[Federal Register Volume 64, Number 35 (Tuesday, February 23, 1999)]
[Notices]
[Pages 8964-9027]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 99-4265]
[[Page 8963]]
_______________________________________________________________________
Part III
Office of Personnel Management
_______________________________________________________________________
Proposed Laboratory Personnel Management Demonstration Project;
Department of the Navy, U.S. Naval Research Laboratory, Washington, DC;
Notice
Federal Register / Vol. 64, No. 35 / Tuesday, February 23, 1999 /
Notices
[[Page 8964]]
OFFICE OF PERSONNEL MANAGEMENT
Proposed Laboratory Personnel Management Demonstration Project;
Department of the Navy (DoN), U.S. Naval Research Laboratory (NRL),
Washington, DC
(Authority: 5 U.S.C. 4703)
AGENCY: Office of Personnel Management.
ACTION: Notice of intent to implement demonstration project.
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SUMMARY: Title VI of the Civil Service Reform Act, 5 U.S.C. 4703,
authorized the Office of Personnel Management (OPM) to conduct
demonstration projects that experiment with new and different personnel
management concepts to determine whether such changes in personnel
policy or procedures would result in improved Federal Personnel
Management.
Section 342 of the National Defense Authorization Act for fiscal
year 1995 (Pub. L. 103-337, October 5, 1994) permits the Department of
Defense (DoD), with the approval of the OPM, to carry out personnel
demonstration projects at DoD laboratories designated as Science and
Technology (S&T) Demonstration Project Reinvention Laboratories. The
legislation requires that most requirements of 5 U.S.C. 4703 shall
apply to the Demonstration Project. Section 4703 requires OPM to
publish the proposed project plan in the Federal Register. This notice
meets that requirement.
DATES: Comment date: Written comments will be considered if received no
later than April 9, 1999. Hearing date: A public hearing will be held
by OPM on the proposed project plan on March 25, 1999 at the Best
Western, Oxon Hill, MD at 12:30 p.m., until testimony is completed.
ADDRESSES: Comment address: Send written comments to Judy White, U.S.
Office of Personnel Management, 1900 E Street, NW, Room 7460,
Washington, DC 20415-6000.
FOR FURTHER INFORMATION CONTACT: (1) on proposed demonstration project:
Ms. Betty A. Duffield, Director, Strategic Workforce Planning, Code
1001.2, 4555 Overlook Avenue, SW, Washington, DC 20375-5320, 202-767-
3421; (2) on proposed demonstration project and public hearings: Judy
White, U.S. Office of Personnel Management, 1900 E Street, NW, Room
7460, Washington, DC 20415-6000, 202-606-1526.
SUPPLEMENTARY INFORMATION: The DoD has submitted a proposed
demonstration project entitled ``Naval Research Laboratory Personnel
Management Demonstration Project'' for consideration under Chapter 47
of 5 U.S.C.
The purpose of this project is to demonstrate a flexible and
responsive personnel system that will enhance the Laboratory's ability
to attract, retain, and motivate a high-quality workforce. To this end,
the proposed project involves:
(1) Streamlined hiring processes,
(2) Broadbanding,
(3) Simplified position classification,
(4) A Contribution-based Compensation System (CCS),
(5) Extended probationary period for new employees, and
(6) Modified reduction-in-force (RIF) procedures.
A public hearing will be held by OPM on March 25, 1999 at the Best
Western, Oxon Hill, MD at 12:30 p.m. during which interested persons or
organizations may present their written or oral views concerning the
proposed Demonstration Project. So that OPM may regulate the course of
the hearing and provide time for all who wish to present comments,
parties who want to testify at the hearing are asked to contact one of
the persons listed under FOR FURTHER INFORMATION CONTACT: for a
specific scheduled time. Priority will be given to scheduled parties;
others will be heard in the remaining available time. Each speaker's
presentation will be limited to 5 minutes. In other respects, the
hearing will be informal. The hearing record will be left open until
April 9, 1999 to allow additional written data, views and arguments
from the parties participating in the hearing.
Dated: February 12, 1999.
Office of Personnel Management.
Janice R. Lachance,
Director.
Table of Contents
I. Executive Summary
II. Introduction
A. Purpose
B. Problems with the Current System
C. Waivers Required
D. Expected Benefits
E. Participating Organizations and Employees
F. Project Design
III. Accessions and Internal Placement
A. Hiring Authority
1. Background
2. Delegated Examining
B. Legal Authority
C. Determining Employee and Applicant Qualifications
D. Noncitizen Hiring
E. Expanded Detail Authority
F. Extended Probationary Period
G. Definitions
1. Basic Pay
2. Maintained Pay
3. Promotion
4. Reassignment
5. Change to Lower Career Level
6. Pay Adjustment
7. Detail
8. Highest Previous Rate
9. Approving Manager
H. Pay Setting Determinations Outside the CCS
1. External New Hires
2. Internal Actions
a. Promotion
b. Pay Adjustment (Voluntary Change to Lower Pay) or Change to
Lower Career Level (except RIF)
(1) Examples of Voluntary Change to a Lower Career Level
(2) Example of Pay Adjustment (Voluntary Change to Lower Pay) or
Change to a Lower Career Level
c. Pay Adjustment (Involuntary Change to Lower Pay) or Change to
Lower Career Level Due to Adverse or Performance-based Action
d. Involuntary Change to Lower Career Level or Reassignment to a
Career Track with a Lower Salary Range, Other than Adverse or
Performance-based
e. RIF Action (including employees who are offered and accept a
vacancy at a lower career level or in a different career track)
f. Upward Mobility or Other Formal Training Program Selection
g. Return to Limited or Light Duty from a Disability as a Result
of Occupational Injury to a Position in a Lower Career Level or to a
Career Track with Lower Basic Pay Potential than Held Prior to the
Injury
h. Reassignment
i. Student Educational Employment Program
j. Hazard Pay or Pay for Duty Involving Physical Hardship
I. Priority Placement Program (PPP)
J. Expanded Temporary Promotions
IV. Sustainment
A. Position Classification
