonus is employee feedback as the design required. a onetime payment to be paid out on a

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yearly basis corresponding to the annual Response: It is a requirement for the expense of base pay. While the pay rating cycle. Language has been changed conversion from the National Security is capped, the base pay should rise in the Lab Demo plan paragraph Personnel System and the intent of the relative to the Local Market III.C.5.c(2), from ‘‘ * * * is a lump sum Lab Demo project to ensure an employee Supplement. If one were to transfer to payment * * * ’’ to ‘‘ * * * is a onetime does not have any loss in pay on a lower cost of living area where the lump sum payment * * *.’’ conversion to the project regardless if local market supplement was less, then (4) Comment: It is not clear how and the employee is on a permanent or a one would end up with reduced pay when the General Pay Increase (GPI) temporary assignment prior to even after they have not received full or will be decreased for employees that fall conversion. Employees on a temporary any pay raises for prior years due to the above the Normal Pay Range or above assignment will convert back to their executive level cap. It is unclear if the the upper rail. permanent position of record and then same situation exists under the new Response: Employees who fall above convert to a new temporary assignment demo project but this issue should be the Normal Pay Range or above the within the demonstration project. In fixed. upper rail may have their GPI partially these cases, section 1113(c)(1) would Response: The situation as described reduced or denied. The specific rules also apply to the temporary position, in the comment above will not occur in covering when and how much the GPI i.e., there will be no loss or decrease in the ARDEC Lab Demo project. In the Lab is reduced is a responsibility of the pay as a result of the conversion of Demo project an employee’s base pay PMB. These rules will define under positions and employees from NSPS. may rise to the annual GS–15, Step 10, what circumstances the GPI will be This is already covered in paragraph base pay cap. Locality pay adjustments denied or, if reduced, the amount of V.B.2 of the Federal Register notice and are added to this base pay and are reduction. To address this concern, the no change is required. subject to the overall total Executive Federal Register notice will be changed (2) Comment: For paragraph III.F.1, Level IV salary cap. The ARDEC Lab to reflect that the PMB will be change ‘‘Employees whose performance Demo project uses base pay for responsible for establishing the rules for is acceptable and not on pay retention contribution calculations/payouts instances where implementation and will receive the full annual general pay adjustments. All salary adjustments at operating procedures are required such increase and the full locality pay.’’ to, the end of a rating cycle are applied to as withholding GPI for employees that ‘‘Employees whose performance is base pay and limited to the base pay fall above the Normal Pay Range (NPR). acceptable and not on pay retention will salary caps for each of the pay bands. The Lab Demo plan paragraph II.G.2 is receive the full annual general pay Locality pay and other salary changed from ‘‘At a minimum, duties increase and the full locality pay, with adjustments are added as appropriate executed by the board will be to:’’ to the exception of those employees and are also subject to overall pay cap ‘‘The PMB is responsible for establishing covered under paragraph III.C.5.c.(3).’’ limitations, more specifically Executive the implementation and operating rules Response: Employees whose Assessed Level IV. This comment does not as required. At a minimum, duties Overall Contribution Score falls in the require any change to the Federal executed by the board will be to:’’. Also, ‘‘above the rail’’ region may not be Register notice. a new paragraph II.G.2.s has been added officially identified as ‘‘unacceptable;’’ E. Conversion stating, ‘‘Establish rules and procedures however, their GPI is subject to being for denying or reducing GPI for withheld or reduced. Therefore, for Five comments regarding conversion employees whose contributions are in clarity and completeness the Federal were received and the responses are region A (above the NPR).’’ Register paragraph III.F.1 has been provided below. (5) Comment: Will employees that fall changed as follows: change ‘‘Employees (1) Comment (two similar comments above the rail receive the full locality whose performance is acceptable and combined): Clarify what is the deciding pay increase regardless of GPI not on pay retention will receive the full factor for putting a YF–2 supervisor in reduction? annual general pay increase and the full Pay Band III or Pay Band IV? Page 55203 Response: Yes, employees will receive locality pay’’ to, ‘‘Employees whose (first Federal Register notice) shows locality pay regardless of a reduction in performance is acceptable and not on that a first-level supervisory position GPI. Locality pay is separate from the pay retention will receive the full would be a pay band IV, however, Table Contribution-Based Compensation annual general pay increase and the full 1—Equivalent NSPS pay bands shows System. No change to the Federal locality pay, with the exception of those YF–2 (first-level supervisory position) Register notice is required. employees’ whose rating is as described in both Pay Band III and Pay Band IV. (6) Comment: Traditionally employee in paragraph III.C.5.c.(3).’’ I thought it was equal pay for equal recognition is not sufficient compared to work? private industry. Recommend raising D. Base Pay Response: Employees will convert to the invention disclosures and patent One comment regarding base pay was the appropriate band based on position award amounts to a larger limit more received and the response is provided classification. Table 1 identifies the comparable to private industry. below. possible bands to which employees may Response: Appreciate your comment, (1) Comment: For persons capped at convert. The verbiage on Page 55203 is however after further review, employee the top rate under current NSPS solely intended to provide examples of recognition for invention disclosures equivalent to GS–15, Step 10, + 5% or the types of positions that could be in and patents is not a Federal Register $165,300: each band but they are not absolute. notice issue. These awards are Since the executive level cap does not Case in point, an employee’s position controlled at the component level rise by the cost of living and the can be a first-line supervisor position in (Army) and will be further investigated Locality Market supplement percentage pay bands II, III, IV, or V depending on through other channels. No change to is set, then the base pay does not go up the position’s responsibilities and type the Federal Register notice is required. as much as it normally would. It seems and complexity of work supervised. The (1) Comment: The Federal Register unreasonable and unfair, that the Federal Register notice has been does not seem to adequately address pay distribution of pay between the local changed to better reflect the potential setting for employees on temporary market supplement and base pay which position matching upon conversion. assignments at the time of transition. comprises the full salary should be at Paragraph III.A.1 has been changed by

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adding the following at the end of the example, if an employee would have Response: The factors, descriptors, paragraph: ‘‘The following descriptions been otherwise promoted but and discriminators are intended to be of positions for the bands in the demonstration project pay band used as guides for determining the level occupational families illustrate placement no longer provides the of contribution for each employee across examples of the types of positions opportunity for promotion, a pay equity all bands and occupational families. included.’’ In addition, to ensure pay adjustment may be authorized provided They are not intended to, nor does the equity, it is the intent to set the base pay the adjustment does not cause the Federal Register notice prescribe, for an employee at the minimum base employee’s base pay to exceed the changes to the legal definition of the pay of the pay band to which the maximum rate of his or her assigned pay appropriation laws. However, additional employee’s position is classified. For band and the employee’s performance clarity has been achieved by revising clarification the Federal Register notice warrants an adjustment. The decision to some of the Descriptors and has been changed as follows: In section grant a pay equity adjustment is at the Discriminators in Appendix C of the V.B.2, the following has been added to sole discretion of the ARDEC Director Federal Register notice. the end of the first paragraph, ‘‘If the and is not subject to employee appeal G. Pay Pool Funding employee’s base pay is less than the procedures. minimum rate for his/her position’s During the first 12 months following One comment regarding Pay Pool assigned demonstration project pay conversion, management may approve Funding was received. The response is band, the base pay rate will be increased an adjustment of not more than 20 provided below. to the minimum of that pay band.’’ percent, provided the adjustment does (1) Comment: The 2 percent base pay (2) Comment: Conversion from NSPS not cause the employee’s base pay to and 1 percent bonus funding levels is not redressing the problems created exceed the maximum rate of his or her appear to be too low for proper by the GS–Demo–NSPS–Demo sequence assigned pay band and the employee’s recognition of the workforce. at ARDEC over the last 5–10 years. The performance warrants an adjustment, to Response: The Federal Register notice Acquisition Demo created GS–14/15 mitigate compensation inequities that identifies these pay pool funding levels bands, where once selected, an may be caused by artifacts of the process as minimums and permits the ARDEC employee could move up, without of conversion into STRL pay bands.’’ Director to increase these funding levels as needed. These minimums are base competition, through the entire pay (4) Comment: Recommend deleting scale of the band. In NSPS, ARDEC pay pool funding levels, not the limit to the last part of the paragraph V.A.5.a. ‘‘gated’’ some of these employees, such the total compensation adjustments for and V.B.7.a, ‘‘and may have their initial that their max pay would be capped at an individual employee. The system period extended in accordance with the essentially a GS–14, Step 10, level. In does not preclude other recognition/ demonstration project regulation and other words, the full range of awards to employees that are not part of implementing issuances.’’ This is a opportunity was taken away from some the CBCS compensation. No change to change in contract with a person as that people. It would seem reasonable that the Federal Register notice is required. person was promoted with the under this Lab Demo proposal, any understanding of only having a one-year employee who was competitively H. Pay Bands probationary period and this is not selected for a GS–14/15 band in the Three comments regarding Pay Bands past, be converted to a Pay Band V considered reasonable. were received; and the responses are under this Lab Demo. Response: It has been determined that provided below. Response: Employees will convert to to change an employee’s original (1) Comment: (Two similar comments the appropriate band based on probationary period contract, as defined received.) Gating within bands, similar classification for the position they when hired, during conversion to the to what was done under the NSPS occupy at the time of conversion. Table ARDEC Lab Demo would be an system is highly undesirable. The 1 (Pay Band Charts) identifies the unreasonable change to the employee’s system that is put in place should possible bands to which employees may employment contract. The Federal prevent ARDEC managers from setting convert. Any employee that has a base Register notice paragraphs V.A.5.a. and arbitrary limits on the pay bands and pay that exceeds the band will be place V.B.7.a, have been changed by deleting limiting the flexibility. on indefinite pay retention until such the last part of the paragraph, ‘‘and may Response: The ARDEC Lab Demo time as their pay falls within the Normal have their initial period extended in project has reduced the need for gating Pay Range. No change to the Federal accordance with the demonstration (control points) within a band by Register notice is required. project regulation and implementing placing salary limits on bands that are (3) Comment: Paragraph V.B.4, issuances.’’ commensurate with the level and Transition Equity. Recommend this F. Contributing Factors difficulty of work assignments across paragraph also apply to GS employees the occupational families for the given under paragraph V.A. Two similar comments regarding bands. The notice does have provisions Response: It has been determined that Contributing Factors were received; and to use control points should the need adding the provision of Transition the response is provided below. arise in the future based on experience Equity in the NSPS conversion section (1) Comments (two similar comments in operating the system to ensure to the GS conversion section of the received): The Contribution-Based employees are appropriately paid for the Federal Register notice is appropriate. Compensation System (CBCS) is based work they perform. No change to the The notice has been changed by adding on 6 factors, which duplicate to a great Federal Register notice is required. the following paragraphs to the end of degree the GS Position Classification (2) Comment: The equivalent NSPS section V.A. as a new paragraph 6: system, and introduce duplication and Pay Band by Occupational Family Table ‘‘6. During the first 12 months unnecessary administrative costs. In one appears to be missing the YH category following conversion to the case, Factor 6 on Resource Management personnel and there are at least two at demonstration project, management actually proposes to add more words, Picatinny, ARDEC. Where do they fit in? may approve certain adjustments within and more confusion, to the legal Response: There was an oversight in the pay band for pay equity reasons definition of appropriation laws (page the initial Federal Register notice. A stemming from conversion. For 55205). revision to this table was made by

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adding the NSPS YH category into Table Lab Demo late in the rating cycle this add the following to paragraph III.D.9, 1 (Equivalent NSPS Pay Bands). may be an issue. ‘‘When a supervisor determines to Additionally, the General Health Response: The Federal Register notice reassign a probationary supervisor to a Science Series (0601) was moved from did not adequately account for non-supervisory position during the the Business and Technical to the conducting midpoint reviews for probationary period because his/her Engineering and Science Occupational employees entering the Lab Demo work performance or conduct is Family in Appendix B of the Federal project late in the rating cycle. The unacceptable, the probationary Register notice to accommodate notice has been changed as follows: In employee’s supervisor will provide employees in the YH category. paragraph ‘‘III.C.4 Annual Appraisal written notification subject to higher Cycle and Rating Process,’’ the verbiage level management approval.’’ I. Personnel Management Board in the third paragraph was changed One comment regarding the Personnel from ‘‘At least one review, normally the M. Position Classification Management Board was received. The mid-point review, will be documented One comment regarding Position response is provided below. as a progress review.’’ to, ‘‘At least one Classification was received. The (1) Comment: It appears that the PMB review, normally the mid-point review, response is provided below. is assuming responsibilities that should will be documented as a progress (1) Comment: Should specialty codes reside with Line Management. The review. Exceptions may be established be used for Lab Demo position responsibility of each should be clearly by the PMB and approved by the descriptions? Can any position delineated. Suggest deleting the ARDEC Director based on employees description be established without following paragraphs as these are more that will be in the Lab Demo for less them? Suggest changing from ‘‘will’’ to management functions to be performed than 180 days at the end of the rating ‘‘may’’ or remove from the Federal by the line managers than the PMB. cycle.’’ Register notice. II.G.2.m. ensure in-house budget (2) Comment: The scoring system Response: Concur with the discipline seems unbalanced over the bands with recommendation to change ‘‘will’’ to II.G.2.n. manage the number of different levels to score. The program ‘‘may’’ in paragraph III.B.2. should provide for more levels for each employees by Occupational Family and N. Reduction in Force pay band. pay band level, either by adding a ‘‘very Response: After further review the high’’ category to each or use of the five Three comments regarding reduction following management functions were bands as in Level II. in force were received. The responses determined to be not required for the Response: Employees may score are provided below. PMB as they are line management anywhere within the full spectrum of (1) Comment: Do Specialty Work responsibilities as such. The following scores for their occupational family. The Codes have any effect if ARDEC were to paragraphs were deleted: ‘‘very high’’ categorical rating exists at conduct a reduction in force? II.G.2.m. ensure in-house budget the top pay band level for each Response: The Lab Demo Federal discipline. occupational family and provides the Register notice does not mandate the II.G.2.n. manage the number of potential for employees in a top pay use of Specialty Work Codes on position employees by Occupational Family and band level to score above their band descriptions; and, therefore, the notice pay band. level as can employees in other band will not specifically make the use of levels. The scoring range for employees Specialty Work Codes mandatory when J. Employee Developmental Programs in pay band II of the Engineer and conducting a reduction in force (RIF). One comment regarding Employee Science and Business and Technical No change to the Federal Register Developmental Programs was received; occupational family is greater than other notice is required. and the response is provided below. pay bands reflecting the broader range (2) Comment: Paragraph III.H— (1) Comment: It is suggested that the (equivalent to GS–05 to GS–11 grades) Recommend changing the RIF credit language in paragraph II.G.2.o.— of contribution levels contained in that lines to define them as 3 points below ‘‘Developmental Opportunity Programs’’ be pay band. The additional categorical the Expected Overall Contribution Score changed to ‘‘Employee Developmental ratings (Medium High and Medium (EOCS). Using 94 percent would mean Programs’’ to be consistent with Low) in pay band II facilitate the ability 3 Overall Contribution Score (OCS) language of paragraph III.G. to assess and categorize employee points for an EOCS of 50 and 6 OCS Response: There is an inconsistent contributions within pay band II. No points for an EOCS of 100. Also, since use of terminology in the Initial Federal change to the notice is needed. ratings are not given to people on a Register notice. Developmental Contribution Improvement Period (CIP), Opportunity Programs should be L. Probationary Periods recommend deleting the requirement for changed to Employee Developmental One comment regarding Probationary OCS to be less than 92 percent (actually Programs for consistency. The Federal Periods was received. The response is 4 points) as well as CIP to get 0 years Register notice has been changed as provided below. of credit. Define the year as the year that follows: paragraph II.G.2.o.—Changed (1) Comment: Consider adding written the employee enters a CIP, so as not to from ‘‘Developmental Opportunity documentation for reassignments of penalize two years should the CIP Programs’’ to ‘‘Employee Developmental supervisors on probationary periods overlap two years. Programs’’. similar to what is being done for the Response: The use of percent was in employee probationary period. error and the intent was to define the K. Annual Appraisal Cycle Response: There is an inconsistent years of service augmentation based Two comments regarding Annual requirement for written documentation upon the delta between an employee’s Appraisal Cycle were received; and the for different probationary periods. It is Assessed Overall Contribution Score responses provided below. appropriate to document the (AOCS) and an employee’s EOCS at the (1) Comment: The Contribution-Based supervisory probationary period end of a rating cycle. Additionally, the Compensation System requires a mid- reassignments in the same manner as Federal Register notice has been point review be conducted for all required for the employee probationary adjusted (see service augmentation rule employees. For employees entering the period. The notice has been modified to 3 below) to clarify when zero years of

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service augmentation are applied. The to the Federal Register notice is implementation need to be obtained and following are the service augmentation required. used as a comparable set of figures. The rules: O. Hiring Authority operating costs of NSPS, meaning the 1. Seven (7) years of service paperwork, the administrative support One comment regarding Hiring augmentation for each year the AOCS is costs, the automation costs, the Authority was received. The response is greater than or equal to the EOCS minus employee and supervisor time spent ≥ ¥ provided below. 3 (AOCS EOCS 3). (1) Comment: For paragraph III.D.3.a, feeding the system need to be compiled. 2. Four (4) years of service change the beginning to ‘‘The ARDEC There needs to be some realistic augmentation for each year the AOCS is has and is forecasted to have for the comparison between the value of a 2% less than the EOCS minus 3 (AOCS < near future an urgent need.* * *’’ This incentive to the life cycle cost of EOCS ¥3). is not a one time need, but will operating a system. The investment 3. Zero (0) years of service continue. ARDEC has made in its previous augmentation for each year the Response: The verbiage in the Federal attempts to shed the GS system must by employee was placed on a CIP at any Register notice does not address the now total millions. By the way, the $85k time during the rating cycle. anticipated near future hiring need. The shown does not cover the salary of the following rewording provides for the (3) Comment: The RIF procedures lead admin officer for the project, so it current and future hiring needs of have a predictable outcome on the can hardly be right. ARDEC. Change paragraph III.D.3.a from rating process. If ARDEC gets into a long Response: The projected annual The ARDEC has an urgent need * * *’’ downsizing cycle, such as in the 1990s, expenses in the initial Federal Register to ‘‘The ARDEC has and is forecasted to rating will be progressively exaggerated, notice were determined based on have for the foreseeable future an urgent until almost all employees get the seven benchmarks of other lab demo projects need.* * *’’ This is not a one time need, years of extra credit. This will return the and do not include the normal but will continue. workforce to the standard, GS RIF managerial labor expenses typically ranking of tenure, veterans’ preference P. Projected Annual Expenses incurred in the execution of other and years of service. One comment regarding Projected personnel systems. Subsequently, Response: The Lab Demo project has Annual Expenses was received; and the ARDEC has obtained and developed been designed to improve the discipline response is provided below. additional cost data and revised Table 6 of the rating process and reduces the (1) Comment: The costs need to be re- of the Federal Register notice as possibility of inflated ratings. No change visited and validated. NSPS costs of 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 E. Participating Employees and Union A. Overview Representation B. Evaluation Model Flexibilities published in this Federal F. Project Design C. Evaluation Register notice shall be available for use G. Personnel Management Board D. Method of Data Collection by the STRLs previously enumerated in III. Personnel System Changes IX. Demonstration Project Costs section 9902(c)(2) of title 5, United A. Pay Banding A. Cost Discipline B. Classification B. Developmental Costs States Code, which are now designated C. Contribution-Based Contribution System X. Required Waivers to Law and Regulation in section 1105 of the NDAA for FY (CBCS) A. Waivers to Title 5, U.S.C. 2010, Public Law 111–84, 123 Stat. D. Hiring Authority B. Waivers to Title 5, CFR 2486, October 28, 2009, if they wish to E. Internal Placement Appendix A: ARDEC Employees by Duty adopt them in accordance with DoD F. Pay Administration Locations Instruction 1400.37; pages 73248 to G. Employee Development Appendix B: Occupational Series by 73252 of volume 73, Federal Register; H. Reduction-in-Force (RIF) Procedures Occupational Family Appendix C: Contribution Factors and Level and after the fulfilling of any collective IV. Implementation Training V. Conversion Descriptors bargaining obligations. A. Conversion From the GS System to the Appendix D: Intervention Model Dated: January 13, 2011. Demonstration Project I. Executive Summary Morgan F. Park, B. Conversion From NSPS to the Demonstration Project The Armament Research, Alternate OSD Federal Register Liaison C. Conversion From Other Personnel Officer, Department of Defense. Development and Engineering Center Systems includes the ARDEC organizations at Table of Contents D. Movement Out of the Demonstration Picatinny Arsenal, NJ; Watervliet Project Arsenal, NY; Rock Island Arsenal, IL; I. Executive Summary VI. Other Provisions II. Introduction A. Personnel Administration and ARDEC employees with duty A. Purpose B. Automation stations at other sites. The intent of this B. Problems With the Present System C. Experimentation and Revision demonstration project is to cover all C. Changes Required/Expected Benefits VII. Project Duration employees, subject to bargaining unit D. Participating Organizations VIII. Evaluation Plan agreement.

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The ARDEC provides integrated effective, and timely processes and inadequate communication of science, technology, and engineering methods to acquire and retain a highly- performance expectations and feedback solutions to address the armament, creative, productive, educated, and on performance. There are perceived munitions, and fire control needs for the trained workforce. This project, in its inaccuracies in performance ratings Army. The ARDEC’s core competency is entirety, attempts to improve with general agreement that the ratings working with weapon systems at all employees’ opportunities and provide are inflated and often unevenly stages of the materiel life cycle. The managers, at the lowest practical level, distributed by grade, occupation, and ARDEC maintains the following the authority, control, and flexibility geographic location. fundamental capabilities: needed to achieve the highest quality The need to change the current hiring (1) Armaments and Weapons; organization, and hold them system is essential as the ARDEC must (2) Fire Control; accountable for the proper exercise of be able to recruit and retain scientific, (3) Energetics, Warheads, and this authority within the framework of engineering, acquisition support and Ammunition; an improved personnel management other professionals and skilled (4) Ammunition Logistics; system. technicians. The ARDEC must be able to (5) Explosive Ordnance Disposal; and Many aspects of a demonstration compete with the private sector for the (6) Homeland Defense Technology. project are experimental. Modifications best talent and be able to make job offers In order to sustain these unique may be made from time to time as in a timely manner with the attendant capabilities, the ARDEC must be able to experience is gained, results are bonuses and incentives to attract high hire, retain, and continually motivate analyzed, and conclusions are reached quality employees and be in compliance enthusiastic, innovative, and highly- on how the system is working. The with public law. educated scientists and engineers, provisions of this project plan will not Finally, current limitations on supported by accomplished business be modified, or extended to individuals training, retraining, and otherwise management and administrative or groups of employees not included in developing employees make it difficult professionals, as well as a skilled the project plan without the approval of to correct skill imbalances and to administrative and technical support the DUSD(CPP). The provisions of DoDI prepare current employees for new lines staff. 1400.37 are to be followed for any of work to meet changing missions and The goal of the project is to enhance modifications, adoptions, or changes to emerging technologies. the quality and professionalism of the this demonstration project plan. The ARDEC’s proposed personnel ARDEC workforce through B. Problems With the Present System management demonstration project, by improvements in the efficiency and building on previous strengths and effectiveness of the human resource The ARDEC has participated in a addressing shortcomings, is intended to system. The project interventions will number of personnel systems and provide the highest potential for strive to achieve the best workforce for personnel demonstrations over the past movement to a single system that will the ARDEC mission, adjust the 25 years. These include the current Civil meet the needs of the ARDEC and all its workforce for change, and improve Service General Schedule (GS) system employees. workforce satisfaction. With some (80 percent of ARDEC employees are C. Changes Required/Expected Benefits modifications, this project mirrors the currently in this GS system); Acq Demo STRL personnel management Project from 2001 to 2006; and NSPS The primary benefit expected from demonstration project, designed by the from 2006 to the present (20 percent of this demonstration project is greater ARDEC employees are currently in U.S. Army Edgewood Chemical organizational effectiveness through NSPS). The ARDEC’s experience with Biological Center (ECBC). The ARDEC increased employee satisfaction. The each of these prior personnel systems Demonstration Project was built on the long-standing Department of the Navy was that, although each had positive ECBC concepts and uses much of the ‘‘China Lake’’ and National Institute of features, each also had negative aspects. same language; however, it includes Standards and Technology (NIST) As a result of the ARDEC’s experience, several concepts from the Air Force demonstration projects have produced it was determined that certain features Research Laboratory (AFRL), Naval impressive statistics on increased job from the earlier systems were Research Laboratory (NRL), and the DoD satisfaction and quality of employees worthwhile to carry forward and certain Civilian Acquisition Workforce (Acq versus that for the Federal workforce in shortcomings/limitations needed to be Demo) personnel management general. This project will demonstrate corrected or alleviated. demonstration projects. Of significant that a human resource system tailored to The current Civil Service GS system note is the inclusion of a contribution- the mission and needs of the ARDEC has existed in essentially the same form based compensation and assessment workforce will facilitate increased: since 1949. Work is classified into one system similar to that used in the Acq 1. Quality in the workforce and of fifteen overlapping pay ranges that Demo program. The results of the resultant products; correspond with the fifteen grades. Base project will be evaluated within five 2. timeliness of key personnel pay is set at one of those fifteen grades years of implementation. processes; and the ten interim steps within each 3. retention of excellent performers; II. Introduction grade. The Classification Act of 1949 4. success in recruitment of personnel rigidly defines types of work by A. Purpose with critical skills; occupational series and grade, with very 5. management authority and The purpose of the project is to precise qualifications for each job. This accountability; demonstrate that the effectiveness of system does not quickly or easily 6. satisfaction of customers; and DoD STRLs can be enhanced by respond to new ways of designing work 7. workforce satisfaction. expanding opportunities available to and changes in the work itself. An evaluation model was developed employees and by allowing greater The performance management model for the Director, Defense, Research, and managerial control over personnel that has existed since the passage of the Engineering (DDR&E) in conjunction functions through a more responsive Civil Service Reform Act in 1980 has with STRL service representatives and and flexible personnel system. Federal come under extreme criticism. the Office of Personnel Management laboratories need more efficient, cost Employees frequently report there is (OPM). The model will measure the

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effectiveness of this demonstration benchmarking and other sensing o. monitor the evaluation of the project, as modified in this plan, and sessions were completed to determine project; will be used to measure the results of the unique ARDEC needs and p. establish and manage the specific personnel system changes. requirements. One key departure from Accelerated Compensation for the ECBC model is the shift from their Developmental Positions (ACDP); and D. Participating Organizations Performance Management System to a q. Establish rules and procedures for The ARDEC is comprised of Contribution-Based Compensation denying or reducing GPI for employees employees headquartered at Picatinny System (CBCS), similar to the Acq Demo whose contributions are in region A Arsenal, NJ. The ARDEC employees are project. (above the NPR). geographically dispersed at the locations shown in Appendix A. It G. Personnel Management Board (PMB) III. Personnel System Changes should be noted that some sites 1. ARDEC will create a PMB to A. Pay Banding currently employ fewer than ten people oversee and monitor the fair, equitable, and that the sites may change should and consistent implementation of the The design of the ARDEC pay banding ARDEC reorganize or realign. Successor provisions of the demonstration project system takes advantage of the many organizations will continue coverage in to include establishment of internal reviews performed by DA, DoD, OPM, the demonstration project. controls and accountability. Members of and others. The design also has the the board will be senior leaders benefit of being preceded by exhaustive E. Participating Employees and Union appointed by the ARDEC Director. As studies of pay banding systems Representation needed, ad hoc members (such as labor currently practiced in the Federal This demonstration project will cover counsel, human resource sector, to include those practiced by the approximately 3,400 ARDEC civilian representatives, etc.) will serve as China Lake experiment and NIST. The employees under title 5 U.S.C. in the advisory members to the board. ARDEC pay banding system will replace occupational series listed in Appendix 2. The PMB is responsible for the current GS grade and NSPS pay B. The project plan does not cover establishing the implementation and band structures. members of the Senior Executive operating rules as required. At a 1. Occupational Families Service (SES), Scientific and minimum, duties executed by the board Professional (ST) employees, Federal will be to: Occupations with similar Wage System (FWS) employees, a. Determine the composition of the characteristics will be grouped together employees presently covered by the pay pools in accordance with the into one of three Occupational Families Defense Civilian Intelligence Personnel guidelines of this proposal and internal with career paths and pay band levels System (DCIPS), or Department of Army procedures; designed to facilitate pay progression. (DA), Army Command centrally funded b. review operation of pay pools and These Occupational Families are interns and centrally funded students provide guidance to pay pool managers; Engineering and Science (E&S), employed under the Student Career c. oversee disputes in pay pool issues; Business and Technical (B&T), and Experience Program (SCEP). d. formulate and manage the civilian General (GEN). Each Occupational The International Federation of pay pool budget; Family’s career path will be composed Professional and Technical Engineers e. formulate and manage the civilian of pay bands corresponding to bonus pool budget; (IFPTE) Local 1437; the American recognized advancement and career f. determine hiring, reassignment, and Federation of Government Employees progression patterns within the covered promotion base pay as well as (AFGE) Local 225; the American occupations. These career paths and exceptions to Contribution-Based their pay bands will replace the NSPS Federation of Government Employees Compensation System base pay (AFGE) Local 15; and the National pay band structure and the individual increases; GS grades and will not be the same for Federation of Federal Employees (NFFE) g. conduct classification review and Local 2109 represent a majority of the each Occupational Family. Each oversight, monitor and adjust Occupational Family will be divided ARDEC employees. Of those employees classification practices, and decide assigned to the ARDEC, approximately into three to six pay bands. Employees board classification issues; track into an Occupational Family based 75 percent are represented by labor h. approve major changes in position on their current OPM classification unions. structure; To foster union acceptance of the i. address issues associated with series as provided in Appendix B. All ARDEC’s proposed personnel multiple pay systems during the employees are initially assigned to the demonstration project, initial demonstration project; Occupational Family and pay band in discussions with the four unions began j. manage standard Contribution which their comparable grade fits based in November 2009. The ARDEC will Factors and Descriptors; on position classification using the GS continue to fulfill its obligation to k. identify and implement classification standards. Comparison to consult and/or negotiate with all labor improvements to demonstration project the GS grades is used in setting the organizations in accordance with 5 procedures and policies; upper and lower base pay dollar limits U.S.C. 4703(f) and 7117, as applicable. l. review requests for Supervisory/ of the pay band levels with the Team Leader Base Pay Adjustments and exception of Pay Band VI of the E&S F. Project Design provide recommendations to the Occupational Family (refer to III.A.3). In October 2009, the 2010 National Director; The current occupations have been Defense Authorization Act directed the m. develop policies and procedures examined; and their characteristics and ARDEC to transition to a laboratory for administering Employee distribution have served as guidelines in personnel management demonstration Developmental Programs; the development of the three project. Following review and analysis n. ensure that all employees are Occupational Families. The following of existing DoD demonstration projects, treated in a fair and equitable manner in descriptions of positions in the pay the ARDEC senior leadership decided to accordance with all policies, bands of each occupational family adapt the ECBC model, one of the latest regulations, and guidelines covering this illustrate examples of the types of Army projects. A series of focus groups, demonstration project; positions included.

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a. Engineering and Science (E&S) (Pay b. Business and Technical (B&T) (Pay c. General Support (GEN) (Pay Plan Plan DB): This Occupational Family Plan DE): This Occupational Family DK): This Occupational Family includes includes positions as defined in includes positions as defined in positions as defined in Appendix B. Appendix B. Specific course work or Appendix B. Employees in these Employees in these positions may or educational degrees are required for positions may or may not require may not require specific course work or these occupations. Six bands have been specific course work or educational educational degrees. Three bands have established for the E&S career path: degrees. Five bands have been been established for the GEN career (refer to Table 1). established for the B&T career path: path: (refer to Table 1). (1) Band I includes student trainee (refer to Table 1). (1) Band I covers entry-level and positions. (1) Band I includes student trainee student positions. (2) Band II includes developmental positions. (2) Band II covers full-performance positions. (2) Band II includes developmental (3) Band III includes full-performance positions. positions. technical positions. (3) Band III includes supervisory and (4) Band IV includes technical (3) Band III includes full-performance senior positions. technical and first level supervisory specialist and first level supervisory 2. Pay Band Design positions. positions. (5) Band V includes senior technical (4) Band IV includes senior technical The pay bands for the Occupational and managerial positions. specialist and supervisory positions. Families and how they relate to the (6) Band VI includes positions (5) Band V includes managerial current GS/NSPS frameworks are shown classified above the GS–15 level. positions. in Table 1.

TABLE 1—PAY BAND CHARTS

Occupational Equivalent GS grades 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 ......

1, 2 Occupational Equivalent NSPS Pay bands family I II III IV V VI

E&S ...... YP–1 ...... YD–1, YF–1, YF– YD–2, YF–2 ...... YD–3, YF–2, YF– YD–3, ...... (DB) ...... 2, YP–1. 3, YH–3. YF–3 ...... Business & Technical .. YP–1, ...... YA–1, YA–2, YB– YA–2, YB–3, YC– YA–3, YC–2, YA–3, ...... (DE) ...... YB–1, ...... 1, YB–2, YB–3, 2, YE–3, YE–4. YC–3. YC–3 ...... YE–1 ...... YC–1, YC–2, YE–1, YE–2, YE–3, YP–1. General Support ...... YB–1, ...... YB–1, YB–2, YE– YB–2, YE–2, YP– ...... (DK) ...... YE–1, ...... 1, YE–2, YP–1. 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 their base pay in the same amount and expertise requirements including due to the annual general pay increases, to the same extent as established for GS inherent supervisory and managerial the upper and lower base pay rates of employees in accordance with 5 U.S.C. responsibilities. However, these the pay bands will also be adjusted. 5304 and 5304a. However, adjusted pay positions are not considered to be Since pay progression through the (base + locality) for employees in Band appropriately classified as Scientific or bands depends directly on contribution, V or below cannot exceed Executive Professional Positions (STs) because of there will be no scheduled Within- Level IV. 3. Science and Engineering the degree of supervision and level of Grade Increases (WGIs) or Quality Step Positions Classified Above GS–15. managerial responsibilities. Neither are Increases (QSIs) for former GS The career path for the E&S these positions appropriately classified employees once the pay banding system Occupational Family includes a pay as Senior Executive Service (SES) is in place. GS special rate schedules band VI to provide the ability to positions because of the requirement for and NSPS Targeted Local Market accommodate positions having duties advanced specialized scientific or Supplements (TLMS) will no longer be and responsibilities that exceed the GS– engineering expertise, and because the applicable to demonstration project 15 classification criteria. This pay band positions are not at the level of the employees. Special provisions have is based on the Above GS–15 Position general managerial authority and impact been included to ensure no loss of pay concept found in other STRL personnel that is required for an SES position. upon conversion (refer to III.F.11 management demonstration projects The original Above GS–15 Position Staffing Supplements). Except for those that was created to solve a critical concept was to be tested for a five-year receiving a staffing supplement and classification problem. The STRLs have period. The number of trial positions employees on pay retention, employees positions warranting classification was set at 40 with periodic reviews to will receive locality pay in addition to above GS–15 because of the technical determine appropriate position

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requirements. The Above GS–15 to develop new and simplified pay band covered by the FLSA unless they meet Position concept is currently being factor level descriptors for each pay the criteria for exemption. Positions will evaluated by DoD management for its band determination. The objective is to be evaluated as needed by comparing effectiveness, continued applicability to record the essential criteria for each pay the duties and responsibilities assigned the current STRL scientific, engineering, band within each Occupational Family the pay band factor level descriptors for and technology workforce needs and by stating the characteristics of the each pay band level, and the 5 CFR part appropriate allocation of billets based work, the responsibilities of the 551 FLSA criteria. As a general rule, the on mission requirements. The degree to position, the competencies required, FLSA status of a position can be which the laboratory plans to and the expected contributions. The matched to an Occupational Family, participate in this concept and develop Factor Descriptors will serve as both career path, and pay band level as classification, compensation, and classification criteria and contribution indicated in Table 2. For example, performance management policy, assessment criteria and may be found in positions classified in Pay Band I of the guidance, and implementation Appendix C. New position descriptions E&S Occupational Family are typically processes will be based on the final will replace the current position/job nonexempt, meaning they are covered outcome of the DoD evaluation. descriptions. The Factor Descriptors of by the overtime entitlements prescribed each pay band will serve as an B. Classification by the FLSA. An exception to this important component in the new guideline includes supervisors/ 1. Occupational Series position description, which will also managers whose primary duty meets the The GS classification system has over include position-specific information definitions outlined in the OPM GS 400 occupational series which are and provide data element information Supervisory Guide. Therefore, divided into 23 occupational groupings. pertinent to the job. The new supervisors/managers in any of the pay The ARDEC currently has positions in descriptions will be easier to prepare, bands who meet the foregoing criteria approximately 60 occupational series minimize the amount of writing time, are exempt from the FLSA. Supervisors that fall into approximately 16 and make the position description a with classification authority will make occupational groupings. All positions more useful and accurate tool for other the determinations on a case-by-case listed in Appendix B will be included personnel management functions. basis by comparing assigned duties and in the classification structure. Specialty work codes (narrative responsibilities and pay band factor Provisions will be made for including descriptions) may be used to further level descriptors to the 5 CFR part 551 other occupations in response to differentiate types of work and the FLSA criteria. Additionally, the advice changing missions. competencies required for particular and assistance of the servicing Civilian positions within an Occupational Personnel Advisory Center (CPAC) will 2. Classification Standards and Position Family and pay band. Each code be obtained in making determinations. Descriptions represents a specialization or type of The position descriptions will not be The ARDEC may use an automated work within the occupation. the sole basis for the determination. The classification system. The current OPM basis for exemption will be documented 3. Fair Labor Standards Act classification standards will be used for and attached to each position the identification of proper series and Fair Labor Standards Act (FLSA) description. Exemption criteria will be occupational titles of positions within exemption and non-exemption narrowly construed and applied only to the demonstration project. The grading determinations will be consistent with those employees who clearly meet the criteria in the OPM classification criteria found in 5 CFR part 551. All spirit of the exemption. Changes will be standards will be used as a framework demonstration project positions are 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 occupational series, functional code, of Occupational Family, occupational under the various pay bands is shown in the specialty work code, pay band level, series, position title, and pay band of above table, actual FLSA exemption and the appropriate acquisition codes. his/her position at any time. An determinations are made on a case-by-case Personnel specialists will provide employee must formally raise the area of basis. ongoing consultation and guidance to concern to supervisors in the immediate managers and supervisors throughout chain of command, either verbally or in 4. Classification Authority the classification process. These writing. If the employee is not satisfied The ARDEC Director will have decisions will be documented on the with the supervisory response, he/she delegated classification authority and position description. may then appeal to the DoD appellate may in turn, re-delegate this authority to 5. Classification Appeals level. Appeal decisions rendered by appropriate levels. Position descriptions DoD will be final and binding on all will be developed to assist managers in Classification appeals under this administrative, certifying, payroll, exercising delegated position demonstration project will be processed disbursing, and accounting officials of classification authority. Managers will using the following procedures: An the Government. Classification appeals identify the Occupational Family, employee may appeal the determination are not accepted on positions which

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exceed the equivalent of a GS–15 level. basis of an individual’s overall annual purpose of determining performance Time periods for cases processed under contributions and current base pay in payouts under the CBCS. Pay pools will 5 CFR part 511 apply. relation to other employees’ be established and operated in An employee may not appeal the contributions and their level of accordance with the guidelines accuracy of the position description, the compensation in the pay pool. The provided in the following paragraphs. demonstration project classification measurement of overall contribution is These guidelines will be followed criteria, or the pay-setting criteria; the determined through a rating process noting the following exception. The assignment of occupational series to an which determines the Overall ARDEC Director may deviate from the Occupational Family; the propriety of a Contribution Score (OCS). OCS is a key guidelines provided there is a pay schedule; matters grievable under component to the CBCS assessment compelling need. The rationale must be an administrative or negotiated system in that it: documented in writing. grievance procedure; or a decision (1) Provides a consistent scoring scale The ARDEC Director will establish reached using an alternative dispute linked to base pay even as salaries pay pools. Typically, pay pools will resolution procedure. increase in accordance with GPI have between 35 and 300 employees. A The evaluations of classification increases. pay pool should be large enough to appeals under this demonstration (2) Provides a rating scale that enables encompass a reasonable distribution of project are based upon the direct comparison of the level and ratings but not so large as to demonstration project classification quality of employee contributions to the compromise rating consistency. Neither criteria. Case files will be forwarded for current base pay of that employee. the pay pool manager nor supervisors adjudication through the servicing To accomplish (2) above, the within a pay pool will recommend or Civilian Personnel Advisory Center employee’s current base pay is set their own individual pay. Decisions (CPAC) and will include copies of converted to an Expected OCS (EOCS). regarding the amount of the appropriate demonstration project The other OCS score, Assessed OCS contribution payout are based on the criteria. (AOCS) is the measurement of the established formal payout calculations. employee’s contributions in the Funds within a pay pool available for C. Contribution-Based Compensation appraisal process. AOCS is the result of System contribution payouts are divided into measuring contribution and two components, base pay and bonus. 1. Overview performance by using the pay band level These funds will be determined based descriptors for a set of contribution The purpose of the Contribution- on historical data. The base pay fund factors and discriminators each of Based Compensation System (CBCS) is will be set at no less than two percent which is relevant to mission success of to provide an effective, efficient, and of total base pay of employees eligible the organization. The comparison of flexible method for assessing, for compensation adjustment in CBCS. EOCS and AOCS determines if the compensating, and managing the The bonus fund will be set at no less employee is appropriately compensated. ARDEC workforce. CBCS is essential for than one percent of total base pay. The The same factor level descriptors used the development and continued growth ARDEC PMB will annually review the for classification will also be used for of the high quality, extremely pay pool funding and recommend the annual CBCS employee assessments productive and innovative workforce adjustments to the ARDEC Director to (see Appendix C). needed to meet mission requirements. ensure cost discipline over the life of The CBCS allows for greater employee 2. Contribution Factors the demonstration project. CBCS involvement in the assessment process, The following six (6) factors will be payouts can be in the form of increases fosters increased communication used for evaluating the yearly to base pay and/or bonuses that are not between supervisor and employee, contribution of the ARDEC personnel in added to base pay but rather are given promotes a clear accountability of all three Occupational Families: as a lump-sum payment. Other awards performance, facilitates employee career (1) Problem Solving such as special acts, time-off awards, progression, and provides an (2) Teamwork/Cooperation etc., will be managed separately from understandable and rational basis for (3) Customer Relations the CBCS payouts. base pay changes by linking pay, (4) Leadership/Supervision 4. Annual Appraisal Cycle and Rating performance, and contribution. The (5) Communication Process CBCS process described herein applies (6) Resource Management to all Occupational Families and pay Each factor has multiple levels of The annual appraisal cycle normally band levels except Pay Band VI of the increasing contribution corresponding begins on October 1 and ends on E&S Occupational Family. The to the pay band levels. Each factor September 30 of the following year. The assessment process for E&S Pay Band VI contains descriptors for each respective minimum rating period will be 90 days. positions will be based on the final pay band level within the relevant At the beginning of the annual appraisal outcome of the DoD evaluation and Occupational Family. period, the pay band level descriptors documented in ARDEC Internal The appropriate Occupational Family for each factor will be provided to Operating Instructions. pay band level factor descriptors will be employees so that they know the basis CBCS is an assessment system that used by the rating official to determine on which their performance will be measures the employee’s level of the employee’s actual contribution assessed. At the discretion of the pay contribution to the organization’s score. Employees can score within, pool manager, weights will be applied mission and how well the employee above, or below their pay band level. to the factors. If weighting is used, the performed. Contribution is simply For example, a pay band level II same weighting will be applied to all defined as the measure of the employee could score in the pay band similar positions within an demonstrated value of employee actions level I, II, III, or IV range. Occupational Family in a pay pool. in terms of accomplishing or advancing Also, if weighting is used, the minimum the organizational objectives and 3. Pay Pools weighting will be 10 percent and the mission impact. CBCS promotes base The ARDEC employees will be placed sum of all weights must equal 100 pay adjustment decisions made on the into pay pools that are defined for the percent. Employees will be informed of

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the weights at the beginning of the and end of the rating period. At least supervisor (rating official), from rating cycle. one review, normally the mid-point employees’ inputs and his/her own Each supervisor will discuss work review, will be documented as a knowledge, identifies for each employee assignment, performance and conduct progress review. Exceptions may be the appropriate contribution level for standards, and provide clear objectives established by the PMB and approved each factor, and recommends the AOCS. to their employees. Typically, the rating by the ARDEC Director based on To determine the AOCS, numerical official is the first-level supervisor. If employees that will be in the Lab Demo values are assigned based on the the current first-level supervisor has for less than 180 days at the end of the contribution levels of individuals, using been in place for less than 90 days rating cycle. More frequent, task during the rating cycle, the second-level specific, discussions may be appropriate the ranges shown in Table 3. The AOCS supervisor serves as the initial rating in some organizations. is calculated by averaging the numerical official. If the second-level supervisor is The employee will provide a list of values (as weighted if applicable) in place for less than 90 days during the his/her accomplishments to the assigned for each of the six contribution rating cycle, the next higher level supervisor at both the mid-point and factors. (All AOCS’s will be rounded to supervisor in the employee’s rating end of the rating period. An employee the nearest tenth of a point. If the chain conducts the assessment. may elect to provide self-ratings on the decimal is .05 or higher, the AOCS will Employees and supervisors alike are contribution factors and/or solicit input be rounded up.) The rating official in expected to actively participate in on- from team members, customers, peers, conjunction with the second-level going formal and informal performance supervisors in other units, subordinates, supervisor reviews the AOCS for all discussions regarding expectations. The and other sources which will assist the employees, correcting any timing of these discussions will vary supervisor in fully evaluating inconsistencies identified and making based on the nature of work performed, contributions. At the end of the annual the appropriate adjustments in the but will occur at least at the mid-point appraisal period, the immediate factor ratings.