1. Career Tracks and Career Levels
a. Target Career Level
b. Occupational Series and Position Titling
c. Classification Standards
d. Fair Labor Standards Act (FLSA)
(1) Guidelines for FLSA Determinations
(2) Nonsupervisory and Leader Positions
(3) Supervisory Positions
2. Requirements Document (RD)
3. Delegation of Classification Authority
a. Delegation Authority
b. Position Classification Accountability
B. Integrated Pay Schedule (IPS)
1. Annual Pay Action
2. Overtime Pay
3. Classification Appeals
4. Advanced Research Scientists and Engineers (ARSAE)
5. Distinguished Contributions Allowance (DCA)
a. Eligibility
b. Nomination
c. Reduction or Termination of a DCA
d. Lump-Sum DCA Payments
e. DCA Budget Allocation
f. Concurrent Monetary Payments
[[Page 8965]]
C. CCS
1. General
2. CCS Process
3. Pay Pool Annual Planning
a. Element Weights and Applicability
b. Supplemental Criteria
4. Annual CCS Appraisal Process
5. Exceptions
6. Normal Pay Range (NPR)--Basic Pay Versus Contribution
7. Compensation
a. General Increases
b. Merit Increases
c. Locality Increases
d. Contribution Awards
8. Career Movement Based on CCS
a. Advancements in Level Which May be Approved by the Pay Pool
Manager
b. Advancements in Level Which Must be Approved by the Director
of Research (DOR)
c. Advancement to Level V of the Science and Engineering (S&E)
Professional Career Track
d. Regression to Lower Level
9. CCS Grievance Procedures
V. Separations
A. Performance-based Reduction-in-pay or Removal Actions
B. RIF
1. RIF Authority
2. RIF Definitions
a. Competitive Area
b. Competitive Level
c. SCD
(1) CCS Process Results Credit
(2) Credit From Other Rating Systems
(3) RIF Cutoff Date
3. Displacement Rights
a. Displacement
b. Retention Standing
c. Vacant Positions
d. Ineligible for Displacement Rights
e. Change to Lower Level Due to an Adverse or Performance-based
Action
3. Notice Period
4. RIF Appeals
5. Separation Incentives
6. Severance Pay
7. Outplacement Assistance
VI. Demonstration Project Transition
A. Initial Conversion or Movement to the Demonstration Project
1. Placement into Career Tracks and Career Levels
2. Conversion of Retained Grade and Pay Employees
3. WGI Buy-in
4. Conversion of Special Salary Rate Employees
B. CCS Startup
C. Training
1. Types of Training
a. NRL Employees
b. Supervisors and Managers
c. Support Personnel
D. New Hires into the Demonstration Project
E. Conversion or Movement from Demonstration Project
1. Grade Determination
2. Pay Setting
3. ARSAE
4. Determining Date of Last Equivalent Increase
VII. Demonstration Project Duration
A. General
B. 5-year Reexamination
VIII. Demonstration Project Evaluation Plan
A. Overview
B. Evaluation Models
C. Evaluation
IX. Demonstration Project Costs
A. Transition
B. Cost Containment and Controls
C. Implementation Costs
D. Method of Data Collection
X. Automation Support
A. General
B. Defense Civilian Personnel Data System (DCPDS)
C. Core Document (COREDOC)
D. RIF Support System (RIFSS)
E. CCS Data System (CCSDS)
Appendix A: Required Waivers to Laws and Regulations
Appendix B: Definitions of Career Tracks and Career Levels
Appendix C: Table of Occupational Series within Career Tracks
Appendix D: Classification and CCS Elements
Appendix E: Computation of the IPS and the NPR
Appendix F: RD Sample
Appendix G: OPM Intervention Impact Model
Appendix H: NRL Internal Evaluation
I. Executive Summary
Over the last 30 years, many studies of the DoD laboratories have
been conducted on laboratory quality and personnel. Virtually all of
these studies have recommended improvements in personnel policies,
organization, and management. In order to respond to the findings of
these studies, this proposed personnel demonstration project
encompasses streamlined hiring processes, simplified position
classification, the CCS, and modified RIF procedures.
The demonstration project described herein was designed by the NRL,
with the participation of and review by the DoN, the DoD, and the OPM.
The purpose of the demonstration project is to develop and implement a
personnel management system that will enable NRL to obtain, maintain,
and retain the highest quality workforce possible to accomplish its
mission in support of national defense. There are four primary
objectives of the demonstration project:
(1) Provide NRL increased authority to manage human resources,
(2) Enable NRL to hire and retain the best qualified employees,
(3) Enable NRL to compensate its employees equitably at a rate that
is more competitive with the labor market, and
(4) Provide a direct link between levels of individual contribution
and the compensation received.
Initially, the demonstration project will cover all NRL employees
except Senior Executive Service (SES) members, scientific and
professional (ST) employees (above GS-15), guards, and trade and craft
employees. The guards and trade and craft employees may be included at
a later time, after more experience is gained in the operation of the
CCS. The project will be reviewed and evaluated throughout its duration
by OPM, DoD, DoN, and NRL. In addition to evaluation topics, such as
goal attainment and employee and management acceptance, the project
will be assessed for cost containment. After 5 years, the project will
be evaluated to determine if it is to be made permanent, modified, or
terminated. Areas not specifically addressed will use provisions that
currently exist in 5 United States Code (U.S.C.) and 5 Code of Federal
Regulations (CFR).
II. Introduction
A. Purpose
The goal of this personnel demonstration project is to develop and
implement a human resources management system that will enable NRL to
obtain, maintain, and retain, into the 21st century, the highest
quality workforce possible to accomplish its mission in support of
national defense. NRL's mission is to conduct a broadly based
multidisciplinary program of scientific research and advanced
technological development directed toward new and improved materials,
equipment, techniques, systems, and related operational procedures for
the DoN. The human resources management system must enable NRL to
attract and retain the best scientists, engineers, and support
personnel available in the labor market.