TABLE 3—CONTRIBUTION SCORE RANGES BY OCCUPATIONAL FAMILY

Pay Engineering and Business and Technical General Support Band Science 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 CBCS for less than 90 days, the first a. Re-certify the employee’s last review of the AOCS for each employee rating will be provided at the end of the contribution appraisal; or in the pay pool. The pay pool panel has next annual rating cycle. The first CBCS b. Presume the employee is the authority to make AOCS appraisal must be rendered within 18 contributing consistently at his/her pay adjustments, after discussion with the months after entering the demonstration level. initial rating officials, to ensure equity project. 5. Linking OCS to Compensation and consistency. Final approval of When an employee cannot be Adjustment AOCS rests with the pay pool manager, evaluated readily by the normal CBCS the individual within the organization appraisal process due to special a. The Normal Pay Range (NPR) responsible for managing the CBCS circumstances that take the individual The CBCS integrated pay schedule process. The AOCS, as approved by the away from normal duties or duty station provides a direct link between pay pool manager, becomes the rating of (e.g., long-term full-time training, active contribution level and base pay. This is record. Rating officials will military duty, extended sick leave, leave shown by the graph in Figure 1. The communicate the factor scores and without pay, etc.), the rating official will horizontal axis spans from 0 to the AOCS to each employee and discuss the document the special circumstances on maximum OCS of 100 for positions in results. the appraisal form. The rating official pay band levels I through V. Impact of If on the last day of the appraisal will then determine which of the Band VI will be determined after cycle the employee has served under following options to use: receiving DoD guidance on Band VI

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positions. The vertical axis spans from is not a linear scale but rather adopts of salary corresponding to a one point zero dollars to the dollar equivalent of and reflects the provision that the increase in OCS: the highest positions covered by CBCS. former GS basic pay increases (e.g., GPI, SPL Factor = (GS–15, Step 10)/(GS–1, This encompasses the full base pay step increases) are percentage increases. Step 1)(0.01) range (excluding locality pay and Thus, the scale reflects that each point The SPL Factor will remain the same staffing supplements) under this increase in OCS reflects a fixed percent value (1.020043) for as long as GPI demonstration for the given calendar increase in base pay. For example, an increases are applied as the same year (note: Figure 1 currently depicts OCS of 61 reflects an approximate two percentage increase to GS–1, Step 1, to Calendar Year (CY) 10). Each year the percent base pay difference over an OCS GS–15, Step 10. rails for the NPR are adjusted based on of 60 and an OCS of 87 reflects an The upper rail is calculated as: Upper the GS general pay increase under approximate two percent base pay Rail = SPL * 1.08 5 U.S.C. 5303. The area between the difference over an OCS of 86. The SPL The lower rail is calculated as: Lower upper and lower rails is considered the and NPR are established using the Rail = SPL * 0.92 NPR. This pay range represents a base following parameters: pay range of plus or minus eight percent (1) The lowest possible score is an The upper and lower rails encompass ¥ from the Standard Pay Line (SPL). The OCS of 0, which equates to the lowest an area of +/ 8.0 percent in terms of SPL is a mapping of the GS base pay base pay under this demonstration base pay which correlates to ¥ scale to OCS values (see formula below) project, GS–1, step 1, approximately +/ 4.0 OCS points. that shows the expected level of (2) The OCS of 100 equates to the base The EOCS is the intersection of the contributions (EOCS) from an employee pay of GS–15, step 10. employee’s current base pay and the at a specific base pay rate. The SPL and The SPL is calculated as: SPL. In the instance of an employee on NPR provide the means to link base pay Standard Pay Line (SPL) = (GS–1, retained pay, the EOCS is determined by and contribution using a scale that does Step 1) * (1.020043) OCS using the maximum base pay of the not change even as a base pay range The factor 1.020043 is called the SPL employee’s assigned pay band in lieu of changes with GPI increases. This scale factor and reflects the percent increase their current base pay.

The NPR is the same for all the associated base pay for each pay band base pay possible for each pay band Occupational Families. What varies level by Occupational Family are level. Locality pay or staffing among the Occupational Families are provided in Table 4. These minimum supplements are not included in the the beginnings and endings of the pay and maximum breakpoints represent the NPR but are added to base pay as band levels. The minimum and lowest and highest base pay for the appropriate. maximum numerical OCS values and bands; and the minimum and maximum

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TABLE 4—OCS AND PAY BAND BASE PAY RANGES

Occupational $ (CY10 OCS salaries) family I II III IV V VI1

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 Sup- port ...... $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 contribution to base pay, and identifies When an employee is placed in the Adjustment Guidelines the placement of each employee into Region B—Below-the-NPR the employee one of three regions: Region A—Above- is considered to be undercompensated After the pay pool manager approves the-NPR, Region C—Within-the-NPR, or and when an employee is placed in the the OCS for all employees in the pay Region B—Below-the-NPR. When an Region C—Within-the-NPR, the pool, the current base pay versus AOCS employee is placed in the Region A— employee is considered to be adequately is plotted for all employees on a chart Above-the-NPR, the employee is compensated. similar to Figure 2. This plot relates considered to be overcompensated.

c. The following delineates Contribution Bonus is a onetime lump (4) The employees whose base pay compensation adjustment guidelines for sum payment that does not affect base falls below the NPR (Region B) must employees in each of the three regions: pay. receive the full GPI, may receive up to (1) All employees are entitled to the (3) The employees whose base pay a 20 percent Contribution Base Pay full locality pay or a staffing falls above the NPR (Region A) could be Increase (higher amounts require the approval of the ARDEC Director), and supplement, as appropriate (subject to denied part or all of the GPI and will may also receive a Contribution Bonus. overall salary pay limitations). receive no Contribution Base Pay (2) The employees whose base pay Increase or Contribution Bonus. The (5) The employees on retained pay in falls within the NPR (Region C) must intent of the demonstration project is to the demonstration project will receive receive the full GPI, may receive a allow managers to retain the ability to base pay adjustments in accordance Contribution Base Pay Increase of up to determine how much, if any, of the GPI with 5 U.S.C. 5363 and 5 CFR Part 536. 6 percent, and may receive a An employee receiving retained pay is an Overcompensated (Region A) Contribution Bonus. The Contribution not eligible for a Contribution Base Pay employee shall receive, on a case-by- Base Pay Increase is included as a Increase, but may receive a Contribution permanent increase in base pay, but the case basis. Bonus.

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(6) Table 5 illustrates the additional pay adjustments possible for the three groupings of employees.

TABLE 5—COMPENSATION ELIGIBILITY CHART

Category General pay increase Contribution base pay in- Contribution bonus Locality pay/staffing supple- crease ment 1

—Above the NPR ...... Could be reduced or de- NO ...... NO ...... YES nied. Within the NPR— ...... YES ...... YES 2—Up to 6 percent ..... YES 5 ...... YES —Below the NPR ...... YES ...... YES 34—Up to 20 percent YES 5 ...... YES 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 employee. The funds available for an contribution assessment cannot be base pay falls below the NPR should Extraordinary Achievement Recognition grieved. expect to receive greater percentage base are separately funded within budget 11. Inadequate Employee Performance/ pay increases than those whose base pay constraints. Contribution is above the NPR. Over time, people will 8. Awards migrate closer to the normal pay range Inadequate performance/contribution and base pay appropriate for their level To provide additional flexibility in at any time during the appraisal period of contribution. motivating and rewarding individuals is considered grounds for initiation of a (8) Employees whose AOCS would and groups, some portion of the award reduction-in-pay or removal action. The result in awarding a Contribution Base budget will be reserved for special acts following procedures replace those Pay Increase such that the base pay and other categories as they occur. established in 5 U.S.C. 4303 pertaining exceeds the maximum base pay for their Awards may include, but are not limited to reductions in grade or removal for current pay band level may receive a to, special acts, patents, suggestions, on- unacceptable performance except with Contribution Bonus equaling the the-spot, and time-off. The funds respect to appeals of such actions. 5 difference. available to be used for traditional title U.S.C. 4303(e) provides the statutory authority for appeals of contribution- 6. Accelerated Compensation for 5 U.S.C. awards are separately funded within budget constraints. based actions. As is currently the Developmental Positions (ACDP) situation for performance-based actions While not directly linked to the CBCS, ACDP provides for an increase to base taken under 5 U.S.C. 4303, contribution- this additional flexibility is important to pay, bonus, or a combination of these to based actions shall be sustained if the encourage outstanding contribution and employees participating in training decision is supported by substantial innovation in accomplishing the diverse programs or in other developmental evidence; and the Merit Systems mission of the ARDEC. Additionally, to capacities as determined by the ARDEC Protection Board shall not have foster and encourage teamwork among policy. ACDP recognizes growth and mitigation authority with respect to its employees, organizations may give development in the acquisition of job- such actions. The separate statutory group awards. The delegation of awards related competencies combined with authority to take contribution-based authority is an internal Army decision successful contribution. In order to actions under 5 U.S.C. 75, as modified and will be considered as such. receive an ACDP, the employee must be in the waiver section of this notice in a pay and duty status and have been 9. Adverse Actions (section IX), remains unchanged by on an approved performance plan (may these procedures. be from any system) for 90 days. Most Except where specifically waived or When an employee’s AOCS plots ACDP increases will occur yearly, modified in this plan, adverse action above the upper rail of the NPR and the comparable to the GS intern career procedures under 5 CFR part 752 employee is considered to be under- progression. However, when warranted remain unchanged. performing/contributing, the supervisor (e.g., high turnover positions, hard-to- 10. Grievance of Assessed Overall has two options. The first is to take no fill positions, exceptional performance Contribution Score action but to document this decision in by the employee), an ACDP increase a memorandum for the record. A copy may occur anytime during the year. An employee may grieve the AOCS of this memorandum will be provided to Employees under an ACDP will follow received under the CBCS. Non- the employee and management. The the standard CBCS rating cycle. The bargaining unit employees and second option is to inform the employee is only entitled to the bonus bargaining unit employees covered by a employee, in writing, that unless the component as a result of CBCS rating. negotiated grievance procedure that contribution increases to, and is does not permit grievances over sustained at, a higher level, the 7. Extraordinary Achievement performance ratings must file under employee may be reduced in pay, pay Recognition administrative grievance procedures. band level, or removed. A pay pool manager may request Bargaining unit employees whose The second option will include a approval from the ARDEC Director for negotiated grievance procedures cover Contribution Improvement Plan (CIP). use of an Extraordinary Achievement performance rating grievances must file The CIP must include standards for Recognition. Such recognition grants a under those negotiated procedures. acceptable contribution, actions base pay increase and/or bonus to an Payout amounts resulting from the required of the employee, and time in

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which they must be accomplished to notice will specify the instances of referred to the selecting official without increase and sustain the employee’s unacceptable contribution by the rating and ranking. Rating and ranking contribution at an acceptable level. employee on which the action is based will be required only when the number When an employee is placed on a CIP, and will inform the employee of any of qualified candidates exceeds fifteen the rating official will afford the applicable appeal or grievance rights. or there is a mix of preference and non- employee a reasonable opportunity (a All relevant documentation preference applicants. Statutes and minimum of 60 days) to demonstrate concerning a reduction-in-pay or regulations covering veterans’ acceptable contribution. These removal that is based on unacceptable preference will be observed in the provisions also apply to an employee contribution will be preserved and selection process and when rating and whose contribution deteriorates during made available for review by the ranking are required. the year. affected employee or a designated 3. Direct Hire Authority for Candidates Employees who are on a CIP at the representative. At a minimum, the With Advanced Degrees for Scientific time pay determinations are made do records will consist of a copy of the and Engineering Positions not receive performance payouts or the notice of proposed action; the written annual GPI. Employees who are on a answer of the employee or a summary a. Background: CIP will not receive any portion of the when the employee makes an oral reply; The ARDEC has, and is forecasted to GPI or RIF service credit until such time and the written notice of decision and have, for the foreseeable future an as his/her performance improves to the the reasons thereof, along with any urgent need for direct hire authority to acceptable level and remains acceptable supporting material including appoint qualified candidates possessing for at least 90 days. When the employee documentation regarding the an advanced degree to scientific and has performed acceptably for at least 90 opportunity afforded the employee to engineering positions. The market is days, the GPI and RIF service credit will demonstrate acceptable contribution. extremely competitive with industry be reinstated at the beginning of the D. Hiring Authority and academia for the small supply of next pay period. No retroactive GPI will highly-qualified and security clearable be paid for time lost under a CIP. 1. Qualifications candidates with a Masters Degree or Once an employee has been afforded Ph.D. in science or engineering. There a reasonable opportunity to demonstrate The qualifications required for are 35,000 scientists and engineers acceptable contribution but fails to do placement into a position in a pay band employed in the DoD laboratories; 27 so, a reduction-in-pay (which may within an Occupational Family will be percent hold Masters Degrees, while 10 include a change to a lower pay band determined using the OPM ‘‘Operating percent are in possession of a Ph.D. The level and/or reassignment) or removal Manual for Qualification Standards for ARDEC employs over 2,300 scientists action may be proposed. If the GS Positions.’’ Since the pay bands are and engineers; 34 percent holding employee’s contribution increases to an anchored to the GS grade levels, the acceptable level and is again determined minimum qualification requirements for Masters Degrees, while 2.6 percent are to deteriorate in any factor within two a position will be those corresponding in possession of a Ph.D. Over the next years from the beginning of the to the lowest GS grade incorporated into five years, the ARDEC plans to hire opportunity period, actions may be that pay band. For example, for a approximately 500 of the country’s best initiated to effect reduction in pay or position in the E&S Occupational and brightest scientists and engineers removal with no additional opportunity Family, Pay Band II individuals must (S&Es) just to keep pace with attrition. to improve. If an employee has meet the basic requirements for a GS– This number does not include the contributed acceptably for two years 5 as specified in the OPM ‘‘Qualification impact that actions such as Base from the beginning of an opportunity Standard for Professional and Scientific Realignment and Closure may have on period, and the employee’s overall Positions.’’ the attrition of S&Es from the ARDEC. contribution once again declines to an Selective factors may be established Statistics indicate that the available pool unacceptable level, the employee will for a position in accordance with the of advanced degree, security clearable be afforded an additional opportunity to OPM ‘‘Operating Manual for candidates is substantially diminished demonstrate acceptable contribution Qualification Standards for GS by the number of non-U.S. citizens before it is determined whether or not Positions’’ when determined to be granted degrees by U.S. institutions. For to propose a reduction in pay or critical to successful job performance. instance, in 2006, 20 percent of Masters removal. These factors will become part of the Degrees in science and over 35 percent An employee whose reduction in pay minimum requirements for the position; of Ph.D.s in science were awarded to or removal is proposed is entitled to a and applicants must meet them in order temporary residents. 30-day advance notice of the proposed to be eligible. If used, selective factors It is expected that this hiring action that identifies specific instances will be stated as part of the qualification authority, together with streamlined of unacceptable contribution by the requirements in vacancy recruitment processes, will be very employee on which the action is based. announcements and recruiting bulletins. effective in hiring candidates possessing The employee will be afforded a a Masters or Ph.D. and accelerating the 2. Delegated Examining reasonable time to answer the notice of hiring process. For instance, under a proposed action orally and/or in Competitive service positions will be similar authority found in the NDAA for writing. filled through Merit Staffing, Direct Hire FY 09, section 1108, Public Law 110– A decision to reduce pay or remove Authority, or Delegated Examining. 417, October 28, 2009, one STRL had an employee for unacceptable Where delegated to the laboratory level, fifteen Ph.D. selectees in 2009 for the contribution may be based only on those hiring authority will be exercised in sixteen vacancies for which they were instances of unacceptable contribution accordance with the requirements of the using this hiring authority. Another that occurred during the two-year delegation of authority. The Rule of STRL, using this expedited hiring period ending on the date of issuance of Three will be eliminated. When there authority in calendar year 2009, made the proposed action. The employee will are no more than fifteen qualified thirty firm hiring offers in an average of be issued written notice at or before the applicants and no preference eligibles, thirteen days from receipt of paper work time the action will be effective. Such all eligible applicants are immediately in the Human Resources Office. Of these

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thirty selectees, twenty-three possessed using an alternative examining process organization’s ability to accomplish the Ph.D.s. which provides the authority to appoint mission and serve its customers. b. Definitions: undergraduates and graduates through The ARDEC will continue to have (1) Scientific and engineering the doctoral level to professional career and career-conditional positions are defined as all professional positions at the equivalent of GS–7 appointments and temporary positions in scientific and engineering through GS–11, and GS–12 positions. At appointments not-to-exceed one year. occupations (with a positive education the undergraduate level, candidates may These appointments will use existing requirement) utilized by the laboratory. be appointed to positions at a pay level authorities and entitlements. Under the (2) An advanced degree is a Master’s no greater than the equivalent of GS–7, demonstration project, ARDEC will have or higher degree from an accredited step 10, provided that: they meet the the added authority to hire individuals college or university in a field of minimum standards for the position as under a modified term appointment. scientific or engineering study directly published in OPM’s operating manual, These appointments will be used to fill related to the duties of the position to ‘‘Qualification Standards for General positions for a period of more than one be filled. Schedule Positions,’’ plus any selective year, but not more than a total of five (3) Qualified candidates are defined factors stated in the vacancy years when the need for an employee’s as candidates who: announcement; the occupation has a services is not permanent. The modified (a) Meet the minimum standards for positive education requirement; and the term appointments differ from term the position as published in OPM’s candidate has a cumulative grade point employment as described in 5 CFR part operating manual, ‘‘Qualification average of 3.5 or better (on a 4.0 scale) 316 in that they may be made for a Standards for General Schedule in those courses in those fields of study period not to exceed five, rather than Positions,’’ or the laboratory’s that are specified in the qualifications four years. The ARDEC Director is demonstration project qualification standards for the occupational series. authorized to extend a modified term standards specific to the position to be Appointments may also be made at the appointment one additional year. filled; equivalent of GS–9 through GS–12 on Employees hired under the modified (b) Possess an advanced degree; and the basis of graduate education and/or term appointment authority are in a (c) Meet any selective factors. experience for those candidates with a non-permanent status, but may be (4) The term ‘‘employee’’ is defined by grade point average of 3.5 or better (on eligible for non-competitive conversion section 2105 of title 5, U.S.C. a 4.0 scale) for graduate level courses in to career-conditional or career c. Provisions: the field of study required for the appointments. To be converted, the (1) Use of this appointing authority occupation. Veterans’ preference employee must: must comply with merit system procedures will apply when selecting (1) Have been selected for the term principles when recruiting and candidates under this authority. position under competitive procedures, appointing candidates with advanced Preference eligibles who meet the above with the announcement specifically degrees to covered occupations. criteria will be considered ahead of stating that the individual(s) selected for (2) Qualified candidates possessing an nonpreference eligibles. In making the term position may be eligible for advanced degree may be appointed selections, to pass over any preference conversion to a career-conditional or without regard to the provisions of eligible(s) to select a nonpreference career appointment at a later date; subchapter 1 of chapter 33 of title 5, eligible requires approval under current (2) have served two years of United States Code, other than sections pass-over or objection procedures. continuous service in the term position; 3303, 3321, and 3328 of such title. Priority must also be given to displaced and (3) The hiring threshold for this employees as may be specified in OPM (3) be performing at an acceptable authority shall be consistent with DoD and DoD regulations. Distinguished level of performance. policy and legislative language as Employees serving under term Scholastic Achievement Appointments expressed in any National Defense appointments at the time of conversion will enable ARDEC to respond quickly Authorization Act addressing such. to the demonstration project will be to hiring needs with eminently qualified (4) Positions and candidates must be converted to the new modified term candidates possessing distinguished counted on a full-time equivalent basis. appointments provided they were hired scholastic achievements. (5) Science and engineering positions for their current positions under that are filled as of the close of the fiscal 5. Legal Authority competitive procedures. These year are those positions encumbered on employees will be eligible for the last day of the fiscal year. For actions taken under the auspices conversion to career-conditional or (6) When completing the personnel of this demonstration project, the legal career appointments if they: action, the following will be given as the authorities, Public Law 103–337, as (1) Have served two years of authority for the Career-Conditional, amended, and Public Law 111–84 will continuous service in the term position; Career, Term, Temporary, or special be used. For all other actions, the nature (2) are selected under merit demonstration project appointment of action codes and legal authority promotion procedures for the authority: Section 1108, NDAA for FY codes prescribed by OPM, DoD, or DA permanent position; and 09. will continue to be used. (3) have not been placed on a (7) Evaluation of this hiring authority 6. Modified Term Appointments Contribution Improvement Period (CIP). will include information and data on its Time served in term positions prior to use, such as numerical limitation, hires The ARDEC conducts a variety of conversion to the modified term made, how many veterans hired, projects that range from three to six appointment is creditable, provided the declinations, difficulties encountered, years. The current four-year limitation service was continuous. and/or recognized efficiencies. on term appointments for competitive service employees often results in the 7. Initial Probationary Period 4. Distinguished Scholastic termination of these employees prior to The probationary period will not be Achievement Appointment completion of projects they were hired less than one year and will not exceed ARDEC will establish a Distinguished to support. This disrupts the research three years for all newly hired Scholastic Achievement Appointment and development process and affects the employees as defined in 5 CFR part 315.