The demonstration project has the following four primary
objectives:
a. Provide NRL management with increased authority to manage human
resources consistent with its operation under the Navy Working Capital
Fund (NWCF) as an industrially-funded activity;
b. Provide a recruitment process, within the context of merit
principles, that will enable NRL to hire the best qualified employees
at a reasonable cost and for competitive compensation;
c. Provide a compensation system that will enable NRL to compensate
its employees equitably at a rate that is commensurate with their
levels of responsibility and contribution, and is competitive with
those found in the labor market; and
d. Provide a direct link between levels of individual contribution
and the compensation received.
[[Page 8966]]
B. Problems With the Current System
The demonstration project addresses a set of issues regarding human
resources in the Federal laboratory system. These problems have been
extensively documented in a long series of reports by blue-ribbon
panels. These include the following: the Packard Report,* the Grace
Commission Report,** the Fowler Report,*** and other high-level
analyses of the state of Federal research capabilities. In all of these
reports, there is a common theme . . . that Federal laboratories need
more efficient, cost effective, and timely processes and methods to
acquire and retain a highly creative, productive, educated, and trained
workforce.
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* White House Science Council, ``Report of the White House
Science Council, Federal Laboratory Review Panel,'' (Packard
Report), May 1983.
** Task Force on Research and Development (R&D), ``President's
Private Sector Survey on Cost Control, Task Force Report on R&D,''
(Grace Commission Report), 8 December 1983.
*** Defense Science Board, ``Report of the Defense Science Board
1987 Summer Study on Technology Base Management,'' (Fowler Report),
December 1987.
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The NRL must be able to compete with the private sector for the
best talent and be able to make job offers in a timely manner with the
attendant compensation that attracts high quality employees. Once
hired, NRL must have the means to motivate and reward employees for
their innovative contributions to ensure that the creative process is
continually renewed. Compensation levels must be directly linked to the
levels of individual contributions. High contributors must be rewarded
both to encourage their continued contributions and to ensure their
retention at NRL. Similarly, lower contributing individuals should
receive less compensation, or, in some cases, be encouraged to seek
other employment.
C. Waivers Required
NRL proposes changes in the following broad areas to address its
problems in human resources management: accessions and internal
placements, sustainment, and separations. Appendix A lists the laws,
rules and regulations requiring waivers to enable NRL to implement the
proposed system.
D. Expected Benefits
The demonstration project is expected to result in:
(1) Maintaining the quality of the NRL workforce in the scientific
and engineering disciplines as well as administrative specialist and
professional and support professions;
(2) More timely processing of personnel actions;
(3) Increased retention of high-level contributors and wider
distribution of salaries; and
(4) Increased satisfaction with human resources management
processes by employees and managers.
E. Participating Organizations and Employees
Initially, the demonstration project would cover all NRL employees
except SES members, ST employees, guards, and trade and craft
employees. The guards and trade and craft employees may be included at
a later time, after more experience is gained in the operation of the
CCS. Figure 1 identifies the employees by group for major geographic
locations. NRL sites with less than 10 employees each are identified as
``Other'' in Figure 1.
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A union representative elected from the following bargaining units
participated on the Staffing Design Team and was instrumental in the
development of the accession and internal placement interventions
proposed in this plan:
Federal Firefighters Association--Firefighters, Chesapeake Beach, MD
(as of 6/23/98 this function was transferred to another activity)
Washington Area Metal Trades Council--Trades and Crafts Employees,
Washington, DC
International Association of Machinists and Aerospace Workers--Guards,
Washington, DC
F. Project Design
In response to the authority granted by Congress to develop a
demonstration project, NRL's Director of Research (DOR) set up five
design teams to develop the project plan. Each team was led by a senior
NRL manager from outside the Human Resources Office (HRO), and was
responsible for developing project proposals in one of the five primary
functional areas of the project. Each team was comprised of two human
resources advisors, an Equal Employment Opportunity (EEO) advisor,
several midlevel supervisors or managers, an NRL Administrative Council
representative, and several employee representatives (including
bargaining unit representatives when appropriate).
III. Accessions and Internal Placements
A. Hiring Authority
1. Background
Private industry and academia are the principal recruiting sources
for scientists and engineers at NRL. It is extremely difficult to make
timely offers of employment to hard-to-find scientists and engineers.
Even when a candidate is identified, he or she often finds another job
opportunity before the lengthy recruitment process can be completed.
2. Delegated Examining
a. Competitive service positions within the NRL Demonstration
Project will be filled through Merit Staffing or under Delegated
Examining.
b. The ``Rule of Three'' will be eliminated. When there are no more
than 15 qualified applicants and no preference eligibles, all eligible
applicants are immediately referred to the selecting official without
rating and ranking. Rating and ranking will be required only when the
number of qualified candidates exceeds 15 or there is a mix of
preference and nonpreference applicants. Statutes and regulations
covering veterans' preference will be observed in the selection process
and when rating and ranking are required. If the candidates are rated
and ranked, a random number selection method using the application
control number will be used to determine which applicants will be
referred when scores are tied after the rating process. Veterans will
be referred ahead of non-veterans with the same score.
B. Legal Authority
For actions taken under the auspices of the NRL Demonstration
Project, the legal authority, Public Law 103-337, will be used. For all
other actions, NRL will continue to use the nature of action codes and
legal authority codes prescribed by OPM, DoD, or DoN.
C. Determining Employee and Applicant Qualifications
OPM's Qualification Standards Operating Manual for General Schedule
(GS) Positions will be used to determine an employee's or candidate's
basic eligibility. Employees and candidates must meet the qualification
requirements which are equivalent to those described in the OPM
Operating Manual at the level identified in Figure 2.
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Special DoN or DoD requirements not covered by the OPM
Qualification Standards Operating Manual for GS Positions, such as
Defense Acquisition Workforce Improvement Act (DAWIA) qualification
requirements for acquisition positions and physical performance
requirements for sea duty, work on board aircraft, etc., must be met.