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The specific probationary period will be or reassigned. When a supervisor official, and the CPAC. The agreement defined and controlled by the ARDEC determines to reassign a probationary must be finalized before the assumption Director. The purpose of the supervisor to a non-supervisory position of duties and shall include the probationary period is to allow during the probationary period because following: supervisors an adequate period of time of his/her work performance or conduct (a) Statement that the voluntary to fully evaluate an employee’s ability to is unacceptable, the probationary assignment does not constitute an complete a cycle of work and to fully employee’s supervisor will provide appointment in the Civil Service, is assess an employee’s contribution and written notification subject to higher without compensation, and the conduct. All other features of the level management approval. volunteer waives any claims against the current probationary period are retained Government based on the voluntary 10. Volunteer Emeritus Corps including the potential to remove an assignment; employee without providing the full Under the demonstration project, the (b) statement that the volunteer will substantive and procedural rights ARDEC Director will have the authority be considered a Federal employee only afforded a non-probationary employee. to offer retired or separated employees for the purpose of injury compensation; Any employee fulfilling this voluntary positions. The ARDEC (c) volunteer’s work schedule; probationary period prior to the Director may re-delegate this authority. (d) length of agreement (defined by implementation date will not be Volunteer Emeritus Corps assignments length of project or time defined by affected. are not considered employment by the weeks, months, or years); Federal government (except for (e) support provided by the 8. Termination of Initial Probationary purposes of injury compensation). Thus, organization (travel, administrative Period Employees such assignments do not affect an support, office space, and supplies); Probationary employees may be employee’s entitlement to buyouts or (f) statement of duties; terminated when they fail to severance payments based on an earlier (g) statement providing that no demonstrate proper conduct, technical separation from Federal service. The additional time will be added to a competency, and/or acceptable volunteer’s Federal retirement pay volunteer’s service credit for such performance for continued employment (whether military or civilian) is not purposes as retirement, severance pay, and for conditions arising before affected while serving in a voluntary and leave as a result of being a employment. When a supervisor capacity. Retired or separated Federal volunteer; decides to terminate an employee employees may accept an emeritus (h) provision allowing either party to during the probationary period because position without a break or mandatory void the agreement with two working his/her work performance or conduct is waiting period. days written notice; unacceptable, the supervisor shall The Volunteer Emeritus Corps will (i) level of security access required by terminate the employee’s services by ensure continued quality services while the volunteer (any security clearance written notification subject to higher reducing the overall salary line by required by the position will be level management approval. This allowing higher paid employees to managed by the employing notification shall state the reason(s) for accept retirement incentives with the organization); termination and the effective date of the opportunity to retain a presence in the (j) provision that any publication(s) action. The information in the notice ARDEC community. The program will resulting from his/her work will be shall, at a minimum, consist of the be beneficial during manpower submitted to the ARDEC Director for supervisor’s conclusions as to the reductions, as employees accept review and approval; inadequacies of the employee’s retirement and return to provide a (k) statement that he/she accepts performance or conduct or those continuing source of corporate accountability for loss or damage to conditions arising before employment knowledge and valuable on-the-job Government property occasioned by that support the termination. training or mentoring to less his/her negligence or willful action; (l) statement that his/her activities on 9. Supervisory and Managerial experienced employees. To be accepted into the Volunteer the premises will conform to the Probationary Periods Emeritus Corps, a volunteer must be regulations and requirements of the Supervisory and managerial recommended by an ARDEC manager to organization; probationary periods will be made the Director or delegated authority. Not (m) statement that he/she will not consistent with 5 CFR part 315. Current everyone who applies is entitled to an release any sensitive or proprietary government employees, selected for an emeritus position. The responsible information without the written initial appointment to a supervisory or official will document acceptance or approval of the employing organization managerial position in ARDEC are rejection of the applicant. For and further agrees to execute additional required to successfully complete a two- acceptance, documentation must be non-disclosure agreements as year probationary period. If the retained throughout the assignment. For appropriate, if required, by the nature of employee is transferred to a different rejection, documentation will be the anticipated services; supervisory position, he or she does not maintained for two years. (n) statement that he/she agrees to have to repeat the probationary period, Volunteer Emeritus Corps volunteers disclose any inventions made in the but may continue the duration of the will not be permitted to monitor course of work performed at ARDEC. probationary period if the time was not contracts on behalf of the Government The ARDEC Director has the option to completed in the previous supervisory or to participate on any contracts or obtain title to any such invention on position. If, during this probationary solicitations where a conflict of interest behalf of the U.S. Government. Should period, the decision is made to return exists. The volunteers may be required the ARDEC Director elect not to take the employee to a non-supervisory/ to submit a financial disclosure form title, the ARDEC, shall at a minimum, managerial position for reasons related annually. The same rules that currently retain a non-exclusive, irrevocable, to supervisory/managerial performance, apply to source selection members will paid-up, royalty-free license to practice the employee will be returned to a apply to volunteers. or have practiced the invention comparable position of no lower pay An agreement will be established worldwide on behalf of the U.S. than the position from which promoted among the volunteer, the responsible Government; and

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(o) statement that he/she agrees to 3. Demotion or Placement in a Lower 6. Expanded Temporary Promotions comply with designated mandatory Pay Band Current regulations require that training. A demotion is a placement of an temporary promotions for more than Exceptions to the provisions in this employee into a lower pay band within 120 days to a higher level position than procedure may be granted by the the same Occupational Family or previously held must be made ARDEC Director on a case-by-case basis. placement into a pay band in a different competitively. Under the demonstration Occupational Family with a lower project, the ARDEC would be able to E. Internal Placement maximum base pay. Demotions may be effect temporary promotions of not more 1. Promotion for cause (performance or conduct) or than one year within a 24-month period for reasons other than cause (e.g., without competition to positions within A promotion is the movement of an erosion of duties, reclassification of the demonstration project. employee to a higher pay band in the duties to a lower pay band, application 7. Exceptions to Competitive Procedures same Occupational Family or to another under competitive announcements, at pay band in a different Occupational the employee’s request, or placement The following actions are excepted Family, wherein the band in the new actions resulting from RIF procedures). from competitive procedures: (a) Re-promotion to a position which Occupational Family has a higher 4. Simplified Assignment Process maximum base pay than the band from is in the same pay band or GS which the employee is moving. The Today’s environment of downsizing equivalent and Occupational Family as move from one band to another must and workforce fluctuations mandates the employee previously held on a result in an increase in the employee’s that the organization have maximum permanent basis within the competitive service. base pay to be considered a promotion flexibility to assign duties and (b) Promotion, reassignment, unless the employee is on retained pay. responsibilities to individuals. Pay banding can be used to address this demotion, transfer, or reinstatement to a Positions with known promotion position having promotion potential no potential to a higher band within an need, as it enables the organization to have maximum flexibility to assign an greater than the potential of a position Occupational Family career path will be employee with either no change or an an employee currently holds or identified when they are filled. increase in base pay within broad previously held on a permanent basis in Movement from one Occupational descriptions consistent with the needs the competitive service. Family to another will depend upon of the organization and the individual’s (c) A position change permitted by individual competencies, qualifications, qualifications and level. Subsequent reduction-in-force procedures. and the needs of the organization. assignments to projects, tasks, or (d) Promotion without current Supervisors may consider promoting functions anywhere within the competition when the employee was employees at any time, since organization requiring the same level, appointed through competitive promotions are not tied to the CBCS. area of expertise, and qualifications procedures to a position with a Progression within a pay band is based would not constitute an assignment documented career ladder. upon contribution base pay increases; as outside the scope or coverage of the (e) A temporary promotion or detail to such, these actions are not considered current position description. For a position in a higher pay band of one promotions and are not subject to the instance, a technical expert could be year or less in a 24-month period. provisions of this section. Except as assigned to any project, task, or function (f) A promotion due to the specified in III.E.6, promotions will be requiring similar technical expertise. reclassification of positions based on processed under competitive procedures Likewise, a manager could be assigned accretion (addition) of duties. in accordance with Merit System to manage any similar function or (g) A promotion resulting from the Principles and requirements of the local organization consistent with that correction of an initial classification merit promotion plan. individual’s qualifications. This error or the issuance of a new classification standard. To be promoted competitively or non- flexibility allows broader latitude in assignments and further streamlines the (h) Consideration of a candidate who competitively from one band to the did not receive proper consideration in next, an employee must meet the administrative process and system while providing management the option a competitive promotion action. minimum qualifications for the job and (i) Impact of person in the job and of granting additional base pay in have an acceptable level of performance. Factor IV process (application of the recognition of more complex work or If an employee does not have a current Research Grade Evaluation Guide, broader scope of responsibility. performance rating, the employee will Equipment Development Grade be treated the same as an employee with 5. Detail Assignment Evaluation Guide, Part III, or similar an acceptable rating as long as there is Under the demonstration project, the guides) promotions. no documented evidence of ARDEC’s approving manager would unacceptable performance. F. Pay Administration have the authority: 1. General 2. Reassignment (1) To effect details up to one year to demonstration project positions without Pay administration policies will be A reassignment is the movement of an the current 120-day renewal established by the PMB. These policies employee from one position to a requirement; and will be exempt from Army Regulations different position within the same (2) To effect details to a higher level or Higher Headquarter pay fixing Occupational Family and pay band or to position in the demonstration project up policies but will conform to basic another Occupational Family and pay to one year within a 24-month period governmental pay fixing policy. band wherein the pay band in the new without competition. Employees whose performance is family has the same maximum base pay. Detail assignments beyond one-year acceptable and not on pay retention will The employee must meet the require the approval of the ARDEC receive the full annual general pay qualifications requirements for the Director, and are not subject to the 120- increase and the full locality pay, with Occupational Family and pay band. day renewal requirement. the exception of those employees’

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whose rating is as described in When a temporary promotion is recommendation of the PMB to paragraph III.C.5.c.(3). The ARDEC may terminated, the employee’s pay compensate employees with supervisory make full use of recruitment, retention, entitlements will be re-determined or team leader responsibilities. Only and relocation payments as provided for based on the employee’s position of employees in supervisory or team leader by OPM under 5 U.S.C. and 5 CFR pay record, with appropriate adjustments to positions may be considered for the pay flexibilities except as waived by this reflect pay events during the temporary adjustment. These pay adjustments are FRN. promotion, subject to the specific funded separately from performance pay policies and rules established by the pools. These pay adjustments are 2. Pay and Compensation Ceilings PMB. In no case may those adjustments increases to base pay ranging up to ten An employee’s total monetary increase the base pay for the position of percent of the employee’s base pay rate. compensation paid in a calendar year record beyond the applicable pay band Pay adjustments are subject to the may not exceed the rate of pay for Level maximum base pay rate. constraint that the adjustment may not I of the Executive Schedule consistent cause the employee’s base pay to exceed 6. Pay Setting for Reassignment with 5 CFR 530.201. In addition, each the pay band maximum base pay. pay band will have its own base pay A reassignment may be effected Criteria to be considered in determining ceiling. Base pay rates for the various without a change in base pay. However, the base pay increase percentage pay bands were established to a base pay increase may be granted include: approximately cover the pay ranges for where a reassignment significantly (1) Needs of the organization to the GS grade equivalents. Other than increases the complexity, responsibility, attract, retain, and motivate high-quality where retained rate applies, base pay and authority or for other compelling supervisors/team leaders; will be limited to the maximum base reasons. Such an increase is subject to (2) budgetary constraints; pay rate for each pay band. (See Table the specific guidelines established by (3) years and quality of related 4) the PMB. experience; (4) relevant training; 3. Pay Setting for Appointment 7. Pay Setting for Demotion or (5) performance appraisals and Upon initial appointment, the Placement in a Lower Pay Band experience as a supervisor/team leader; individual’s pay may be set at the Employees demoted for cause (6) organizational level of position; lowest base pay in the pay band or (performance or conduct) are not and anywhere within the band level entitled to pay retention and will (7) impact on the organization. consistent with the special receive a minimum of a five percent b. After the date of conversion into qualifications of the individual and the decrease in base pay provided that the demonstration project, a base pay unique requirements of the position. decrease does not result in base pay adjustment may be considered under These special qualifications may be in falling below the minimum rate for the the following conditions: the form of education, training, pay band. Employees demoted for (1) New hires into supervisory/team experience, or any combination thereof reasons other than cause (e.g., erosion of leader positions will have their initial that is pertinent to the position in which duties, reclassification of duties to a rate of base pay set at the supervisor’s the employee is being placed. Guidance lower pay band, application under discretion within the base pay range of on pay setting for new hires will be competitive announcements, at the the applicable pay band, subject to established by the PMB. employee’s request, or placement approval of the ARDEC Director. This actions resulting from RIF procedures) rate of pay may include a base pay 4. Highest Previous Rate may be entitled to pay retention in adjustment determined by using the Highest Previous Rate (HPR) will be accordance with the provisions of 5 ranges and criteria outlined above. considered in placement actions U.S.C. 5363 and 5 CFR part 536, except (2) A career employee selected for a authorized under rules similar to the as waived or modified in section X of supervisory/team leader position that is HPR rules in 5 CFR 531.221. Use of HPR this plan. within the employee’s current pay band will be at the supervisor’s discretion; may also be considered for a base pay but if used, HPR is subject to policies 8. Pay Setting for Employees on a CIP adjustment. If a supervisor/team leader established by the PMB. Employees who are on a CIP do not is already authorized a base pay receive contribution payouts or the adjustment and is subsequently selected 5. Pay Setting for Promotion general pay increase. This action may for another supervisor/team leader The minimum base pay increase upon result in a base pay that is below the position within the same pay band, the promotion to a higher pay band will be assigned band. This occurs because the base pay adjustment will be re- six percent or the amount necessary to minimum rate of base pay in a pay band determined. set the new base pay at the minimum increases as the result of the general pay c. Supervisors and team leaders will base pay rate of the new pay band, increase (5 U.S.C. 5303). For this not receive a base pay adjustment at the whichever is greater. The maximum situation, the employee will remain in time of initial conversion into the amount of a base pay increase for a the assigned band until such time as the demonstration project. The supervisor/ promotion will not exceed $10,000 or CIP is resolved. Upon resolution of the team leader pay adjustment will be other such amount as established by the CIP, pay or band adjustments shall be reviewed annually, with possible PMB. The maximum base pay increase made in accordance with this increases or decreases based on the for promotion may be exceeded when document. This action will not be AOCS. The initial dollar amount of a necessary to allow for the minimum considered an adverse action, nor will it base pay adjustment will be removed base pay increase. For employees be grievable. when the employee voluntarily leaves promoted from positions external to Lab the position. The cancellation of the Demo covered by special rates, the new 9. Supervisory and Team Leader Pay base pay adjustment under these demonstration project base pay rate will Adjustments circumstances is not an adverse action be calculated to assure an adjusted base a. Supervisory and team leader pay and is not subject to appeal. If an pay increase of a minimum of six adjustments may be approved by the employee is removed from a percent. ARDEC Director based on the supervisory/team leader position for

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personal cause (performance or employee is removed from a pay will be in the form of a staffing conduct), the base pay adjustment will supervisory/team leader position, supplement. Adverse action and pay be removed under adverse action regardless of cause. retention provisions will not apply to procedures. However, if an employee is b. After initiation of the the conversion process, as there will be removed from a non-probationary demonstration project, all personnel no loss or decrease in total pay. actions involving a supervisory or team supervisory/team leader position for The staffing supplement is calculated leader differential will require a conditions other than voluntary or for as follows. Upon conversion, the personal cause, pay retention will statement signed by the employee demonstration base rate will be follow current law and regulations at 5 acknowledging that the differential may established by dividing the employee’s U.S.C. 5362 and 5363 and 5 CFR part be terminated or reduced at the former GS basic pay (including any 536, except as waived or modified in discretion of the ARDEC Director. The locality pay or special salary rate) or, for section X. termination or reduction of the differential is not an adverse action and former NSPS employees, the NSPS 10. Supervisory and Team Leader Pay is not subject to appeal. adjusted base salary (the higher of GS Differentials special rate, NSPS targeted local market a. Supervisory and team leader pay 11. Staffing Supplements supplement, or locality rate) by the differentials may be used by the ARDEC Employees assigned to occupational staffing factor. The staffing factor will be Director to provide an incentive and categories and geographic areas covered determined by dividing the maximum reward supervisors and team leaders. by GS special rates will be entitled to a special rate for the banded grades by the Pay differentials are not funded from staffing supplement if the maximum GS unadjusted rate corresponding to performance pay pools. A pay adjusted base pay for the banded GS that special rate (step 10 of the GS rate differential is a cash incentive that may grades to which assigned is a special for the same grade as the special rate). range up to ten percent of base pay for rate that exceeds the maximum GS The employee’s demonstration staffing supervisors and for team leaders. It is locality rate for the banded grades. The supplement is derived by multiplying paid on a pay period basis with a staffing supplement is added to the base the demonstration base pay rate by the specified not-to-exceed (NTE) of one pay, much like locality rates are added staffing factor minus one. Therefore, the year or less and is not included as part to base pay. For employees being employee’s final demonstration special of the base pay. Criteria to be considered converted into the demonstration staffing rate equals the demonstration in determining the amount of the pay project, total pay immediately after base pay rate plus the staffing differential are the same as those conversion will be the same as supplement. This amount will equal the identified for Supervisory and Team immediately before (excluding the employee’s former GS adjusted basic Leader Pay Adjustments. The impact of any WGI buy-in for GS pay rate or NSPS adjusted base salary differential must be terminated if the employees), but a portion of the total rate. Simplified, the formula is this:

If an employee is in a band where the employee’s demonstration locality- need for a staffing supplement. If OPM maximum GS adjusted basic pay or adjusted base pay rate will equal the discontinues or decreases a special rate NSPS adjusted base salary rate for the employee’s former GS adjusted basic schedule, pay retention provisions will banded grades is a locality rate, when pay rate in accordance with the above be applied. Upon geographic movement, the employee enters into the provisions using the new special salary an employee who receives the staffing demonstration project, the rate. Any GS or special rate schedule supplement will have the supplement demonstration base pay rate is derived adjustment will require computing the recomputed. Any resulting reduction in by dividing the employee’s former GS staffing supplement again. Employees pay will not be considered an adverse adjusted basic pay rate (the higher of receiving a staffing supplement remain action or a basis for pay retention. locality rate or special rate) by the entitled to an underlying locality rate, An established base pay rate plus the applicable locality pay factor. The which may over time supersede the staffing supplement will be considered