D. Noncitizen Hiring
Where Executive Orders or other regulations limit hiring
noncitizens, NRL will have the authority to approve the hiring of
noncitizens into competitive service positions when qualified U.S.
citizens are not available. Under the demonstration project, as with
the current system, a noncitizen may be appointed only if it has been
determined there are no qualified U.S. citizens. In order to make this
determination, the position will be advertised extensively throughout
the nation using paid advertisements in major newspapers or scientific
journals, etc., as well as the ``normal'' recruiting methods. If a
noncitizen is the only qualified candidate for the position, the
candidate may be appointed. The selection is subject to approval by the
NRL approving manager. The demonstration project constitutes a
delegated examining agreement from OPM for the purposes of 5 CFR
213.3102(bb).
E. Expanded Detail Authority
Under the demonstration project, NRL's approving manager would have
the authority:
(1) To effect details up to 1 year to demonstration project
positions without the current 120-day renewal requirement; and
(2) To effect details to a higher level position in the
demonstration project up to 1 year without competition. Prior service
during the preceding 12 months under noncompetitive details to higher
level positions and noncompetitive time-limited promotions count toward
the 1-year total.
The Commanding Officer, NRL would approve details to demonstration
project positions in excess of 1 year without the 120-day renewal
requirement.
F. Extended Probationary Period
All current laws and regulations for the current probationary
period are retained except that nonstatus candidates hired under the
demonstration project in occupations where the nature of the work
requires the manager more than one year to assess the employee's job
performance will serve a 3-year probationary period. Employees with
veterans' preference will maintain their rights under current law and
regulation.
[[Page 8969]]
G. Definitions
1. Basic Pay
The total amount of pay received at the rate fixed through CCS
adjustment for the position held by an employee including any merit
increase but before any deductions and exclusive of additional pay of
any other kind.
2. Maintained Pay
An employee may be entitled to maintain his or her rate of basic
pay if that rate exceeds the maximum rate of basic pay for his or her
career level as a result of certain personnel actions (as described in
this plan). An employee's initial maintained pay rate is equal to the
lesser of (1) the basic pay held by the employee at the time an action
is taken which entitles the employee to maintain his or her pay or (2)
150 percent of the maximum rate of basic pay of the career level to
which assigned. The employee is entitled to maintained pay for 2 years
or until the employee's basic pay is equal to or more than the
employee's maintained pay, whichever occurs first. Exceptions to the 2-
year limit include employees on grade and pay retention
``grandfathered'' in upon initial conversion into the demonstration
project, former special rate employees receiving maintained pay as a
result of conversion into the project, and employees placed through the
priority placement programs. Employees will receive half of the across-
the-board GS percentage increase in basic pay and the full locality pay
increase while on maintained pay. Upon termination of maintained pay,
the employee's basic pay will be adjusted according to the CCS
appraisal process. If the employee's basic pay exceeds the maximum
basic pay of his or her career level upon expiration of the 2-year
period, the employee's pay will not be reduced; the employee will be in
the overcompensated range of basic pay category for CCS pay increase
purposes, see Figure 10.
Maintained pay shall cease to apply to an employee who:
(1) Has a break in service of 1 workday or more; or
(2) Is demoted for personal cause or at the employee's request.
The employee's maintained rate of pay is basic pay for purposes of
locality pay (locality pay is basic pay for purposes of retirement,
life insurance, premium pay, severance pay, advances in pay, workers'
compensation, and lump-sum payments for annual leave but not for
computing promotion increases). Employees promoted while on maintained
pay may have their basic pay (excluding locality pay) set up to 20
percent greater than the maximum basic pay for their current career
level or retain their ``maintained pay,'' whichever is greater.
3. Promotion
The movement of an employee to a higher career level within the
same career track or to a different career track and career level in
which the new career level has a higher maximum basic salary rate than
the career level from which the employee is leaving.
4. Reassignment
The movement of an employee from one position to another position
within the same career level in the same career track or to a position
in another career track and career level in which the new career level
has the same maximum basic salary rate as the career level from which
the employee is leaving.
5. Change to Lower Career Level
The movement of an employee to a lower career level within the same
career track or to a different career track and career level in which
the new career level has a lower maximum basic salary range than the
career level from which the employee is leaving.
6. Pay Adjustment
Any increase or decrease in an employee's rate of basic pay where
there is no change in the employee's position.
7. Detail
The temporary assignment of an employee to a different position for
a specified period when the employee is expected to return to his or
her regular duties at the end of the assignment. (An employee who is on
detail is considered for pay and strength purposes to be permanently
occupying his or her regular position.)
8. Highest Previous Rate
NRL will establish maximum payable rate rules that parallel the
rules in 5 CFR 531.202 and 531.203(c) and (d).
9. Approving Manager
The manager who has authority to approve the Request for Personnel
Action (RPA), SF-52.
H. Pay Setting Determinations Outside the CCS
1. External New Hires
a. This includes reinstatements. Initial basic pay for new
appointees into the demonstration project may be set at any point
within the basic pay range for the career track, occupation, and career
level to which appointed that is consistent with the special
qualifications of the individual and the unique requirements of the
position. These special qualifications may be consideration of
education, training, experience, scarcity of qualified applicants,
labor market considerations, programmatic urgency, or any combination
thereof which is pertinent to the position to which appointed. Highest
previous rate may be used to set the pay of new appointees into the
demonstration project. (The approving manager authorizes the basic
pay.) A recruitment or relocation bonus may be paid using the same
provisions available for GS employees under 5 U.S.C. 5753. Employees
placed through the DoD Priority Placement Program (PPP), the DoN
Reemployment Priority List (RPL), or the Federal Interagency Career
Transition Assistance Plan are entitled to the last earned rate if they
have been separated.
b. Transfers from within DoD and other Federal agencies will have
their pay set using pay setting policy for internal actions based on
the type of pay action.
2. Internal Actions
a. Promotion. When an employee is promoted, the basic pay after
promotion may be up to 20 percent greater than the employee's current
basic pay. However, if the minimum rate of the new career level is more
than 20 percent greater than the employee's current basic pay, then the
minimum rate of the new career level is the new basic pay. The
employee's basic pay may not exceed the basic pay range of the new
career level. Highest previous rate may be applied, if appropriate.