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adjusted base pay for the same purposes increase the employee’s individual essential component of an organization as a locality rate under 5 CFR 531.610, effectiveness. The developmental that requires continuous acquisition of e.g., for purposes of retirement, life opportunity period will not result in advanced and specialized knowledge. insurance, premium pay, severance pay, loss of (or reduction) in base pay, leave Degree training is also a critical tool for and advances in pay. It will also be used to which the employee is otherwise recruiting and retaining employees with to compute worker’s compensation entitled, or credit for service time. The or requiring critical skills. payments and lump-sum payments for positions of employees on expanded Each academic degree training accrued and accumulated annual leave. developmental opportunities may be program in its entirety can be approved If an employee is in an occupational back-filled (i.e., with temporarily based upon a complete individual category covered by a new or modified assigned, detailed, or promoted degree study program plan; it will special salary rate table, and the pay employees or with term employees). ensure continuous acquisition of band to which assigned is not entitled However, that position or its equivalent advanced specialized knowledge to a staffing supplement, then the must be made available to the employee essential to the organization and employee’s adjusted base pay may be upon return from the developmental enhance our ability to recruit and retain reviewed and adjusted to accommodate period. The PMB will provide written personnel critical to the present and the rate increase provided by the special guidance for employees on application future requirements of the organization. salary rate table. The review may result procedures and develop a process that Degree or certificate payment may not in a one-time base pay increase if the will be used to review and evaluate be authorized where it would result in employee’s adjusted base pay equals or applicants for development a tax liability for the employee without is less than the highest special salary opportunities. the employee’s express and written rate grade and step that exceeds the a. Sabbatical. The ARDEC Director has consent. Any variance from this policy comparable locality grade and step. the authority to grant paid or unpaid must be rigorously determined and Demonstration project operating sabbaticals to all career employees. The documented. Guidelines will be procedures will identify the officials purpose of a sabbatical will be to permit developed to ensure competitive responsible to make such reviews and employees to engage in study or approval of degree or certificate determinations. uncompensated work experience that payment and that such decisions are will benefit the organization and fully documented. Employees approved 12. Pay Retention contribute to the employee’s for degree training must sign a service For purposes of actions within the development and effectiveness. Each obligation agreement to continue service ARDEC demonstration project that sabbatical must result in a product, in the ARDEC for a period three times provide entitlement to pay retention, the service, report, or study that will benefit the length of the training period standard provisions of pay retention the ARDEC mission as well as increase commencing after the completion of the under 5 U.S.C. 5362 and 5363 and 5 the employee’s individual effectiveness. entire degree program. If an employee CFR part 536 shall apply to employees Various learning or developmental voluntarily leaves the ARDEC before the after conversion to the demonstration experiences may be considered, such as service obligation is completed, he/she project, except as waived or modified in advanced academic teaching, research, is liable for repayment of expenses Section X of this plan. Wherever the self-directed or guided study, and on- incurred by the ARDEC that are related term ‘‘grade’’ is used in the law or the-job work experience. to the critical skills training. Expenses regulation, the term ‘‘pay band’’ will be One paid sabbatical of up to twelve do not include salary costs. The ARDEC substituted. The intent is to only use months in duration or one unpaid Director has the authority to waive this pay retention for all situations. Grade sabbatical of up to six months in a requirement. Criteria for such waivers retention provisions will not be calendar year may be granted to an will be addressed in the operating applicable to the ARDEC Demonstration employee in any seven-year period. procedures. Project. The ARDEC Director may grant Employees will be eligible to request a c. Student Career Experience Program pay retention to employees who meet sabbatical after completion of seven (SCEP) Service Agreement. The general eligibility requirements, but do years of Federal service. Employees extended repayment period also applies not have specific entitlement by law, approved for a paid sabbatical must sign to employees under the SCEP who have provided they are not specifically a service obligation agreement to received tuition assistance. They will be continue in service in the ARDEC for a excluded. required to sign a service agreement up period three times the length of the to three times the length of the academic G. Employee Development sabbatical. If an employee voluntarily training period or periods (semesters, leaves the ARDEC organization before 1. Expanded Developmental trimesters, or quarters). the service obligation is completed, he/ Opportunity Program H. Reduction-in-Force (RIF) Procedures she is liable for repayment of expenses The Expanded Developmental incurred by ARDEC that are associated The competitive area may be Opportunity Program will be available with training during the sabbatical. determined by Occupational Family, to all demonstration project employees. Expenses do not include salary costs. lines of business, product lines, Expanded developmental opportunities The ARDEC Director has the authority organizational units, funding lines, complement existing developmental to waive this requirement. Criteria for occupational series, functional area, opportunities such as long-term such waivers will be addressed in the and/or geographical location, or a training; rotational job assignments; operating procedures. Specific combination of these elements, and developmental assignments to Army procedures will be developed for must include all Demonstration Project Materiel Command, Army, or DoD; and processing sabbatical applications upon employees within the defined self-directed study via correspondence implementation of the demonstration competitive area. The RIF system has a courses, local colleges, and universities. project. single round of competition to replace Each developmental opportunity must b. Critical Skills Training. The ARDEC the current GS two-round process. Once result in a product, service, report, or Director has the authority to approve the position to be abolished has been study that will benefit the ARDEC or academic degree training consistent identified, the incumbent of that customer organization as well as with 5 U.S.C. 4107. Training is an position may displace another employee

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when the incumbent has a higher full 21 years of service augmentation. 2. WGI Buy-In retention standing and is fully qualified After completion of the first or second For GS employees, rules governing for the position occupied by the rating cycle, the total years of service WGIs will continue in effect until employee with a lower standing. augmentation will be prorated based on conversion. Adjustments to the Retention standing is based on tenure, ratings received to date. employee’s GS basic pay for WGI equity veterans’ preference, and length of IV. Implementation Training will be computed as of the effective date service augmented by performance. of conversion. WGI equity will be Modified term appointment and A. Critical to the success of the acknowledged by increasing basic pay temporary employees are in tenure demonstration project is the training by a prorated share based upon the group III for RIF purposes. RIF developed to promote understanding of number of full weeks an employee has procedures are not required when the broad concepts and finer details completed toward the next higher step. separating these employees when their needed to implement and successfully Payment will equal the value of the appointments expire. execute this project. Pay banding, a new employee’s next WGI times the Displacement is limited to one pay position classification system, and a proportion of the waiting period band level below the employee’s present new CBCS all represent significant completed (weeks completed in waiting pay band level within the Occupational cultural change for the organization. period/weeks in the waiting period) at Family career path. Pay band level I Training will be tailored to address the time of conversion. GS employees at employees can displace within their employee concerns and to encourage step 10 or receiving a retained rate, on current pay band level. A veterans’ comprehensive understanding of the the day of implementation will not be preference eligible employee with a demonstration project. Training will be eligible for WGI equity adjustments. GS compensable service connected required both prior to implementation employees serving on retained grade disability of 30 percent or more may and at various times during the life of will receive WGI equity adjustments displace up to two pay band levels the demonstration project. provided they are not at step 10 or below the employee’s present level B. A training program will begin prior receiving a retained rate. within the Occupational Family career to implementation and will include path. A pay band level I preference modules tailored for employees, 3. Conversion of Term and Temporary eligible employee (with a compensable supervisors, senior managers, and Limited Appointments service connected disability of 30 administrative staff. Typical modules Employees serving under a term percent or more) can displace within are: appointment at the time of their current pay band. Employees 1. An overview of the demonstration demonstration project implementation bumped to lower pay band levels are project; will be converted to the modified term entitled to pay retention. The same 2. conversion in and out of the appointment if all requirements (refer to ‘‘ ’’ undue disruption standard currently system; III.D.6, Modified Term Appointments) utilized, serves as the criteria to 3. pay banding; have been satisfied. Employees serving determine if an employee is fully 4. the CBCS; under temporary limited appointments qualified. at the time of demonstration The additional reduction-in-force 5. defining objectives; 6. assigning weights; implementation will be converted to years of service augmentation for temporary limited appointments. performance shall be based upon the 7. assessing performance, including delta between an employee’s AOCS and feedback; 4. Conversion of Special Salary Rate an employee’s EOCS at the end of a 8. new position descriptions; and Employees rating cycle. The following are the years 9. demonstration project Employees who are in positions of service augmentation rules: administration and formal evaluation. covered by a special salary rate prior to a. Seven (7) years of service C. Various types of training are being the demonstration project will no longer augmentation for each year the AOCS is considered, including videos, on-line be considered a special salary rate greater than or equal to the EOCS minus tutorials, and train-the-trainer concepts. employee under the demonstration ≥ ¥ 3 (AOCS EOCS 3). V. Conversion project. These employees will be b. Four (4) years of service eligible for full locality pay. The augmentation for each year the AOCS is A. Conversion From the GS System to adjusted pay for these employees will less than the EOCS minus 3 (AOCS < the Demonstration Project not change. The employees will receive ¥ EOCS 3). 1. Placement Into Demonstration Project a new staffing adjusted base pay rate c. Zero (0) years of service Occupational Families, Career Paths, computed under the staffing augmentation for each year the and Pay Bands supplement rules in section III.F.11. employee was placed on a CIP at any time during the rating cycle. Conversion will be into the 5. Probationary Periods An employee on a CIP, any time Occupational Family and career path a. Initial probationary period. GS during the rating cycle, may only that corresponds to the employee’s employees who have completed an displace an employee who was also on current GS grade and basic pay. If initial probationary period prior to a CIP during the same rating cycle. The conversion into the demonstration conversion from GS will not be required displaced individual may similarly project is accompanied by a to serve a new or extended initial displace another employee on a CIP simultaneous change in the geographic probationary period. GS employees who during the same rating cycle. If there is location of the employee’s duty station, are serving an initial probationary no position in which an employee can the employee’s overall GS entitlements period upon conversion from GS will be placed by this process or assigned to (including locality rate) in the new area serve the time remaining on their initial a vacant position, that employee will be will be determined before converting probationary period. separated. If an employee has not been the employee’s pay to the demonstration b. Supervisory probationary period. rated under the demonstration project, project pay system. Employees will be GS employees who have completed a their rating will be considered assured of placement within the new supervisory probationary period prior to acceptable and they will be given the system without loss of total pay. conversion from GS will not be required

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to serve a new or extended supervisory corresponding GS grade for the but demonstration project pay band probationary period while in their employee’s NSPS position using OPM placement no longer provides the current position. GS employees who are GS classification standards and opportunity for promotion, a pay equity serving a supervisory probationary guidance. Once the GS grade has been adjustment may be authorized provided period upon conversion from GS will determined, the employee’s position the adjustment does not cause the serve the time remaining on their will be placed in the appropriate employee’s base pay to exceed the supervisory probationary period. demonstration project pay band in the maximum rate of his or her assigned pay occupational family career path. band and the employee’s performance 6. Transition Equity 2. Pay Upon Conversion From NSPS warrants an adjustment. The decision to During the first 12 months following grant a pay equity adjustment is at the conversion to the demonstration project, Conversion from NSPS into the sole discretion of the ARDEC Director management may approve certain demonstration project will be and is not subject to employee appeal adjustments within the pay band for pay accomplished with full employee pay procedures. equity reasons stemming from protection. Adverse action provisions During the first 12 months following conversion. For example, if an employee will not apply to the conversion action. conversion, management may approve would have been otherwise promoted In accordance with section 1113(c)(1) of an adjustment of not more than 20 but demonstration project pay band NDAA 2010, which prohibits a loss of percent, provided the adjustment does placement no longer provides the or decrease in pay upon transition from not cause the employee’s base pay to opportunity for promotion, a pay equity NSPS, employees converting to the exceed the maximum rate of his or her adjustment may be authorized provided demonstration project will retain the assigned pay band and the employee’s the adjustment does not cause the adjusted salary (as defined in 5 CFR performance warrants an adjustment, to employee’s base pay to exceed the 9901.304) from their NSPS permanent mitigate compensation inequities that maximum rate of his or her assigned pay or temporary position at the time the may be caused by artifacts of the process band and the employee’s performance position converts. Upon conversion, the of conversion into STRL pay bands. warrants an adjustment. The decision to retained NSPS adjusted salary may not grant a pay equity adjustment is at the exceed Level IV of the Executive 5. Pay Band Retention sole discretion of the ARDEC Director Schedule plus five percent. If the Employees converting from NSPS to and is not subject to employee appeal employee’s base pay exceeds the the demonstration project will not be procedures. maximum rate for his or her assigned granted pay band retention based on the During the first 12 months following demonstration project pay band, the pay band formerly assigned to their conversion, management may approve employee will be placed on indefinite NSPS position. an adjustment of not more than 20 pay retention until an event, as 6. Converting Employees on NSPS Term percent, provided the adjustment does described in 5 CFR 536.308, results in and Temporary Appointments not cause the employee’s base pay to a loss of eligibility for or termination of exceed the maximum rate of his or her pay retention. If an employee’s base pay a. Employees serving under term assigned pay band and the employee’s is less than the minimum rate for his/ appointments at the time of conversion performance warrants an adjustment, to her assigned demonstration project pay to the demonstration project will be mitigate compensation inequities that band, the employee will have his/her converted to modified term may be caused by artifacts of the process base pay rate increased to the minimum appointments provided they were hired of conversion into STRL pay bands. of the pay band. for their current positions under Employees covered by an NSPS competitive procedures. These B. Conversion From NSPS to the targeted local market supplement employees will be eligible for Demonstration Project (TLMS) prior to conversion to the conversion to career or career- 1. Placement Into Demonstration Project demonstration project will no longer be conditional appointments in the Occupational Families, Career Paths, covered by a TLMS. Instead, they will competitive service provided they: Pay Plans, and Pay Bands receive a staffing supplement. The (1) Have served two years of adjusted base pay upon conversion will continuous service in the term position; The employee’s NSPS occupational not change. (2) were selected for the term position series, pay plan, pay band, and under competitive procedures; and supervisory code will be considered 3. Fair Labor Standards Act (FLSA) (3) are performing at a satisfactory upon converting into the demonstration Status level. project as follows. Since FLSA provisions were not a. Determine the appropriate waived under NSPS and duties do not Converted term employees who do not demonstration project pay plan. change upon conversion to the meet these criteria may continue on Employees will be converted into an demonstration project, the FLSA status their term appointment up to the not-to- occupational family career path and pay determination will remain the same exceed date established under NSPS. plan based on the occupational series of upon conversion. Employees will be Extensions of term appointments after their position. In cases where the converted to the demonstration project conversion may be granted in employee is assigned to a NSPS-unique with the same FLSA status they had accordance with 5 CFR part 316, subpart occupational series, a corresponding under NSPS. D. OPM occupational series must be b. Employees serving under identified using OPM GS classification 4. Transition Equity temporary appointments under NSPS standards and guidance to determine During the first 12 months following when their organization converts to the the proper demonstration project pay conversion to the demonstration project, demonstration project will be converted plan. management may approve certain and may continue on their temporary b. Determine the appropriate adjustments within the pay band for pay appointment up to the not-to-exceed demonstration project pay band. The equity reasons stemming from date established under NSPS. appropriate pay band will be conversion. For example, if an employee Extensions of temporary appointments determined by establishing the would have been otherwise promoted after conversion may be granted in

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accordance with 5 CFR 213.104 for 2. Determining a GS-Equivalent Grade adjusted base pay rate of the highest GS excepted service employees and 5 CFR and GS-Equivalent Rate of Pay for Pay grade in the band, the employee is part 316, subpart D, for competitive Setting Purposes When an ARDEC converted to that grade. service employees. Employee’s Coverage by a (c) If the employee’s adjusted base pay Demonstration Project Pay Plan under the demonstration project is 7. Probationary Periods Terminates or the Employee Voluntarily lower than the applicable step 4 adjusted base pay rate of the highest a. Initial probationary period. NSPS Exits the ARDEC Demonstration Project grade, the adjusted base pay under the employees who have completed an a. If a demonstration project employee demonstration project is compared with initial probationary period prior to is moving to a GS or other pay system the step 4 adjusted base pay rate of the conversion from NSPS will not be position, the following procedures will be used to translate the employee’s second highest grade in the employee’s required to serve a new or extended pay band. If the employee’s adjusted initial probationary period. NSPS project pay band to a GS-equivalent grade and the employee’s project base base pay under the demonstration employees who are serving an initial project equals or exceeds the step 4 probationary period upon conversion pay to the GS-equivalent rate of pay for pay setting purposes. The equivalent GS adjusted base pay rate of the second from NSPS will serve the time highest grade, the employee is remaining on their initial probationary grade and GS rate of pay must be determined before movement out of the converted to that grade. period. (d) This process is repeated for each demonstration project and any successively lower grade in the band b. Supervisory probationary period. accompanying geographic movement, until a grade is found in which the NSPS employees who have completed a promotion, or other simultaneous employee’s adjusted base pay under the supervisory probationary period prior to action. For lateral reassignments, the demonstration project rate equals or conversion from NSPS will not be equivalent GS grade and rate will exceeds the applicable step 4 adjusted required to serve a new or extended become the employee’s converted GS base pay rate of the grade. The employee supervisory probationary period while grade and rate after leaving the is then converted at that grade. If the in their current position. NSPS demonstration project (before any other employee’s adjusted base pay is below employees who are serving a action). For transfers, promotions, and the step 4 adjusted base pay rate of the supervisory probationary period upon other actions, the converted GS grade lowest grade in the band, the employee conversion from NSPS will serve the and rate will be used in applying any is converted to the lowest grade. time remaining on their supervisory GS pay administration rules applicable (e) Exception: An employee will not in connection with the employee’s probationary period. be provided a lower grade than the movement out of the project (e.g., grade held by the employee C. Conversion From Other Personnel promotion rules, highest previous rate immediately preceding a conversion, Systems rules, pay retention rules), as if the GS lateral reassignment, or lateral transfer converted grade and rate were actually Employees who enter the into the project, unless since that time in effect immediately before the demonstration project from other the employee has either undergone a employee left the demonstration project. personnel systems (e.g., Defense reduction in band or a reduction within Civilian Intelligence Personnel System, (1) Equivalent GS-Grade-Setting the same pay band due to unacceptable Civilian Acquisition Workforce Provisions performance. Demonstration Project, or other STRLs) An employee in a pay band (2) Equivalent GS-Rate-of-Pay-Setting will be subject to the pay rules that corresponding to a single GS grade is Provisions govern conversion out of their provided that grade as the GS- An employee’s pay within the respective systems. Conversion into Lab equivalent grade. An employee in a pay converted GS grade is set by converting Demo will be based upon the position band corresponding to two or more the employee’s demonstration project classification of the employee’s new grades is determined to have a GS- rates of pay to GS rates of pay in position and the Lab Demo rules, equivalent grade corresponding to one consistent with the intent as outlined accordance with the following rules: of those grades according to the (a) The pay conversion is done before for GS and NSPS above. following rules: any geographic movement or other pay- (a) The employee’s adjusted base pay D. Movement out of the ARDEC related action that coincides with the under the demonstration project Demonstration Project employee’s movement or conversion out (including any locality payment or of the demonstration project. 1. Termination of Coverage Under the staffing supplement) is compared with (b) An employee’s adjusted base pay ARDEC Demonstration Project Pay Plans step 4 rates in the highest applicable GS under the demonstration project (i.e., rate range. For this purpose, a GS rate including any locality payment or In the event employees’ coverage range includes a rate in: staffing supplement) is converted to a under the ARDEC demonstration project i. the GS base schedule; GS adjusted base pay rate on the highest pay plans is terminated, employees ii. the locality rate schedule for the applicable GS rate range for the move with their demonstration project locality pay area in which the position converted GS grade. For this purpose, a position to another system applicable to is located; or iii. the appropriate special rate GS rate range includes a rate range in: ARDEC employees. The grade of their i. the GS base schedule, demonstration project position in the schedule for the employee’s ii. an applicable locality rate new system will be based upon the occupational series, as applicable. schedule, or position classification criteria of the If the series is a two-grade interval iii. an applicable special rate gaining system. Employees when series, only odd-numbered grades are schedule. converted to their positions classified considered below GS–11. (c) If the highest applicable GS rate under the new system will be eligible (b) If the employee’s adjusted base range is a locality pay rate range, the for pay retention under 5 CFR part 536, pay under the demonstration project employee’s adjusted base pay under the if applicable. equals or exceeds the applicable step 4 demonstration project is converted to a

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GS locality rate of pay. If this rate falls VII. Project Duration and organizational effectiveness, it is between two steps in the locality- Public Law 103–337 removed any hypothesized that the new HR system adjusted schedule, the rate must be set mandatory expiration date for section will contribute to improved at the higher step. The converted GS 342(b) demonstration projects. The organizational effectiveness. unadjusted rate of base pay would be ARDEC, DA, and DoD will ensure this 2. Organizational performance the GS base rate corresponding to the project is evaluated for the first five measures established by the converted GS locality rate (i.e., same years after implementation in organization will be used to evaluate the step position). accordance with 5 U.S.C. 4703. impact of a new HR system on the (d) If the highest applicable GS rate Modifications to the original evaluation ultimate outcomes. The evaluation of range is a special rate range, the plan or any new evaluation will ensure the new HR system for any given employee’s adjusted base pay under the the project is evaluated for its organization will take into account the demonstration project is converted to a effectiveness, its impact on mission, and influence of three factors on special rate. If this rate falls between any potential adverse impact on any organizational performance: Context, two steps in the special rate schedule, employee groups. Major changes and degree of implementation, and support the rate must be set at the higher step. modifications to the interventions of implementation. The context factor The converted GS unadjusted rate of would be made if formative evaluation refers to the impact which intervening base pay will be the GS rate data warrants and will be published in variables (i.e., downsizing, changes in corresponding to the converted special the Federal Register to the extent mission, or the economy) can have on rate (i.e., same step position). required. At the five-year point, the the effectiveness of the program. The (3) Employees With Pay Retention demonstration will be reexamined for degree of implementation considers: If an employee is receiving a retained permanent implementation, a. The extent to which the HR changes rate under the demonstration project, modification and additional testing, or are given a fair trial period; the employee’s GS-equivalent grade is termination of the entire demonstration b. the extent to which the changes are the highest grade encompassed in his or project. implemented; and her pay band level. Demonstration c. the extent to which the changes project operating procedures will VIII. Evaluation Plan conform to the HR interventions as outline the methodology for A. Overview planned. determining the GS-equivalent pay rate Chapter 47 of 5 U.S.C. requires that an The support of implementation factor for an employee retaining a rate under evaluation be performed to measure the accounts for the impact that factors such the demonstration project. effectiveness of the demonstration as training, internal regulations, and VI. Other Provisions project and its impact on improving automated support systems have on the public management. A comprehensive support available for program A. Personnel Administration evaluation plan for the entire implementation. The support for All personnel laws, regulations, and demonstration program, originally program implementation factor can also guidelines not waived by this plan will covering 24 DoD laboratories, was be affected by the personal remain in effect. Basic employee rights developed by a joint OPM/DoD characteristics (e.g., attitudes) of will be safeguarded and Merit System Evaluation Committee in 1995. This individuals who are implementing the Principles will be maintained. Servicing plan was submitted to the Office of program. CPACs will continue to process Defense Research and Engineering and 3. The degree to which the project is personnel-related actions and provide was subsequently approved. The main implemented and operated will be consultative and other appropriate purpose of the evaluation is to tracked to ensure that the evaluation services. determine whether the waivers granted results reflect the project as it was result in a more effective personnel intended. Data will be collected to B. Automation system and improvements in ultimate measure changes in both intermediate The ARDEC will continue to use outcomes (i.e., organizational and ultimate outcomes as well as any standard systems such as the Defense effectiveness, mission accomplishment, unintended outcomes, which may Civilian Personnel Data System and customer satisfaction). happen as a result of any organizational (DCPDS) for the processing of change. In addition, the evaluation will personnel-related data. Payroll servicing B. Evaluation Model track the impact of the project and its will continue from the respective 1. Appendix D shows an intervention interventions on veterans and other payroll offices. model for the evaluation of the protected groups, the Merit System An automated tool will be used to demonstration project. The model is Principles, and the Prohibited Personnel support computation of performance designed to evaluate two levels of Practices. Additional measures may be related pay increases and bonus and organizational performance: added to the model in the event that other personnel processes and systems Intermediate and ultimate outcomes. changes or modifications are made to associated with this project. The intermediate outcomes are defined the demonstration plan. as the results from specific personnel 4. The intervention model at C. Experimentation and Revision system changes and the associated Appendix D will be used to measure the Many aspects of a demonstration waivers of law and regulation expected effectiveness of the personnel system project are experimental. Modifications to improve human resource (HR) interventions implemented. The may be made from time to time as management (i.e., cost, quality, and intervention model specifies each experience is gained, results are timeliness). The ultimate outcomes are personnel system change or intervention analyzed, and conclusions are reached determined through improved that will be measured and shows: on how the new system is working. organizational performance, mission a. The expected effects of the DoDI 1400.37, July 28, 2009, provides accomplishment, and customer intervention, instructions for making minor changes satisfaction. Although it is not possible b. the corresponding measures, and to an existing demonstration project and to establish a direct causal link between c. the data sources for obtaining the requesting new initiatives. changes in the HR management system measures.

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Although the model makes predictions perception of the project. The multiple project outcomes after five years. The about the outcomes of specific sources of data collection will provide final report will provide information on intervention, causal attributions about a more complete picture as to how the how well the HR system changes the full impact of specific interventions interventions are working. The achieved the desired goals, which will not always be possible for several information gathered from one source interventions were most effective, and reasons. For example, many of the will serve to validate information whether the results can be generalized initiatives are expected to interact with obtained through another source. In so to other Federal installations. each other and contribute to the same doing, the confidence of overall findings IX. Demonstration Project Costs outcomes. In addition, the impact of will be strengthened as the different changes in the HR system may be collection methods substantiate each A. Cost Discipline mitigated by context variables (e.g., the other. job market, legislation, and internal 2. Both quantitative and qualitative An objective of the demonstration support systems) or support factors (e.g., data will be used when evaluating project is to ensure in-house cost training, automation support systems). outcomes. The following data will be discipline. A baseline will be established at the start of the project and C. Evaluation collected: a. Workforce data; labor expenditures will be tracked A modified quasi-experimental design b. personnel office data; yearly. Implementation costs (including will be used for the evaluation of the c. employee attitude surveys; project development, automation costs, STRL Personnel Demonstration d. focus group data; step buy-in costs, and evaluation costs) Program. Because most of the eligible e. local site historian logs and are considered one-time costs and will laboratories are participating in the implementation information; not be included in the cost discipline. program, a title 5 U.S.C. comparison f. customer satisfaction surveys; and The PMB will track personnel cost group will be compiled from the Central g. core measures of organizational changes and recommend adjustments if Personnel Data File (CPDF). This performance. required to achieve the objective of cost comparison group will consist of 3. The evaluation effort will consist of discipline. workforce data from Government-wide two phases, formative and summative research organizations in civilian evaluation, covering at least five years to B. Developmental Costs Federal agencies with missions and job permit inter- and intra-organizational series matching those in the DoD estimates of effectiveness. The formative Costs associated with the laboratories. This comparison group evaluation phase will include baseline development of the personnel will be used primarily in the analysis of data collection and analysis, demonstration project include software pay banding costs and turnover rates. implementation evaluation, and interim automation, training, and project assessments. The formal reports and evaluation. All funding will be provided D. Method of Data Collection interim assessments will provide through the organization’s budget. The 1. Data from several sources will be information on the accuracy of project Projected Annual Expenses are used in the evaluation. Information from operation, and current information on summarized in Table 6. Project existing management information impact of the project on veterans and evaluation costs are not expected to systems and from personnel office protected groups, Merit System continue beyond the first five years records will be supplemented with Principles, and Prohibited Personnel unless the results and external perceptual survey data from employees Practices. The summative evaluation requirements warrant further to assess the effectiveness and will focus on an overall assessment of 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 the extent that these statutory clarify that volunteers under the Regulation provisions limit or are inconsistent with Volunteer Emeritus Corps are the actions contemplated under this considered employees of the Federal Public Law 106–398 gave the DoD the government for purposes of this section. authority to experiment with several demonstration project. Nothing in this personnel management innovations. In plan is intended to preclude the Chapter 31, section 3111: Acceptance addition to the authorities granted by demonstration project from adopting or of Volunteer Service. Waived to allow the law, the following are waivers of law incorporating any law or regulation for a Volunteer Emeritus Corps in and regulation that will be necessary for enacted, adopted, or amended after the addition to student volunteers. implementation of the demonstration effective date of this demonstration Chapter 33, subchapter 1, section project. In due course, additional laws project. 3318(a): Competitive Service, Selection and regulations may be identified for A. Waivers to Title 5, U.S.C. from Certificate. Waived to the extent waiver request. necessary to eliminate the requirement The following waivers and Chapter 5, section 552a: Records for selection using the ‘‘Rule of Three.’’ adaptations of certain title 5 U.S.C. and maintained on individuals. This section Chapter 33, section 3319: Alternative 5 CFR provisions are required only to is waived only to the extent required to Ranking and Selection Procedures. This

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section is waived to eliminate quality demonstration project’s pay banding Conversions from GS special rates to categories. system and pay provisions. demonstration project pay, as long as Chapter 33, section 3321: Competitive Chapter 53, sections 5361–5366: total pay is not reduced; (2) reductions Service; Probationary Period. This Grade and Pay Retention. These sections in pay due to the removal of a section waived only to the extent waived to the extent necessary to: (1) supervisory or team leader pay necessary to replace grade with ‘‘pay Replace grade with ‘‘pay band;’’ and (2) adjustment upon voluntary movement band level.’’ allow Demonstration project employees to a non-supervisory or non-team leader Chapter 33, section 3341: Details. to be treated as GS employees. position; and (3) reduction in Waived in entirety. Chapter 55, section 5542(a)(1)–(2): supervisory pay due to a performance Chapter 41, section 4107a(1) and b(2) Overtime rates; computation. Waived to review. the extent necessary to provide that the to the extent required to allow ARDEC B. Waivers to Title 5, CFR to pay for all courses related to a degree GS–10 minimum special rate (if any) for program approved by the ARDEC the special rate category to which a Part 300, sections 300.601 through Director. project employee belongs is deemed to 605: Time-in-Grade restrictions. Waived Chapter 41, section 4108(a)–(c): be the ‘‘applicable special rate’’ in to eliminate time-in-grade restrictions in Employee Agreements; Service After applying the pay cap provisions. the demonstration project. Training. Waived to the extent Chapter 55, section 5545(d): Part 308, sections 308.101 through necessary to: (1) Provide that the Hazardous duty differential. Waived to 308.103: Volunteer service. Waived to employee’s service obligation is to the the extent necessary to allow allow for a Volunteer Emeritus Corps in ARDEC organization for the period of demonstration project employees to be addition to student volunteers. Part 315, section 315.801(a), the required service; (2) permit the treated as GS employees. Chapter 55, section 5547(a)–(b): 315.801(b)(1), (c), and (e), and Director, ARDEC, to waive in whole or Limitation on premium pay. Waived to 315.802(a) and (b)(1): Probationary in part a right of recovery; and (3) the extent necessary to provide that the period and Length of probationary require employees under the Student GS–15 maximum special rate (if any) for period. Waived to the extent necessary Career Experience Program who have the special rate category to which an to allow for up to a three-year received tuition assistance to sign a employee belongs is deemed to be the probationary period and to permit service agreement up to three times the applicable special rate in applying the termination during the extended length of the training. pay cap provisions in 5 U.S.C. 5547. probationary period without using Chapter 43, section 4302 and 4303: Chapter 57, section 5753, 5754, and adverse action procedures for those Waived to the extent necessary to: (1) 5755: Recruitment and relocation employees serving a probationary Substitute pay band for grade and (2) bonuses, retention incentives and period under an initial appointment provide that moving to a lower pay band supervisory differentials. Waived to the except for those with veterans’ as a result of not receiving the general extent necessary to allow: (1) Employees preference. pay increase because of poor and positions under the demonstration Part 315, section 315.901 and 315.907: performance is not an action covered by project to be treated as employees and Probation on Initial Appointment to a the provisions of sections 4303(a) positions under the GS; and (2) that Supervisory or Managerial Position. through (d). management may offer a bonus to This section waived only to the extent Chapter 43, section 4304(b)(1) and (3): incentivize geographic mobility to a necessary to replace ‘‘grade’’ with ‘‘pay Responsibilities of the OPM. Waived in SCEP student. band level.’’ its entirety to remove the Chapter 59, section 5941: Allowances Part 316, sections 316.301, 316.303, responsibilities of the OPM with respect based on living costs and conditions of and 316.304: Term Employment. These to the performance appraisal system. environment; employees stationed sections are waived to allow modified Chapter 45, subchapter I, section outside continental U.S. or Alaska. term appointments as described in this 4502(a) and (b)-Waiver to permit Waived to the extent necessary to Federal Register notice. ARDEC to approve awards up to provide that cost of living allowances Part 332, sections 332.401 and $25,000 for individual employees. paid to employees under the 332.404: Order on Registers and Order Chapter 51, sections 5101–5112: demonstration project are paid in of Selection from Certificates. These Classification. Waived as necessary to accordance with regulations prescribed sections are waived to the extent allow for the demonstration project pay by the President (as delegated to OPM). necessary to allow: (1) No rating and banding system. Chapter 75, sections 7501(1), ranking when there are 15 or fewer Chapter 53, sections 5301, 5302 (8) 7511(a)(1)(A)(ii), and 7511(a)(1)(C)(ii): qualified applicants and no preference and (9), 5303, and 5304: Pay Adverse Actions—Definitions. Waived eligibles; (2) the hiring and appointment Comparability System. Sections 5301, to the extent necessary to allow for up authorities as described in this Federal 5302, and 5304 are waived to the extent to a three-year probationary period and Register notice; and (3) elimination of necessary to allow: to permit termination during the the ‘‘rule of three.’’ (1) Demonstration project employees extended probationary period without Part 335, section 335.103: Agency to be treated as GS employees and (2) using adverse action procedures for promotion programs. Waived to the basic rates of pay under the those employees serving a probationary extent necessary to extend the length of demonstration project to be treated as period under an initial appointment details and temporary promotions scheduled rates of pay. Occupational except for those with veterans’ without requiring competitive Family Chapter 53, section 5305: preference. procedures or numerous short-term Special Pay Authority. Waived to the Chapter 75, section 7512(3): Adverse renewals. extent necessary to allow for use of a actions. Waived to the extent necessary Part 337, section 337.101(a): Rating staffing supplement in lieu of the to replace ‘‘Grade’’ with ‘‘Pay Band.’’ applicants. Waived to the extent special pay authority. Chapter 75, section 7512(4): Adverse necessary to allow referral without Chapter 53, sections 5331–5336: actions. Waived to the extent necessary rating when there are 15 or fewer General Schedule Pay Rates. Waived in to provide that adverse action qualified candidates and no qualified its entirety to allow for the provisions do not apply to: (1) preference eligibles.

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Part 340, subpart A, subpart B, and ‘‘pay band’’; (2) exclude reductions in pertaining to ARDEC pay band and pay subpart C: Other than Full-Time Career pay band level not accompanied by a retention provisions. Employment. These subparts are waived reduction in pay; and (3) allow Part 550, sections 550.105 and to the extent necessary to allow a provisions of CBCS. For employees who 550.106: Bi-weekly and annual Volunteer Emeritus Corps. are reduced in pay band level without maximum earnings limitations. Waived Part 351, Reduction in Force. This a reduction in pay, sections 432.105 and to the extent necessary to provide that part is waived to the extent necessary to 432.106 (a) do not apply. the GS–15 maximum special rate (if allow provisions of the RIF plan as Part 451, subpart A, section any) for the special rate category to described in this Federal Register 451.103(c)(2): Waived with respect to which a project employee belongs is notice. In accordance with this FR, performance awards under the ARDEC deemed to be the applicable special rate ARDEC will define the competitive area, CBCS. in applying the pay cap provisions in 5 retention standing, and displacement Part 451, sections 451.106(b) and U.S.C. 5547. limitations. Specific waivers include: 451.107(b): Awards. Waived to permit Part 550, section 550.703: Definitions. Sections 351.402–351.404: Scope of ARDEC to approve awards up to Waived to the extent necessary to Competition: this part is waived to the $25,000 for individual employees. modify the definition of ‘‘reasonable extent necessary to allow for Part 511, subpart A: General offer’’ by replacing ‘‘two grade or pay modification of the competitive area; Provisions and subpart B: Coverage of levels’’ with ‘‘one band level’’ and ‘‘grade Sections 351.501–351.504: Retention the GS. Waived to the extent necessary or pay level’’ with ‘‘band level.’’ Standing: this part is waived to the to allow for the demonstration project Part 550, section 550.902: Definitions. extent necessary to allow for classification system and pay banding Waived to the extent necessary to allow modification of the calculation of the structure. demonstration project employees to be retention standing; Part 511, section 511.601: treated as GS employees. Part 575, subparts A, B, and C: Sections 351.601–351.608: Release Applicability of regulations. Recruitment, Relocation, and Retention from Competitive Level: this part is Classification appeals modified to the Incentives. Waived to the extent waived to the extent necessary to allow extent that white collar positions necessary to allow: (1) Employees and for the use of pay bands in lieu of established under the project plan, positions under the demonstration grades; and although specifically excluded from title Section 351.701: Assignment project covered by pay banding to be 5 CFR, are covered by the classification involving displacement. Waived to the treated as employees and positions appeal process outlined in this FRN extent that bump and retreat rights are under the GS; (2) Occupational Family section III.B.5., as amended below. limited to one pay band with the relocation incentives to new SCEP Part 511, section 511.603(a): Right to exception of 30 percent preference students; and (3) relocation incentives appeal. Waived to the extent necessary eligibles who are limited to two pay to SCEP students whose worksite is in to substitute pay band for grade. bands (or equivalent of five GS grades), a different geographic location than that Part 511, section 511.607(b): Non- and to limit the assignment rights of of the college enrolled. Appealable Issues. Add to the list of employees with an unacceptable current Part 575, subpart D: Supervisory issues that are neither appealable nor rating of record to a position held by Differentials. Subpart D is waived in its reviewable, the assignment of series another employee with an unacceptable entirety. under the project plan to appropriate rating of record. Part 591, subpart B: Cost-of-Living Part 410, section 410.308(a) and (c) Occupational Families and the Allowance and Post Differential—Non- sufficient to allow ARDEC to pay for all demonstration project classification foreign Areas. Waived to the extent courses related to an academic degree criteria. necessary to allow demonstration program approved by the ARDEC Part 530, subpart C: Special Rate project employees to be treated as Director. Schedules for Recruitment and employees under the GS system. Part 410, section 410.309: Agreements Retention. Waived in its entirety to Part 752, sections 752.101, 752.201, to continue in service. Waived to the allow for staffing supplements. 752.301 and 752.401: Principal statutory extent necessary to allow the ARDEC Part 531, subparts B: Determining requirements and Coverage. Waived to Director to determine requirements Rate of Basic Pay. Waived to the extent the extent necessary to allow for up to related to continued service agreements, necessary to allow for pay setting and a three-year probationary period and to including employees under the Student pay for performance under the permit termination during the extended Career Experience Program who have provisions of the demonstration project. probationary period without using received tuition assistance. Part 531, subparts D and E: Within- adverse action procedures for those Part 430, subpart B: Performance Grade Increases and Quality Step employees serving a probationary Appraisal for GS and Certain Other Increases. Waived in its entirety. period under an initial appointment Employees. Waived to the extent Part 531, subpart F: Locality-Based except for those with veterans’ necessary to be consistent with the Comparability Payments. Waived to the preference. CBCS. extent necessary to allow (1) Part 752, section 752.401: Coverage. Part 430, section 430.208(a)(1) and (2): demonstration project employees to be Waived to the extent necessary to Rating Performance. Waived to allow treated as GS employees, and (2) base replace grade with pay band and to presumptive ratings for new employees rates of pay under the demonstration provide that a reduction in pay band hired 90 days or less before the end of project to be treated as scheduled level is not an adverse action if it results the appraisal cycle or for other annual rates of pay. from the employee’s rate of base pay situations not providing adequate time Part 536: Grade and Pay Retention: being exceeded by the minimum rate of for an appraisal. These sections waived to the extent base pay for his/her pay band. Part 432, sections 432.101–432.105: necessary to: (1) Replace grade with Part 752, section 752.401(a)(4): Regarding performance based reduction ‘‘pay band;’’ (2) allow demonstration Coverage. Waived to the extent in grade and removal actions. These project employees to be treated as GS necessary to provide that adverse action sections are waived to the extent employees; and (3) to allow provisions provisions do not apply to: (1) necessary to: (1) Replace grade with of this Federal Register notice Conversions from GS special rates or

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NSPS Targeted Local Market of a supervisory or team leader pay of a supervisory or team leader pay Supplements to demonstration project adjustment upon voluntary movement adjustment based on the annual review. pay, as long as total pay is not reduced; to a non-supervisory or non-team leader (2) reductions in pay due to the removal position; or (3) decreases in the amount

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 0340 Program Management Series 2210 Information Technology Occupational Family 0341 Administrative Officer Series Management Series 0342 Support Services Administration I. Engineering & Science III. General Support Series 0601 General Health Science Series 0343 Management and Program 0303 Miscellaneous Clerk and 0801 General Engineering Series Analysis Series Assistant Series 0803 Safety Engineering Series 0346 Logistics Management Series 0318 Secretary Series 0806 Materials Engineering Series 0501 Financial Administration and 0819 Environmental Engineering 0326 Office Automation Clerical and Program Series Assistance Series Series 0510 Accounting Series 0335 Computer Clerk and Assistant 0830 Mechanical Engineering Series 0802 Engineering Technical Series Series 0840 Nuclear Engineering Series 0856 Electronics Technical Series 0850 Electrical Engineering Series 0895 Industrial Engineering Technical 0344 Management and Program 0854 Computer Engineering Series Series Clerical and Assistance Series 0855 Electronics Engineering Series 0905 General Attorney Series 0858 Bioengineering and Biomedical Appendix C: Contribution Factors and 0950 Paralegal Specialist Series Level Descriptors Engineering Series 1001 Information and Arts Group 0861 Aerospace Engineering Series Series General Arts and Information 1. Occupational Family DB— 0893 Chemical Engineering Series Series Engineering and Science (E&S) 0896 Industrial Engineering Series 1035 Public Affairs Series 0899 Engineering and Architecture Factor 1–1: Problem Solving 1071 Audiovisual Production Series Trainee Series 1083 Technical Writing and Editing Factor Description: This factor 1301 General Physical Science Series Series describes/captures personal and 1306 Health Physics Series organizational problem-solving results. 1310 Physics Series 1084 Visual Information Series Expected Performance Criteria 1320 Chemistry Series 1101 Business and Industry Series (Applicable to all contributions at all 1321 Metallurgy Series 1102 Contracting Series 1399 Physical Science Student Trainee 1222 Patent Attorney Series levels): Work is timely, efficient, Series 1311 Physical Science Technician appropriately coordinated and of 1501 General Mathematics and Series acceptable quality. Completed work Statistics Series 1410 Librarian Series meets projects/programs objectives. 1515 Operations Research Series 1412 Technical Information Services Recommendations are sound. 1520 Mathematics Series Series Flexibility, adaptability, and 1550 Computer Science Series 1670 Equipment Services Series decisiveness are exercised 1599 Mathematics and Statistics 1702 Education and Training appropriately. Student Trainee Series Technician Series Descriptors indicate the type of 1712 Training Instruction Series contribution appropriate for the high II. Business/Technical 1801 General Inspection, Investigation, end of each level. Descriptors are not to 0018 Safety and Occupational Health Enforcement, and Compliance be used individually to assess Management Series Series contributions, but rather are to be taken 0301 Miscellaneous Administration 1910 Quality Assurance Series as a group to derive a single evaluation and Program Series 2032 Packaging Series of the factor.

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Level descriptors Discriminators

LEVEL I: • Performs activities on a task; assists supervisor or other appropriate personnel ...... —Scope/Impact. • Resolves routine problems within established guidelines ...... —Complexity/Difficulty. • Independently performs assigned tasks within area of responsibility; refers situations to —Independence. supervisor or other appropriate personnel when existing guidelines do not apply. • Takes initiative in determining and implementing appropriate procedures ...... —Creativity. LEVEL II: • Plans and conducts functional technical activities for projects/programs ...... —Scope/Impact. • Identifies, analyzes, and resolves moderately complex/difficult problems ...... —Complexity/Difficulty. • Independently identifies and resolves conventional problems which may require devi- —Independence. ations from accepted policies or instructions. • Adapts existing plans and techniques to accomplish moderately complex projects/pro- —Creativity. grams. Recommends improvements to the design or operation of systems, equipment, or processes. LEVEL III: • Independently defines, directs, or leads highly challenging projects/programs. Identifies —Scope/Impact. and resolves highly complex problems not susceptible to treatment by accepted meth- ods. • Develops, integrates, and implements solutions to diverse, highly complex problems —Complexity/Difficulty. across multiple areas and disciplines. • Anticipates problems, develops sound solutions and action plans to ensure program/mis- —Independence. sion accomplishment. • Develops plans and techniques to fit new situations to improve overall program and poli- —Creativity. cies. Establishes precedents in application of problem-solving techniques to enhance ex- isting processes. LEVEL IV: • Plans and performs work across a broad range of highly complex activities that require —Scope/Impact. 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, multifaceted problems and/or develops new theories or methods that —Complexity/Difficulty. affect the work of other experts, major aspects of management programs, or a large number of people. • Independently plans and carries out work from general objectives. Work results are con- —Independence. sidered authoritative. Expertise is recognized both internally and externally. • Uses judgment and ingenuity in making decisions or developing methodologies for areas —Creativity. with substantial uncertainty. Adapts to tasks with changing/competing requirements. Ap- proaches to solving problems require interpretation, deviation from traditional methods, or research of trends and patterns to develop new methods, scientific knowledge, or or- ganizational principles. LEVEL V: • Defines, establishes, and directs organizational focus (on challenging and highly com- — Scope/Impact. plex project/programs). Identifies and resolves highly complex problems that cross orga- nizational boundaries and promulgates solutions. Resolution of problems requires mas- tery of the field to develop new hypotheses or fundamental new concepts. • Assesses and provides strategic direction for resolution of mission critical problems, poli- —Complexity/Difficulty. cies, and procedures. • Works at senior level to define, integrate, and implement strategic direction for vital pro- —Independence. grams with long-term impact on large numbers of people. Initiates actions to resolve major organizational issues. Promulgates innovative solutions and methodologies. • Works strategically with senior management to establish new fundamental concepts and —Creativity. 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 levels): Work is timely, efficient, Descriptors indicate the type of appropriately coordinated and of contribution appropriate for the high Factor Description: This factor, acceptable quality. Personal and end of each level. Descriptors are not to applicable to all teams, describes/ organizational interactions exhibit and be used individually to assess captures individual and organizational foster cooperation and teamwork. contributions, but rather are to be taken teamwork and cooperation. Flexibility, adaptability, and as a group to derive a single evaluation Expected Performance Criteria decisiveness are exercised of the factor. (Applicable to all contributions at all appropriately.