(The approving manager authorizes the basic pay.) Note: Most target
career level promotions will be accomplished through the CCS appraisal
and pay adjustment process (see section IV.C.8).
b. Pay Adjustment (Voluntary Change to Lower Pay) or Change to
Lower Career Level (except RIF). When an employee accepts a voluntary
change to lower pay or lower career level, basic pay may be set at any
point within the career level to which appointed, except that the new
basic pay will not exceed the employee's current basic pay or the
maximum basic pay of the career level to which assigned, whichever is
lower. Highest previous rate may be applied, if appropriate. (The
approving manager authorizes the basic pay.)
(1) Examples of Voluntary Change to a Lower Career Level. An
employee in an Administrative Specialist and Professional Career Track
position may decide he or she would prefer a Career Level II position
in the Administrative Support Career Track because it offers a
[[Page 8970]]
different work schedule or duty station. An employee in Level IV of the
Administrative Specialist and Professional Career Track who has a
family member with a serious medical problem and wants to be relieved
of supervisory responsibilities may request a change to Career Level
III.
(2) Example of Pay Adjustment (Voluntary Change to Lower Pay) or
Change to a Lower Career Level. An employee may accept a change to
lower pay or to a lower career level through a settlement agreement. A
Research Physicist who is in Level III and is being paid near the top
of Level III, is rated unacceptable in the critical element Research
and Development (R&D) Business Management. In settlement of a proposal
to remove this employee for unacceptable performance, an agreement is
reached which reduces the employee's pay to a rate near the beginning
of Level III.
c. Pay Adjustment (Involuntary Change to Lower Pay) or Change to
Lower Career Level Due to Adverse or Performance-based Action. When an
employee is changed to a lower career level, or receives a change to
lower pay due to an adverse or performance-based action, the employee's
basic pay will be reduced by at least 6 percent, but will be set at a
rate within the rate range for the career level to which assigned. (The
approving manager authorizes the basic pay.) Such employees will be
afforded appeal rights as provided by 5 U.S.C. 4303 or 7512.
d. Involuntary Change to Lower Career Level or Reassignment to a
Career Track with a Lower Salary Range, Other than Adverse or
Performance-based. If the change is not a result of an adverse or
performance-based action, the basic pay will be preserved to the extent
possible within the basic pay range of the new career level. If the pay
cannot be set within the rate range of the new career level, it will be
set at the maximum rate of the new career level and the employee's pay
will be reduced. If the change is a result of a position
reclassification resulting in the employee being assigned to a lower
career level or reassigned to a different career track with a lower
maximum basic salary range, the employee is entitled to maintained pay.
e. RIF Action (including employees who are offered and accept a
vacancy at a lower career level or in a different career track). The
employee is entitled to maintained pay.
f. Upward Mobility or Other Formal Training Program Selection. The
employee is entitled to maintained pay.
g. Return to Limited or Light Duty from a Disability as a Result of
Occupational Injury to a Position in a Lower Career Level or to a
Career Track with Lower Basic Pay Potential than Held Prior to the
Injury. The employee is entitled indefinitely to the basic pay held
prior to the injury and will receive full general and locality pay
increases. If upon reemployment, an employee was not given the higher
basic pay (basic pay received at the time of the injury), any
retirement annuity or severance pay computation would be based on his
or her lower basic pay (salary based on placement in a lower career
level). Even though the Department of Labor (DOL) would make up the
difference between the lower basic pay and the higher basic pay earned
at the time of injury, the DOL portion is not considered in the
retirement or severance pay computation.
h. Reassignment. The basic pay normally remains the same. Highest
previous rate may be applied, if appropriate. (The approving manager
authorizes the basic pay.)
i. Student Educational Employment Program. Initial basic pay for
new appointees may be set at any point within the basic pay range for
the career track, occupation, and career level to which appointed.
Basic pay may be increased upon return to duty (RTD) or conversion to
temporary appointment, in consideration of the student's additional
education and experience at the time of the action. Students who work
under a parallel work study program may have their basic pay increased
in consideration of additional education and/or experience. Basic pay
for students may be increased based on their CCS appraisal. (The
approving manager authorizes the basic pay.)
j. Hazard Pay or Pay for Duty Involving Physical Hardship.
Employees under the demonstration project will be paid hazardous duty
pay under the provisions of 5 CFR part 550, subpart I.
I. Priority Placement Program (PPP)
Current PPP procedures apply to new hires and internal actions.
J. Expanded Temporary Promotions
Current regulations require that temporary promotions for more than
120 days to a higher level position than previously held must be made
competitively. Under the demonstration project, NRL would be able to
effect temporary promotions of not more than 1 year without competition
to positions within the demonstration project. Prior service during the
preceding 12 months under noncompetitive time-limited promotions and
noncompetitive details to higher level positions count toward the 1-
year total.
IV. Sustainment
A. Position Classification
The position classification changes are intended to streamline and
simplify the process of identifying and categorizing the work done at
NRL. NRL will establish an Integrated Pay Scale (IPS) for all
demonstration project positions in covered occupations. The IPS will
replace the current GS and extend the pay scale to the equivalent of
the ES-4 level of the ``Rates of Basic Pay for the Members of the
Senior Executive Service (SES).''
1. Career Tracks and Career Levels
Within the IPS, occupations with similar characteristics will be
grouped together into four career tracks. Each career track consists of
a number of career levels, representing the phases of career
progression that are typical for the respective career track. The
career levels within each career track are shown in Figure 3, along
with their GS equivalents. The equivalents are based on the levels of
responsibility as defined in 5 U.S.C. 5104, and not on current basic
pay schedules. Appendix B provides definitions for each of the career
tracks and the career levels within them.
The career tracks and career levels were developed based upon
administrative, organizational, and position management considerations
at NRL. They are designed to enhance pay equity and enable a more
seamless career progression to the target career level for an
individual position or category of positions. This combination of
career tracks and career levels allows for competitive recruitment of
quality candidates at differing rates of compensation within the
appropriate career track, occupation, and career level. It will also
facilitate movement and placement based upon contribution, in
conjunction with the CCS described in paragraph IV.C. Other benefits of
this arrangement include a dual career track for S&E employees and
greater competitiveness with academia and private industry for
recruitment. Appendix C identifies the occupational series currently
within each of the four career tracks.