Level descriptors Discriminators

LEVEL I: • Works with others to accomplish routine tasks ...... —Scope of Team Effort. • Contributes ideas in own area of expertise. Interacts cooperatively with others ...... —Contribution to Team. • Regularly completes assignments in support of team goals ...... —Effectiveness.

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Level descriptors Discriminators

LEVEL II: • Works with others to accomplish projects/programs ...... —Scope of Team Effort. • Uses varied approaches to resolve or collaborate on projects/programs issues. Facili- —Contribution to Team. tates cooperative interactions with others. • Guides/supports others in executing team assignments. Proactively functions as an inte- —Effectiveness. gral part of the team. LEVEL III: • Works with/leads others to accomplish complex projects/programs ...... —Scope of Team Effort. • Applies innovative approaches to resolve unusual/difficult issues significantly impacting —Contribution to Team. important policies or programs. Promotes and maintains environment for cooperation and teamwork. • Leads, guides and mentors others in formulating and executing team plans. Expertise is —Effectiveness. sought by peers. LEVEL IV: • Leads team(s) working on critical aspects of technology areas or programmatic/business —Scope of Team Effort. management efforts. Team results significantly affect internal/external organizations and/ or relationships. • Is accountable for quality and effectiveness of team efforts. Integrates efforts across dis- —Contribution to Team. ciplines. • Leads/guides/mentors team(s) on highly complex, high priority programs. Is sought out —Effectiveness. for leadership roles and for consultation on complex issues with internal/external impact. LEVEL V: • Leads/guides/mentors workforce in dealing with complex problems ...... —Scope of Team Effort. • Solves broad organizational issues. Implements strategic plans within and across organi- —Contribution to Team. zational components. Ensures a cooperative teamwork environment. Develops future team leaders and supervisors. • Leads/guides workforce in achieving organizational goals. Is sought out for leadership — Effectiveness. roles for critical issues and strategy. Fosters teamwork throughout the organization. LEVEL VI: • TBD.

Factor 1–3: Customer Relations Expected Performance Criteria adaptability, and decisiveness are Factor Description: This factor (Applicable to all contributions at all exercised appropriately. describes/captures the effectiveness of levels): Work is timely, efficient, Descriptors indicate the type of personal and organizational interactions appropriately coordinated and of contribution appropriate for the high with customers (anyone to whom acceptable quality. Personal and end of each level. Descriptors are not to services or products are provided), both organizational interactions enhance be used individually to assess internal (within an assigned customer relations and actively promote contributions, but rather are to be taken organization) and external (outside an rapport with customers. Flexibility, as a group to derive a single evaluation assigned organization). of the factor.

Level descriptors Discriminators

LEVEL I: • Independently carries out routine customer requests ...... —Breadth of Influence. • Participates as a team member to meet customer needs ...... —Customer Needs. • Interacts with customers on routine issues with appropriate guidance ...... —Customer Interaction Level. LEVEL II: • Guides the technical/functional efforts of individuals or team members as they —Breadth of Influence. interact with customers. • Initiates meetings and interactions with customers to understand customer needs/ —Customer Needs. expectations. • Interacts independently with customers to communicate information and coordi- —Customer Interaction Level. nate actions. LEVEL III: • Guides and integrates functional efforts of individuals or teams in support of cus- —Breadth of Influence. tomer interaction. Seeks innovative approaches to satisfy customers. • Establishes customer alliances, anticipates and fulfills customer needs, and trans- —Customer Needs. lates customer needs to programs/projects. • Interacts independently and proactively with customers to identify and define com- —Customer Interaction Level. plex/difficult problems and to develop and implement strategies or techniques for resolving program/project problems (e.g., determining priorities and resolving con- flict among customers’ requirements). LEVEL IV: • Leads efforts involving extensive customer interactions and partnerships. Estab- —Breadth of Influence. lishes successful working relationships with customers to address and resolve highly complex or controversial issues. • Identifies and fosters new customer alliances. Anticipates customer needs to avoid —Customer Needs. potential problems and improve customer satisfaction.

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Level descriptors Discriminators

• Works proactively at senior level to assure customer satisfaction on programs and —Customer Interaction Level. issues with a high level of customer interest and concern. LEVEL V: • Leads and manages the organizational interactions with customers from a stra- —Breadth of Influence. tegic standpoint. • Works to assess and promulgate political, fiscal, and other factors affecting cus- —Customer Needs. tomer and program/project needs. Works with customer at management levels to resolve problems affecting programs/projects (e.g., problems that involve deter- mining priorities and resolving conflicts among customers’ requirements). • Collaborates at senior level to stimulate customer alliances for program/project —Customer Interaction Level. support. Stimulates, organizes, and leads overall customer interactions. LEVEL VI: • TBD.

Factor 1–4: Leadership/Supervision organizational goals; by example, accomplishment. Flexibility, creates a positive, safe, and challenging adaptability, and decisiveness are Factor Description: This factor work environment; distributes work and exercised appropriately. describes/captures individual and empowers team members. Descriptors indicate the type of organizational leadership and/or Expected Performance Criteria supervision. Recruits, develops, (Applicable to all contributions at all contribution appropriate for the high motivates, and retains quality team levels): Work is timely, efficient, end of each level. Descriptors are not to members in accordance with EEO/AA appropriately coordinated and of be used individually to assess and Merit Principles. Takes timely/ acceptable quality. Leadership and/or contributions, but rather are to be taken appropriate personnel actions, supervision effectively promotes as a group to derive a single evaluation communicates mission and commitment to mission of the factor.

Level descriptors Discriminators

LEVEL I: • Takes initiative in accomplishing assigned tasks ...... —Leadership Role. • Provides inputs to others in own technical/functional area ...... —Breadth of Influence. • Seeks and takes advantage of developmental opportunities ...... —Mentoring/Employee Development. LEVEL II: • Actively contributes as a team member/leader; provides insight and recommends —Leadership Role. changes or solutions to problems. • Proactively guides, coordinates, and consults with others to accomplish projects ... —Breadth of Influence. • Identifies and pursues individual/team development opportunities ...... —Mentoring/Employee Development. LEVEL III: • Provides guidance to individuals/teams; resolves conflicts. Considered a func- —Leadership Role. tional/technical expert by others in the organization; is regularly sought out by oth- ers for advice and assistance. • Fosters individual/team development by mentoring ...... —Breadth of Influence. • Pursues or creates training development programs for self and others ...... —Mentoring/Employee Development. LEVEL IV: • As a program area expert, resolves highly complex team problems and conflicts. —Leadership Role. Effectively seeks out and capitalizes on opportunities for teams/work units to achieve significant results that support organizational goals. Is sought out for con- sultation and leadership roles. • Leads teams engaged in highly complex and critical work, with accountability for —Breadth of Influence. employee motivation, quality, and effectiveness and for team success. • Fosters and initiates effective team development to meet current and future orga- —Mentoring/Employee Development. nizational needs. Actively seeks out opportunities for and engages in mentoring, coaching, and instruction. Pursues personal professional development. LEVEL V: • Establishes and/or leads teams to carry out complex projects or programs. Cre- —Leadership Role. ates an organizational climate where empowerment and creativity thrive. Mentors and motivates workforce. • Leads, defines, manages, and integrates efforts involving large numbers of peo- —Breadth of Influence. ple. Ensures organizational mission and program success. • Fosters workforce development. Encourages cross functional growth to meet mis- —Mentoring/Employee Development. sion needs. Pursues personal professional development as a model for staff. LEVEL VI: • TBD.

Factor 1–5: Communication Expected Performance Criteria appropriately coordinated and of (Applicable to all contributions at all acceptable quality. Factor Description: This factor levels): Work is timely, efficient, describes/captures the effectiveness of Communications are clear, concise, oral/written communications. and at appropriate level. Flexibility,

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adaptability, and decisiveness are end of each level. Descriptors are not to as a group to derive a single evaluation exercised appropriately. be used individually to assess of the factor. Descriptors indicate the type of contributions, but rather are to be taken contribution appropriate for the high

Level descriptors Discriminators

LEVEL I: • Communicates routine task status/results as required ...... —Level of Interaction (Audience). • Provides timely data and written analyses for input to management/technical re- —Written. ports or contractual documents. • Explains status/results of assigned tasks ...... —Oral. LEVEL II: • Communicates team or group tasking results, internally and externally, at peer lev- —Level of Interaction (Audience). els. • Writes, or is a major contributor to, management/technical reports or contractual —Written. documents. • Presents informational briefings ...... —Oral. LEVEL III: • Communicates project or program results to all levels, internally and externally ..... —Level of Interaction (Audience). • Reviews and approves, or is a major contributor to/lead author of, management —Written. reports or contractual documents for external distribution. Provides inputs to poli- cies. • Presents briefings to obtain consensus/approval ...... —Oral. LEVEL IV: • Communicates complex technical, programmatic, and/or management information —Level of Interaction (Audience). across multiple organizational levels to drive decisions by senior leaders internally and externally. • Leads efforts in documenting diverse and highly complex information, concepts, —Written. 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 skills and the adaptability to be effective in critical —Oral. briefings. LEVEL V: • Determines and communicates organizational positions on major projects or poli- —Level of Interaction (Audience). cies to senior level. • Prepares, reviews, and approves major reports or policies of organization for inter- —Written. nal and external distribution. Resolves diverse viewpoints/controversial issues. • Presents organizational briefings to convey strategic vision or organizational poli- —Oral. cies. LEVEL VI: • TBD.

Factor 1–6: Resource Management Expected Performance Criteria Descriptors indicate the type of (Applicable to all contributions at all contribution appropriate for the high Factor Description: This factor levels): Work is timely, efficient, end of each level. Descriptors are not to describes/captures personal and appropriately coordinated and of be used individually to assess organizational utilization of resources to acceptable quality. Resources are contributions, but rather are to be taken accomplish the mission. (Resources utilized effectively to accomplish as a group to derive a single evaluation include, but are not limited to, personal mission. Flexibility, adaptability, and of the factor. time, equipment and facilities, human decisiveness are exercised resources, and funds.) appropriately.

Level descriptors Discriminators

LEVEL I: • Uses assigned resources needed to accomplish tasks ...... —Scope of Responsibility. • Plans individual time and assigned resources to accomplish tasks ...... —Planning/Budgeting. • Effectively accomplishes assigned tasks ...... —Execution/Efficiency. LEVEL II: • Plans and utilizes appropriate resources to accomplish project goals ...... —Scope of Responsibility. • Optimizes resources to accomplish projects/programs within established sched- —Planning/Budgeting. ules. • Effectively accomplishes projects/programs goals within established resource —Execution/Efficiency. guidelines. LEVEL III: • Plans and allocates resources to accomplish multiple projects/programs ...... —Scope of Responsibility. • Identifies and optimizes resources to accomplish multiple projects/programs goals —Planning/Budgeting. • Effectively accomplishes multiple projects/programs goals within established —Execution/Efficiency. guidelines. LEVEL IV:

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Level descriptors Discriminators

• Plans, allocates, and monitors resources in a complex environment with substan- —Scope of Responsibility. tial instability in resources/requirements. • Anticipates changes in workload and other resource requirements for multiple pro- —Planning/Budgeting. grams/projects and develops and advocates solutions in advance. • Leads others in using resources more efficiently and implements innovative ideas —Execution/Efficiency. to stretch limited resources. LEVEL V: • Develops, acquires, and allocates resources to accomplish mission goals and —Scope of Responsibility. strategic objectives. • Formulates organizational strategies, tactics, and budget/action plan to acquire —Planning/Budgeting. and allocate resources. • Optimizes, controls, and manages all resources across projects/programs. Devel- —Execution/Efficiency. ops and integrates innovative approaches to attain goals and minimize expendi- tures. LEVEL VI: • TBD.

2. Occupational Family DE—Business levels): Work is timely, efficient, Descriptors indicate the type of and Technical (B&T) appropriately coordinated and of contribution appropriate for the high Factor 2–1: Problem Solving acceptable quality. Completed work end of each level. Descriptors are not to meets projects/programs objectives. be used individually to assess Factor Description: This factor Flexibility, adaptability, and contributions, but rather are to be taken describes/captures personal and decisiveness are exercised as a group to derive a single evaluation organizational problem-solving results. appropriately. of the factor. Expected Performance Criteria (Applicable to all contributions at all

Level descriptors Discriminators

LEVEL I: • Performs activities on a task; assists supervisor or other appropriate personnel ..... —Scope/Impact. • Resolves routine problems within established guidelines ...... —Complexity/Difficulty. • Independently performs assigned tasks within area of responsibility; refers situa- —Independence. tions to supervisor or other appropriate personnel when existing guidelines do not apply. • Takes initiative in determining and implementing appropriate procedures ...... —Creativity. LEVEL II: • Plans and conducts functional technical activities for projects/programs ...... —Scope/Impact. • Identifies, analyzes, and resolves complex/difficult problems ...... —Complexity/Difficulty. • Independently identifies and resolves conventional problems which may require —Independence. deviations from accepted policies or instructions. • Adapts existing plans and techniques to accomplish complex projects/programs. —Creativity. Recommends improvements to the design or operation of systems, equipment, or processes. LEVEL III: • Independently defines, directs, or leads highly challenging projects/programs. —Scope/Impact. Identifies and resolves highly complex problems not susceptible to treatment by accepted methods. • Develops, integrates, and implements solutions to diverse, highly complex prob- —Complexity/Difficulty. lems across multiple areas and disciplines. • Anticipates problems, develops sound solutions and action plans to ensure pro- —Independence. gram/mission accomplishment. • Develops plans and techniques to fit new situations to improve overall program —Creativity. and policies. Establishes precedents in application of problem-solving techniques to enhance existing processes. LEVEL IV: • Plans and performs work across a broad range of highly complex activities that re- —Scope/Impact. quire substantial depth of analysis and expertise and/or organizational problem solving skills. The work significantly affects policies/major programs. Actively en- gages in organizational planning. • Resolves critical, multifaceted problems and/or develops new theories or methods —Complexity/Difficulty. that affect the work of other experts, major aspects of management programs, or a large number of people. • Independently plans and carries out work from general objectives. Work results —Independence. are considered authoritative. Expertise is recognized both internally and externally. • Uses judgment and ingenuity in making decisions or developing methodologies for —Creativity. areas with substantial uncertainty. Adapts to tasks with changing/competing re- quirements. 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:

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Level descriptors Discriminators

• Defines, establishes, and directs organizational focus (on challenging and highly —Scope/Impact. complex project/programs). Identifies and resolves highly complex problems that cross organizational boundaries and promulgates solutions. Resolution of prob- lems requires mastery of the field to develop new hypotheses or fundamental new concepts. • Assesses and provides strategic direction for resolution of mission critical prob- —Complexity/Difficulty. lems, policies, and procedures. • Works at senior level to define, integrate, and implement strategic direction for —Independence. 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 senior management to establish new fundamental con- —Creativity. cepts and criteria and stimulate the development of new policies, methodologies, and techniques. Converts strategic goals into programs or policies.

Factor 2–2: Teamwork/Cooperation levels): Work is timely, efficient, Descriptors indicate the type of appropriately coordinated and of contribution appropriate for the high Factor Description: This factor, acceptable quality. Personal and end of each level. Descriptors are not to applicable to all teams, describes/ organizational interactions exhibit and be used individually to assess captures individual and organizational foster cooperation and teamwork. contributions, but rather are to be taken teamwork and cooperation. Flexibility, adaptability, and as a group to derive a single evaluation Expected Performance Criteria decisiveness are exercised of the factor. (Applicable to all contributions at all appropriately.

Level descriptors Discriminators

LEVEL I: • Works with others to accomplish routine tasks ...... —Scope of Team Effort. • Contributes ideas in own area of expertise. Interacts cooperatively with others ...... —Contribution to Team. • Regularly completes assignments in support of team goals ...... —Effectiveness. LEVEL II: • Works with others to accomplish projects/programs ...... —Scope of Team Effort. • Uses varied approaches to resolve or collaborate on projects/programs issues. —Contribution to Team. Facilitates cooperative interactions with others. • Guides/supports others in executing team assignments. Proactively functions as —Effectiveness. an integral part of the team. LEVEL III: • Works with/leads others to accomplish complex projects/programs ...... —Scope of Team Effort. • Applies innovative approaches to resolve unusual/difficult issues significantly im- —Contribution to Team. pacting important policies or programs. Promotes and maintains environment for cooperation and teamwork. • Leads guides and mentors others in formulating and executing team plans. Exper- —Effectiveness. tise is sought by peers. LEVEL IV: • Leads team(s) working on critical aspects of technology areas or programmatic/ —Scope of Team Effort. business management efforts. Team results significantly affect internal/external or- ganizations and/or relationships. • Is accountable for quality and effectiveness of team efforts. Integrates efforts —Contribution to Team. across disciplines. • Leads/guides/mentors team(s) on highly complex, high priority programs. Is —Effectiveness. sought out for leadership roles and for consultation on complex issues with inter- nal/external impact. LEVEL V: • Leads/guides/mentors workforce in dealing with complex problems ...... —Scope of Team Effort. • Solves broad organizational issues. Implements strategic plans within and across —Contribution to Team. organizational components. Ensures a cooperative teamwork environment. Devel- ops future team leaders and supervisors. • Leads/guides workforce in achieving organizational goals. Is sought out for leader- —Effectiveness. ship roles for critical issues and strategy. Fosters teamwork throughout the organi- zation.

Factor 2–3: Customer Relations organization) and external (outside an organizational interactions enhance assigned organization). customer relations and actively promote Factor Description: This factor rapport with customers. Flexibility, describes/captures the effectiveness of Expected Performance Criteria (Applicable to all contributions at all adaptability, and decisiveness are personal and organizational interactions exercised appropriately. with customers (anyone to whom levels): Work is timely, efficient, services or products are provided), both appropriately coordinated and of Descriptors indicate the type of internal (within an assigned acceptable quality. Personal and contribution appropriate for the high

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end of each level. Descriptors are not to as a group to derive a single evaluation be used individually to assess of the factor. contributions, but rather are to be taken

Level descriptors Discriminators

LEVEL I: • Independently carries out routine customer requests ...... —Breadth of Influence. • Participates as a team member to meet customer needs ...... —Customer Needs. • Interacts with customers on routine issues with appropriate guidance ...... —Customer Interaction Level. LEVEL II: • Guides the technical/functional efforts of individuals or team members as they —Breadth of Influence. interact with customers. • Initiates meetings and interactions with customers to understand customer needs/ —Customer Needs. expectations. • Interacts independently with customers to communicate information and coordi- —Customer Interaction Level. nate actions. LEVEL III: • Guides and integrates functional efforts of individuals or teams in support of cus- —Breadth of Influence. tomer interaction. Seeks innovative approaches to satisfy customers. • Establishes customer alliances, anticipates and fulfills customer needs, and trans- —Customer Needs. lates customer needs to programs/projects. • Interacts independently and proactively with customers to identify and define com- —Customer Interaction Level. plex/difficult problems and to develop and implement strategies or techniques for resolving program/project problems (e.g., determining priorities and resolving con- flict among customers’ requirements). LEVEL IV: • Leads efforts involving extensive customer interactions and partnerships. Estab- —Breadth of Influence. lishes successful working relationships with customers to address and resolve highly complex or controversial issues. • Identifies and fosters new customer alliances. Anticipates customer needs to avoid —Customer Needs. potential problems and improve customer satisfaction. • Works proactively at senior level to assure customer satisfaction on programs and —Customer Interaction Level. issues with a high level of customer interest and concern. LEVEL V: • Leads and manages the organizational interactions with customers from a stra- —Breadth of influence. tegic standpoint. • Works to assess and promulgate political, fiscal, and other factors affecting cus- —Customer Needs. tomer and program/project needs. Works with customer at management levels to resolve problems affecting programs/projects (e.g., problems that involve deter- mining priorities and resolving conflicts among customers’ requirements). • Collaborates at senior level to stimulate customer alliances for program/project —Customer Interaction Level. support. Stimulates, organizes, and leads overall customer interactions.

Factor 2–4: Leadership/Supervision organizational goals; by example, commitment to mission creates a positive, safe, and challenging accomplishment. Flexibility, Factor Description: This factor work environment; distributes work and adaptability, and decisiveness are describes/captures individual and empowers team members. exercised appropriately. organizational leadership and/or Expected Performance Criteria Descriptors indicate the type of supervision. Recruits, develops, (Applicable to all contributions at all contribution appropriate for the high motivates, and retains quality team levels): end of each level. Descriptors are not to members in accordance with EEO/AA Work is timely, efficient, be used individually to assess and Merit Principles. Takes timely/ appropriately coordinated and of contributions, but rather are to be taken appropriate personnel actions, acceptable quality. Leadership and/or as a group to derive a single evaluation communicates mission and supervision effectively promotes of the factor.