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a. Target Career Level. Each position will have a designated target
career level under the demonstration project. This target career level
will be identified as the career level to which an incumbent may be
advanced without further competition within a career track. These
target career levels will be based upon present career ladders and the
results of a pending position management study. Target career levels
may vary based upon occupation or career track. Employees' basic pay
will be capped at the target career level until other appropriate
conditions (competition, availability of a high-grade billet, position
management approval, increase in or acquisition of higher level duties,
approval of an accretion of duties promotion, etc.) have been met, and
the employee has been promoted into the next higher level.
b. Occupational Series and Position Titling. Presently, NRL
positions are identified by occupational groups and series of classes
in accordance with OPM position classification standards. Under the
demonstration project, NRL will continue to use occupational series
designators consistent with those currently authorized by OPM to
identify positions. This will facilitate related personnel management
requirements, such as movement into and out of the demonstration
project. Other occupational series may be added or deleted as needed to
support the demonstration project. Interdisciplinary positions will be
accommodated within the system based upon the qualifications of the
individual hired.
Titling practices consistent with those established by OPM
classification standards will be used to determine the official title.
Such practice will facilitate other personnel management requirements,
such as the following: movement into and out of the demonstration
project, reduction in force, external reporting requirements, and
recruitment. CCS career level descriptors and Requirements Document
(RD) (see paragraph IV.A.2) information will be used for specific
career track, career level, and titling determinations.
c. Classification Standards. Under the proposed demonstration
project, the number of classification standards would be reduced from
over 70 to 4. (See Figure 2.) Each standard would align with one of the
four career tracks and would cover all positions within that career
track. Each career track has two or three elements that are considered
in both classifying a position and in judging an individual's
contributions for pay setting purposes. Each element has generic
descriptors for every career level. These descriptors explain the type
of work, degree of responsibility and scope of contributions that need
to be ultimately accomplished to reach the highest basic pay potential
within each career level. (See Appendix D.) To classify a position, a
manager would select the career level which is most indicative overall
of the type of duties to be performed and the contributions
[[Page 8972]]
needed. For example: A supervisor needs a secretarial position for a
branch. In reading the elements and descriptors for the Administrative
Support Career Track, the supervisor determines that the Level II
descriptors illustrate the type of work and contributions needed.
Therefore, the position would be classified as a Secretary, Level II.
d. Fair Labor Standards Act (FLSA). Demonstration project positions
will be covered under the FLSA and 5 CFR part 551. Determination of
their status (exempt or nonexempt) will be made based on the criteria
contained in 5 CFR Part 551. The status of each new position under the
demonstration project will be determined using computer assisted
analysis as part of an automated process for preparing the RD. Those
positions for which the computer is unable to make the final FLSA
determination will be ``flagged'' for referral to a human resources
specialist for determination.
(1) Guidelines for FLSA Determinations.
a. Supervisory Information: provided through an automated system in
a checklist format; results of this checklist have an impact on FLSA
determination.
b. FLSA Information: provided through an automated system in a
checklist format; results of this checklist in conjunction with the
supervisory information provide a basis for the FLSA determination.
c. If required, the section entitled ``Purpose of Position'' will
be used to assist in FLSA determination.
d. RD's requiring additional review before being finalized will be
forwarded to a human resources specialist to review the FLSA
determination.
(2) Nonsupervisory and Leader Positions. Figure 4 shows the exempt
or nonexempt status applicable to nonsupervisory and leader positions
in the indicated career track and career level. In those cases where
``Review'' is indicated, the FLSA status must be determined based on
the specific duties and responsibilities of the subject position.
(3) Supervisory Positions. FLSA determination for supervisory
positions must be made based on the duties and responsibilities of the
particular position involved. As a rule, if a position requires
supervision of employees who are exempt under FLSA, the supervisory
position is likely to be exempt also.
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2. RD
An RD will replace the Optional Form 8 and position description
used under the current classification system. The RD will be prepared
by managers using a menu-driven, automated system. The automated system
will enable managers to classify and establish many positions without
intervention by a human resources specialist. The abbreviated RD will
combine the position information, staffing requirements, and
contribution expectations into a 1- or 2-page document. Appendix F
provides a sample RD for an Electronics Engineer, Level II.
3. Delegation of Classification Authority
Classification authority will be delegated to managers as a means
of increasing managerial effectiveness and expediting the
classification function. This will be accomplished as follows:
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[[Page 8974]]
a. Delegated Authority.
1. The NRL Commanding Officer (CO) will delegate classification
authority to the management levels shown in Figure 5, i.e., DOR,
Associate Directors of Research (ADORS), division superintendents or
equivalent levels, and the HRO Director (the HRO Director may further
delegate to selected HRO specialists).
2. The classification approval must be at least one level above the
first-level supervisor of the position.
3. First-line supervisors at any level will provide classification
recommendations.
4. HRO support will be available for guidance and recommendations
concerning the classification process. (Any dispute over the proper
classification between a manager and the HRO will be resolved by the
DOR.)
b. Position Classification Accountability. Those to whom authority
is delegated are accountable to the DOR. The DOR is accountable to the
CO. Those with delegated authority are expected to comply with
demonstration project guidelines on classification and position
management, observe the principle of equal pay for equal work, and
ensure that RD's are current. First-line supervisors will develop
positions using the automated system. All positions must be approved
through the proper chain of command.
B. IPS
Under the demonstration project, an IPS will be established which
will cover all demonstration project positions at NRL. This IPS will
extend from the basic pay for GS-1, step 1 (from the GS without
locality pay) to the basic pay for ES-4 (from ``Rates of Basic Pay for
Members of the Senior Executive Service (SES)'').
1. Annual Pay Action
NRL will eliminate separate pay actions for within-grade increases,
general and locality pay increases, performance awards, quality step
increases, and most career promotions, and replace them with a single
annual pay action (including either permanent or bonus pay or both)
linked to the CCS. This will eliminate the paperwork and processing
associated with multiple pay actions which average 3 per employee per
year.
2. Overtime Pay
Overtime will be paid in accordance with 5 CFR part 550, subpart A.
All nonexempt employees will be paid overtime based upon their ``hourly
regular rate of pay,'' as defined in existing regulation (5 CFR part
551).
3. Classification Appeals
An employee may appeal the occupational series, title, career
track, or career level of his or her position at any time. An employee
must formally raise the area of concern to supervisors in the immediate
chain of command, either verbally or in writing. If an employee is not
satisfied with the supervisory response, he or she may then appeal to
the DoD appellate level. If an employee is not satisfied with the DoD
response, he or she may then appeal to the OPM only after DoD has
rendered a decision under the provisions of this demonstration project.
Since OPM does not accept classification appeals on positions which
exceed the equivalent of a GS-15 level, appeal decisions involving
Career Level V for Advanced Research Scientists and Engineers (ARSAE)
will be rendered by DoD and will be final. Appellate decisions from OPM
are final and binding on all administrative, certifying, payroll,
disbursing, and accounting officials of the Government. Time periods
for case processing under 5 CFR subpart F, sections 511.603, 511.604,
and 511.605 apply.
An employee may not appeal the accuracy of the RD, the
demonstration project classification criteria, or the pay-setting
criteria; the propriety of a basic pay schedule; the assignment of
occupational series to the occupational family; or matters grievable
under an administrative or negotiated grievance procedure or an
alternative dispute resolution procedure.
The evaluation of classification appeals under this demonstration
project is based upon the demonstration project classification
criteria. Case files will be forwarded for adjudication through the HRO
and will include copies of appropriate demonstration project criteria.
4. Advanced Research Scientists and Engineers (ARSAE)
The NRL demonstration project includes a Career Level V for the
Science and Engineering (S&E) Professional Career Track. Career Level V
is created for ARSAE's.
Current legal definitions of SES and ST positions do not fully meet
the needs of NRL. The SES designation is appropriate for executive
level managerial positions whose classification exceeds the GS-15 grade
level. The primary knowledge and abilities of SES positions relate to
supervisory and managerial responsibilities. Positions classified as
STs are reserved for bench research scientists and engineers; these
positions require a very high level of technical expertise and they
have little or no supervisory responsibility.
NRL currently has positions (typically branch head, principal
investigator or team leaders) that have characteristics of both SES and
ST classifications. Most branch heads in NRL are responsible for
supervising other GS-15 positions, including non-supervisory research
engineers and scientists and, in some cases, ST positions. Most branch
heads are classified at the GS-15 level, although their technical
expertise warrants classification beyond GS-15. Because of their
management responsibilities, these individuals are excluded from the ST
system. Because of management considerations, they cannot be placed in
the SES. Management considers the primary requirement for branch heads
to have knowledge of and expertise in the specific scientific and
technology areas related to the mission of their branches.
Historically, the incumbents of these positions have been recognized
within the community as scientific and engineering leaders who possess
primarily scientific or engineering credentials and are considered
experts in their field. However, they must also possess strong
managerial and supervisory ability. Therefore, although some of these
employees have scientific credentials that might compare favorably with
ST criteria, classification of these positions as ST is not an option
because the managerial and supervisory responsibilities inherent in the
positions cannot be ignored.
Current GS-15 branch heads will convert into the demonstration
project at Career Level IV. After conversion they will be reviewed
against established criteria to determine if they should be
reclassified to Career Level V. Other positions possibly meeting
criteria for classification to Career Level V will be reviewed on a
case-by-case basis. The salary range is a minimum of 120 percent of the
minimum rate of basic pay for GS-15 with a maximum rate of basic pay
established at the rate of basic pay (excluding locality pay) for SES
level 4 (ES-4). Vacant positions in Career Level V will be
competitively filled to ensure that selectees are preeminent
researchers and technical leaders in the specialty fields who also
possess substantial managerial and supervisory abilities.
DoD will test Career Level V for a 5-year period. ARSAE positions
established in Career Level V will be subject to limitations imposed by
OPM and DoD. Career Level V will be established only in an S&T
Reinvention Laboratory which employs scientists,
[[Page 8975]]
engineers, or both. ARSAE incumbents of Career Level V positions will
work primarily in their professional capacity on basic or applied
research and secondarily perform managerial or supervisory duties. The
number of Career Level V, or equivalent, positions within the DoD will
not exceed 40. These 40 positions will be allocated by Assistant
Secretary of Defense (Force Management Policy) and administered by the
respective services. The number of ARSAE Career Level V positions will
be reviewed periodically to determine appropriate position
requirements. Career Level V position allocations will be managed
separately from SES, ST, and Senior Level (SL) positions. An evaluation
of the Career Level V concept will be performed during the fifth year
of the demonstration project.
Specific details regarding the control and management of all Level
V assets will be included in the demonstration project's operating
procedures. Level V is expected to afford NRL the ability to more
effectively and efficiently exercise managerial control at the local
level, while adhering to merit staffing, affirmative action, and equal
employment opportunity principles.
5. Distinguished Contributions Allowance (DCA)
The DCA is a temporary monetary allowance up to 25 percent of basic
pay (which, when added to an employee's rate of basic pay, may not
exceed the rate of basic pay for ES-4) paid on either a bi-weekly basis
(concurrent with normal pay days) or as a lump sum following completion
of a designated contribution period(s), or combination of these, at the
discretion of NRL. It is not basic pay for any purpose, i.e.,
retirement, life insurance, severance pay, promotion, or any other
payment or benefit calculated as a percentage of basic pay. The DCA
will be available to certain employees at the top of their target
career levels, whose present contributions are worthy of scores found
at a higher career level, whose level of contribution is expected to
continue at the higher career level for at least 1 year, and current
market conditions require additional compensation.
Assignment of the DCA rather than a change to a higher career level
will generally be appropriate for such employees under the following
circumstances: (1) When it is not certain that the higher level
contributions will continue indefinitely (e.g., a special project
expected to be of 1- up to 5-year duration), or (2) when employees have
reached the maximum rate of the target career level for the position
and when no further promotion or compensation opportunities are
available or externally imposed limits (such as high-grade
restrictions) make changes to higher career levels unavailable, and (3)
current market conditions compensate similar contributions at a greater
rate in like positions in private industry and academia and there is a
history of significant recruitment and retention difficulties
associated with such positions.
a. Eligibility.