Level descriptors Discriminators

LEVEL I: • Takes initiative in accomplishing assigned tasks ...... —Leadership Role. • Provides inputs to others in own technical/functional area ...... —Breadth of Influence. • Seeks and takes advantage of developmental opportunities ...... —Mentoring/Employee Development. LEVEL II: • Actively contributes as a team member/leader; provides insight and recommends —Leadership Role. changes or solutions to problems. • Proactively guides, coordinates, and consults with others to accomplish projects ... —Breadth of Influence. • Identifies and pursues individual/team development opportunities ...... —Mentoring/Employee Development. LEVEL III: • Provides guidance to individuals/teams; resolves conflicts. Considered a func- —Leadership Role. tional/technical expert by others in the organization; is regularly sought out by oth- ers for advice and assistance.

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Level descriptors Discriminators

• Defines, organizes, and assigns activities to accomplish projects/programs goals. —Breadth of Influence. Guides, motivates, and oversees the activities of individuals and teams with focus on projects/programs issues. • Fosters individual/team development by mentoring. Pursues or creates training de- —Mentoring/Employee Development. velopment programs for self and others. LEVEL IV: • As a program area expert, resolves highly complex team problems and conflicts. —Leadership Role. Effectively seeks out and capitalizes on opportunities for teams/work units to achieve significant results that support organizational goals. Is sought out for con- sultation and leadership roles. • Leads teams engaged in highly complex and critical work, with accountability for —Breadth of Influence. employee motivation, quality, and effectiveness and for team success. • Fosters and initiates effective team development to meet current and future orga- —Mentoring/Employee Development. nizational needs. Actively seeks out opportunities for and engages in mentoring, coaching, and instruction. Pursues personal professional development. LEVEL V: • Establishes and/or leads teams to carry out complex projects or programs. Cre- —Leadership Role. ates an organizational climate where empowerment and creativity thrive. Mentors and motivates workforce. • Leads, defines, manages, and integrates efforts of several involving large num- —Breadth of Influence. bers of people. Ensures organizational mission and program success. • Fosters workforce development. Encourage cross-functional growth to meet orga- —Mentoring/Employee Development. nizational needs. Pursues personal professional development as a model for staff.

Factor 2–5: Communication levels): Work is timely, efficient, Descriptors indicate the type of appropriately coordinated and of contribution appropriate for the high Factor Description: This factor acceptable quality. end of each level. Descriptors are not to describes/captures the effectiveness of Communications are clear, concise, be used individually to assess oral/written communications. and at appropriate level. Flexibility, contributions, but rather are to be taken Expected Performance Criteria adaptability, and decisiveness are as a group to derive a single evaluation (Applicable to all contributions at all exercised appropriately. of the factor.

Level descriptors Discriminators

LEVEL I: • Communicates routine task status/results as required ...... —Level of Interaction (Audience). • Provides timely data and written analyses for input to management/technical re- —Written. ports or contractual documents. • Explains status/results of assigned tasks ...... —Oral. LEVEL II: • Communicates team or group tasking results, internally and externally, at peer lev- —Level of Interaction (Audience). els. • Writes, or is a major contributor to, management/technical reports or contractual —Written. documents. • Presents informational briefings ...... —Oral. LEVEL III: • Communicates project or program results to all levels, internally and externally ..... —Level of Interaction (Audience). • Reviews and approves, or is a major contributor to/lead author of, management —Written. reports or contractual documents for external distribution. Provides inputs to poli- cies. • Presents briefings to obtain consensus/approval ...... —Oral. LEVEL IV: • Communicates complex technical, programmatic, and/or management information —Level of Interaction (Audience). across multiple organizational levels to drive decisions by senior leaders internally and externally. • Leads efforts in documenting diverse and highly complex information, concepts, —Written. and ideas in a highly responsive and effective manner. Authors and enables au- thoritative 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 skills and the adaptability to be effective in critical —Oral. briefings. LEVEL V: • Determines and communicates organizational positions on major projects or poli- —Level of Interaction (Audience). cies to senior level. • Prepares, reviews, and approves major reports or policies of organization for inter- —Written. nal and external distribution. Resolves diverse viewpoints/controversial issues. • Presents organizational briefings to convey strategic vision or organizational poli- —Oral. cies.

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Factor 2–6: Resource Management Expected Performance Criteria Descriptors indicate the type of (Applicable to all contributions at all contribution appropriate for the high Factor Description: This factor levels): Work is timely, efficient, end of each level. Descriptors are not to describes/captures personal and appropriately coordinated and of be used individually to assess organizational utilization of resources to acceptable quality. Resources are contributions, but rather are to be taken accomplish the mission. (Resources utilized effectively to accomplish as a group to derive a single evaluation include, but are not limited to, personal mission. Flexibility, adaptability, and of the factor. time, equipment and facilities, human decisiveness are exercised resources, and funds.) appropriately.

Level descriptors Discriminators

LEVEL I: • Uses assigned resources needed to accomplish tasks ...... —Scope of Responsibility. • Plans individual time and assigned resources to accomplish tasks ...... —Planning/Budgeting. • Effectively accomplishes assigned tasks ...... —Execution/Efficiency. LEVEL II: • Plans and utilizes appropriate resources to accomplish project goals ...... —Scope of Responsibility. • Optimizes resources to accomplish projects/programs within established sched- —Planning/Budgeting. ules. • Effectively accomplishes projects/programs goals within established resource —Execution/Efficiency. guidelines. LEVEL III: • Plans and allocates resources to accomplish multiple projects/programs ...... —Scope of Responsibility. • Identifies and optimizes resources to accomplish multiple projects/programs goals —Planning/Budgeting. • Effectively accomplishes multiple projects/programs goals within established —Execution/Efficiency. guidelines. LEVEL IV: • Plans, allocates, and monitors resources in a complex environment with substan- —Scope of Responsibility. tial instability in resources/requirements. • Anticipates changes in workload and other resource requirements for multiple pro- —Planning/Budgeting. grams/projects and develops and advocates solutions in advance. • Leads others in using resources more efficiently and implements innovative ideas —Execution/Efficiency. to stretch limited resources. LEVEL V: • Develops, acquires, and allocates resources to accomplish mission goals and —Scope of Responsibility. strategic objectives. • Formulates organizational strategies, tactics, and budget/action plan to acquire —Planning/Budgeting. and allocate resources. • Optimizes, controls, and manages all resources across projects/programs. Devel- —Execution/Efficiency. ops and integrates innovative approaches to attain goals and minimize expendi- tures.

3. Occupational Family DK—General levels): Work is timely, efficient, Descriptors indicate the type of Support appropriately coordinated and of contribution appropriate for the high Factor 3–1: Problem Solving acceptable quality. Completed work end of each level. Descriptors are not to meets project/program objectives. be used individually to assess Factor Description: This factor Flexibility, adaptability, and contributions, but rather are to be taken describes/captures personal and decisiveness are exercised as a group to derive a single evaluation organizational problem solving. appropriately. of the factor. Expected Performance Criteria (Applicable to all contributions at all

Level descriptors Discriminators

LEVEL I: • Conducts activities on a segment of a task. Assists supervisor or other appropriate —Scope/Impact. personnel. • Applies standard rules, procedures, or operations to resolve routine problems ...... —Complexity/Difficulty. • Independently carries out routine tasks...... —Independence • Takes initiative in selecting and implementing appropriate procedures ...... —Creativity. LEVEL II: • Plans and conducts administrative activities for projects ...... —Scope/Impact. • Develops, modifies, and/or applies rules, procedures, or operations to resolve —Complexity/Difficulty. problems of moderate complexity/difficulty. • Independently plans and executes assignments; resolves problems and handles —Independence. deviations. • Identifies and adapts guidelines for new or unusual situations ...... —Creativity. LEVEL III: • Plans and conducts complex administrative activities ...... —Scope/Impact. • Develops rules, procedures, or operations for complex/difficult organizational tasks —Complexity/Difficulty.

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Level descriptors Discriminators

• Identifies issues and determines approaches and methods to accomplish tasks. —Independence. Initiates effective actions and resolves related conflicts. • Identifies issues requiring new procedures and develops appropriate guidelines .... —Creativity.

Factor 3–2: Teamwork/Cooperation levels): Work is timely, efficient, Descriptors indicate the type of appropriately coordinated and of contribution appropriate for the high Factor Description: This factor acceptable quality. Personal and end of each level. Descriptors are not to describes/captures individual and organizational interactions exhibit and be used individually to assess organizational teamwork and foster cooperation and teamwork. contributions, but rather are to be taken cooperation. Flexibility, adaptability, and as a group to derive a single evaluation Expected Performance Criteria decisiveness are exercised of the factor. (Applicable to all contributions at all appropriately.

Level descriptors Discriminators

LEVEL I: • Works with others to accomplish routine tasks ...... —Scope of Team Effort. • Contributes ideas on routine procedures. Interacts cooperatively with others ...... —Contribution to Team. • Regularly completes tasks in support of team goals ...... —Effectiveness. LEVEL II: • Works with/leads to accomplish tasks ...... —Scope of Team Effort. • Resolves administrative problems; facilitates cooperative interactions with others .. —Contribution to Team. • Guides others and coordinates activities in support of team goals. Proactively —Effectiveness. functions as an integral part of the team. LEVEL III: • Works with/leads others on complex issues/problems that may cross-functional —Scope of Team Effort. areas. • Applies expertise in resolving complex administrative issues. Promotes and main- —Contribution to Team. tains environment for cooperation/teamwork. Sets tone for internal/external co- operation. • Leads and guides others in formulating and executing plans in support of team —Effectiveness. goals.

Factor 3–3: Customer Relations Expected Performance Criteria adaptability, and decisiveness are Factor Description: This factor (Applicable to all contributions at all exercised appropriately. describes/captures the effectiveness of levels): Work is timely, efficient, Descriptors indicate the type of personal and organizational interactions appropriately coordinated and of contribution appropriate for the high with customers (anyone to whom acceptable quality. Personal and end of each level. Descriptors are not to services or products are provided), both organizational interactions enhance be used individually to assess internal (within an assigned customer relations and actively promote contributions, but rather are to be taken organization) and external (outside an rapport with customers. Flexibility, as a group to derive a single evaluation assigned organization). of the factor.

Level descriptors Discriminators

LEVEL I: • Assists customer support activities ...... —Breadth of Influence • Meets routine customer needs ...... —Customer Needs. • Interacts with customers on routine issues within specific guidelines ...... —Customer Interaction Level. LEVEL II: • Guides the administrative efforts of individuals or team members as they interact —Breadth of Influence with customers. • Independently interacts with customers to understand customer needs/expecta- —Customer Needs. tions. • Interacts independently with customers to communicate information and coordi- —Customer Interaction Level. nate actions. LEVEL III: • Identifies, defines, and guides administrative efforts in support of customer inter- —Breadth of Influence. actions; coordinates and focuses activities to support multiple customers. • Establishes customer alliances and translates needs to customer service ...... —Customer Needs. • Works independently with customers at all levels to define services and resolve —Customer Interaction Level. non-routine problems.

Factor 3–4: Leadership/Supervision organizational leadership and/or members in accordance with EEO/AA Factor Description: This factor supervision. Recruits, develops, and Merit Principles. Takes timely/ describes/captures individual and motivates, and retains quality team appropriate personnel actions,

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communicates mission and appropriately coordinated and of Descriptors indicate the type of organizational goals; by example, acceptable quality. Leadership and/or contribution appropriate for the high creates a positive, safe, and challenging supervision effectively promotes end of each level. Descriptors are not to work environment; distributes work and commitment to mission be used individually to assess empowers team members. accomplishment. Flexibility, contributions, but rather are to be taken Expected Performance Criteria adaptability, and decisiveness are as a group to derive a single evaluation (Applicable to all contributions at all exercised appropriately. of the factor. levels): Work is timely, efficient,

Level descriptors Discriminators

LEVEL I: • Takes initiative in accomplishing assigned tasks. Asks for assistance as appro- —Leadership Role. priate. • Provides input in administrative/functional area ...... —Breadth of Influence. • Seeks and takes advantage of developmental opportunities ...... — Mentoring/Employee Development. LEVEL II: • Actively contributes as team member or leader; takes initiative to accomplish as- — Leadership Role. signed projects. • Guides others in accomplishing projects ...... —Breadth of Influence. • Identifies and pursues individual/team developmental opportunities ...... —Mentoring/Employee Development. LEVEL III: • Provides guidance to individuals/teams; resolves conflicts. Expertise solicited by — Leadership Role. others. • Guides and accounts for results or activities of individuals, teams, or projects ...... — Breadth of Influence. • Promotes individual/team development; leads development of training programs — Mentoring/Employee Development. for self and others.

Factor 3–5: Communication levels): Work is timely, efficient, Descriptors indicate the type of appropriately coordinated and of contribution appropriate for the high Factor Description: This factor acceptable quality. Communications are end of each level. Descriptors are not to describes/captures the effectiveness of clear, concise, and at appropriate level. be used individually to assess oral/written communications. Flexibility, adaptability, and contributions, but rather are to be taken Expected Performance Criteria decisiveness are exercised as a group to derive a single evaluation (Applicable to all contributions at all appropriately. of the factor.

Level descriptors Discriminators

LEVEL I: • Communicates routine task/status results as required ...... —Level of Interaction (Audience). • Writes timely and accurate draft documentation ...... —Written. • Explains status/results of assigned tasks...... —Oral. LEVEL II: • Interprets and communicates administrative procedures within immediate organi- —Level of Interaction (Audience). zation. • Prepares, coordinates, and consolidates documents, reports, or briefings ...... —Written. • Communicates/presents internal administrative/functional procedures and tasks in- —Oral. ternally and externally. LEVEL III: • Develops and advises on administrative procedures and communicates them to all —Level of Interaction (Audience). levels, both internally and externally. • Prepares, reviews, and/or approves documents, reports, or briefings ...... —Written. • Explains and/or communicates complex/controversial administrative/functional pro- —Oral. cedures at all levels.

Factor 3–6: Resource Management Expected Performance Criteria Descriptors indicate the type of (Applicable to all contributions at all contribution appropriate for the high Factor Description: This factor levels): Work is timely, efficient, end of each level. Descriptors are not to describes/captures personal and appropriately coordinated and of be used individually to assess organizational utilization of resources to acceptable quality. Available resources contributions, but rather are to be taken accomplish the mission. (Resources are utilized effectively to accomplish as a group to derive a single evaluation include, but are not limited to, personal mission. Flexibility, adaptability, and of the factor. time, equipment and facilities, human decisiveness are exercised resources, and funds.) appropriately.

Level descriptors Discriminators

LEVEL I: • Uses assigned resources to accomplish tasks ...... —Scope of Responsibility • Plans individual time and assigned resources to accomplish tasks ...... —Planning/Budgeting.

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Level descriptors Discriminators

• Effectively accomplishes assigned tasks ...... —Execution/Efficiency. LEVEL II: • Identifies and uses resources to accomplish projects ...... —Scope of Responsibility. • Plans resources to achieve project schedules ...... —Planning/Budgeting. • Effectively accomplishes projects within established resource guidelines ...... —Execution/Efficiency. LEVEL III: • Plans, acquires, and allocates resources to accomplish objectives ...... —Scope of Responsibility. • Coordinates resources across projects ...... —Planning/Budgeting. • Optimizes resource utilization across projects ...... —Execution/Efficiency.

Appendix D

INTERVENTION MODEL

Intervention Expected effects Measures Data sources

1. COMPENSATION: a. Pay banding ...... Increased organizational Perceived flexibility ...... Attitude survey. flexibility. Reduced administrative Actual/perceived time sav- Personnel office data, PME workload, paperwork re- ings. results, attitude survey. duction. Advanced in-hire rates ...... Starting salaries of banded Workforce data. v. non-banded employees. Slower pay progression at Progression of new hires Workforce data. entry levels. over time by band, career path. Increased pay potential ...... Mean salaries by band, Workforce data. group, demographics. Total payroll costs ...... Personnel office data. Increased satisfaction with Employee perceptions of ad- Attitude survey. advancement. vancement. Increased pay satisfaction ... Pay satisfaction, internal/ex- Attitude survey. ternal equity. Improved recruitment ...... Offer/acceptance ratios; Per- Personnel office data. cent declinations. b. Conversion buy-in ...... Employee acceptance ...... Employee perceptions of eq- Attitude survey. uity, fairness. Cost as a percent of payroll Workforce data. c. Pay differentials/adjustments ...... Increased incentive to ac- Perceived motivational Attitude survey. cept supervisory/team power. leader positions. 2. PERFORMANCE MANAGEMENT: a. Cash awards/bonuses ...... Reward/motivate perform- Perceived motivational Attitude survey. ance. power. To support fair and appro- Amount and number of Workforce data. priate distribution of awards by group, demo- awards. graphics. Perceived fairness of awards Attitude survey. Satisfaction with monetary Attitude survey. awards. b. Performance based pay progression ...... Increased pay-performance Perceived pay-performance Attitude survey. link. link. Perceived fairness of ratings Attitude survey. Improved performance feed- Satisfaction with ratings ...... Attitude survey. back. Employee trust in super- Attitude survey. visors. Adequacy of performance Attitude survey. feedback. Decreased turnover of high Turnover by performance Workforce data. performers/Increased turn- rating scores. over of low performers. Differential pay progression Pay progression by perform- Workforce data. of high/low performers. ance scores, career path. Alignment of organizational Linkage of performance ob- Performance objectives, and individual perform- jectives to strategic plans/ strategic plans. ance objectives and re- goals. sults. Increased employee involve- Perceived involvement ...... Attitude survey/ ment in performance plan- Performance management .. focus groups. ning and assessment. Personnel regulations.

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INTERVENTION MODEL—Continued

Intervention Expected effects Measures Data sources

c. New appraisal process ...... Reduced administrative bur- Employee and supervisor Attitude survey. den. perceptions of revised pro- cedures. Improved communication ..... Perceived fairness of proc- Focus groups. ess. d. Performance development ...... Better communication of per- Feedback and coaching pro- Focus groups. formance expectations. cedures used. Personnel office data. Time, funds spent on train- Training records. ing by demographics. Improved satisfaction and Perceived workforce quality Attitude survey. quality of workforce. 3. ‘‘WHITE COLLAR’’ CLASSIFICATION: a. Improved classification systems with ge- Reduction in amount of time Time spent on classification Personnel office data. neric standards. and paperwork spent on procedures.. classification. Reduction of paperwork/ Personnel office data. number of personnel ac- tions (classification/pro- motion). Ease of use ...... Managers’ perceptions of Attitude survey. time savings, ease of use. b. Classification authority delegated to man- Increased supervisory au- Perceived authority ...... Attitude survey. agers. thority/accountability. Decreased conflict between Number of classification dis- Personnel records. management and per- putes/appeals pre/post. sonnel staff. Management satisfaction Attitude survey. with service provided by personnel office. No negative impact on inter- Internal pay equity ...... Attitude survey. nal pay equity. c. Dual career ladder ...... Increased flexibility to assign Assignment flexibility ...... Focus groups, surveys. employees. Improved internal mobility .... Perceived internal mobility ... Attitude survey. Increased pay equity ...... Perceived pay equity ...... Attitude survey. Flatter organization ...... Supervisory/non-supervisory Workforce data. ratios. Attitude survey. Improved quality of super- Employee perceptions of Attitude survey. visory staff. quality or supervisory. 4. MODIFIED RIF: ...... Minimize loss of high per- Separated employees by de- Workforce data, attitude sur- forming employees with mographics, performance vey/focus group. needed skills. scores. Contain cost and disruption Satisfaction with RIF Proc- Attitude survey/focus group. ess. Cost comparison of tradi- Personnel office/budget tional vs. Modified RIF. data. Time to conduct RIF-per- Personnel office data. sonnel office data. Number of appeals/reinstate- Personnel office data. ments. 5. HIRING AUTHORITY: a. Delegated Examining ...... Improved ease and timeli- Perceived flexibility in au- Attitude survey. ness of hiring process. thority to hire. Improved recruitment of em- Offer/accept ratios ...... Personnel office data. ployees in shortage cat- egories. Percent declinations ...... Personnel office data. Timeliness of job offers ...... Personnel office data. GPAs of new hires, edu- Personnel office data. cational levels. Reduced administrative Actual/perceived skills ...... Attitude survey. workload/paperwork re- duction. b. Term Appointment Authority ...... Increased capability to ex- Number/percentage of con- Workforce data. pand and contract work- versions from modified Personnel office data. force. term to permanent ap- pointments. c. Flexible Probationary Period ...... Expanded employee assess- Average conversion period Workforce data. ment. to permanent status. Personnel office data. Number/percentage of em- Workforce data. ployees completing proba- Personnel office data. tionary period.

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INTERVENTION MODEL—Continued

Intervention Expected effects Measures Data sources

Number of separations dur- Workforce data. ing probationary period. Personnel office data. 6. EXPANDED DEVELOPMENT OPPORTUNI- TIES: a. Sabbaticals ...... Expanded range of profes- Number and type of opportu- Workforce data. sional growth and devel- nities taken. opment. Application of enhanced Employee and supervisor Attitude survey. knowledge and skills to perceptions. work product. b. Critical Skills Training ...... Improved organizational ef- Number and type of training, Personnel office data. fectiveness. Placement of employees, skills imbalances corrected. Employee and supervisor Personnel office data. perceptions. Attitude survey. Application of knowledge Attitude survey/focus group. gained from training. 7. COMBINATION OF ALL INTERVENTIONS: All ...... Improved organizational ef- Combination of personnel All data sources. fectiveness. measures. Improved management of Employee/Management job Attitude survey. workforce. satisfaction (intrinsic/ex- trinsic). Improved planning ...... Planning procedures ...... Strategic planning docu- ments. Perceived effectiveness of Attitude survey. planning procedures. Improved cross functional Actual/perceived coordina- Organizational charts. coordination. tion. Increased product success .. Customer satisfaction ...... Customer satisfaction sur- veys. Cost of innovation ...... Project training/development Demo project office records. costs (staff salaries, con- Contract documents. tract cost, training hours per employee). 8. CONTEXT: Regionalization ...... Reduced servicing ratios/ HR servicing ratios ...... Personnel office data, work- costs. force data. Average cost per employee Personnel office data, work- served. force data. No negative impact on serv- Service quality, timeliness .... Attitude survey/focus groups. ice quality.

[FR Doc. 2011–976 Filed 1–19–11; 8:45 am] BILLING CODE 5001–06–P

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