(1) Employees in Levels III and IV of the S&E Professional Career
Track and those in Levels III, IV, and V of the Administrative
Specialist and Professional Career Track are eligible for the DCA if
they have reached the top CCS score for their target career level with
a recommendation for a higher Overall Contribution Score (OCS) for
their contributions, they have reached the maximum rate of basic pay
available for their target career level, the higher level contributions
are not expected to last indefinitely, and market conditions require
greater compensation for these contributions.
(2) Employees may receive a DCA for up to 3 years. The DCA
authorization will be reviewed and reauthorized as necessary, but at
least annually at the time of the CCS appraisal through nomination by
the pay pool manager and approval by the DOR. Employees in the S&E
Professional Career Track may receive an extension of up to 2
additional years (for a total of 5 years). The DCA extension
authorization will be reviewed and reauthorized as necessary, but at
least on an annual basis at the time of the CCS appraisal through
nomination by the pay pool manager and approval by the DOR.
(3) Monetary payment may be up to 25 percent of basic pay.
(4) Nominees would be required to sign a memorandum of
understanding or a statement indicating they understand that the DCA is
a temporary allowance; it is not a part of basic pay for any purpose;
it would be subject to review at any time, but at least on an annual
basis, and the reduction or termination of the DCA is not appealable or
grievable.
b. Nomination. In connection with the annual CCS appraisal process,
pay pool managers may nominate eligible employees who meet the criteria
for the DCA. Packages containing the recommended amount and method of
payment of the DCA and a justification for the allowance will be
forwarded through the supervisory chain to the DOR. Details regarding
this process will be addressed in standard operating procedures. These
details will include time frames for nomination and consideration,
payout scheme, justification content and format, budget authority,
guidelines for selecting employees for the allowance and for
determining the appropriate amount, and documentation required by the
employee acknowledging he or she understands the criteria and temporary
nature of the DCA.
c. Reduction of Termination of a DCA.
(1) A DCA may be reduced or terminated at any time the NRL deems
appropriate (e.g., when the special project upon which the DCA was
based ends; if performance or contributions decrease significantly; or
if labor market conditions change, etc.). The reduction or termination
of a DCA is not appealable or grievable.
(2) If an employee voluntarily separates from NRL before the
expiration of the DCA, an employee may be denied DCA payment. Authority
to establish conditions and/or penalties will be spelled out in the
written authorization of an individual's DCA.
d. Lump-Sum DCA Payments.
(1) When NRL chooses to pay part or all of an employee's DCA as a
lump sum payable at the end of a designated period, the employee will
accrue entitlement to a growing lump-sum balance each pay period. The
percentage rate established for the lump-sum DCA will be multiplied by
the employee's biweekly amount of basic pay to determine the lump sum
accrual for any pay period. This lump-sum percentage rate is included
in applying the 25-percent limitation.
(2) If an employee covered under a lump-sum DCA authorization
separates, or the DCA is terminated (see paragraph c), before the end
of that designated period, the employee may be entitled to payment of
the accrued and unpaid balance under the conditions established by NRL.
NRL may establish conditions governing lump-sum payments (including
penalties in cases such as voluntary separation or separation for
personal cause) in general plan policies or in the individual
employee's DCA authorization.
e. DCA Budget Allocation. The DOR may establish a total DCA budget
allocation that is never greater than 10 percent of the basic salaries
of the employees currently at the cap in the S&E Professional Career
Track, Career Levels III and IV, and the Administrative Specialist and
Professional Career Track, Career Levels III, IV, and V.
f. Concurrent Monetary Payments. Employees eligible for a DCA may
be authorized to receive a DCA and a retention allowance at the same
time, up to a combined total of 25 percent of
[[Page 8976]]
basic pay. A merit increase which raises an employee's pay to the top
rate for his or her target career level (thus making the employee
eligible for the DCA) may be granted concurrent with the DCA. Receipt
of the DCA does not preclude an employee from being granted any award
(including a contribution award) for which he or she is otherwise
eligible.
C. Contribution-Based Compensation System (CCS)
1. General
The purpose of the CCS is to provide an effective means for
evaluating and compensating the NRL workforce. It provides management,
at the lowest practical level, the authority, control, and flexibility
needed to develop a highly competent, motivated, and productive
workforce. CCS will promote increased fairness and consistency in the
appraisal process, facilitate natural career progression for employees,
and provide an understandable basis for career progression by linking
contribution to basic pay determinations.
CCS combines performance appraisal and job classification into one
annual process. At the end of each CCS appraisal period, basic pay
adjustment decisions are made based on each employee's actual
contribution to the organization's mission during the period.
A separate function of the process includes comparison of
performance in critical elements to acceptable standards to identify
unacceptable performance that may warrant corrective action in
accordance with 5 CFR part 432. Supervisory officials determine scores
to reflect each employee's contribution, considering both how well and
at what level the employee is performing. Often the two considerations
are inseparable. For example, an employee whose written documents need
to be returned for rework more often than those of his or her peers
also likely requires a closer level of oversight, an important factor
when considering level of pay.
The performance planning and rating portions of the demonstration
project's appraisal process constitute a performance appraisal program
which complies with 5 CFR part 430 and the DoD Performance Management
System, except where waivers have been approved. Performance-related
actions initiated prior to implementation of the demonstration project
(under DoN performance management regulations) shall continue to be
processed in accordance with the provisions of the appropriate system.
2. CCS Process
CCS measures employee contributions by breaking down the jobs in
each career track using a common set of ``elements.'' The elements for
each career track shown in Figure 6 and described in detail in Appendix
D have been initially identified for evaluating the contributions of
NRL personnel covered by this initiative. They are designed to capture
the highest level of the primary content of the jobs in each career
level of each career track. Within specific parameters, elements may be
weighted or even determined to be not applicable for certain categories
of positions. All elements applicable to the position are critical as
defined by 5 CFR part 430.
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For each element, ``Discriminators'' and ``Descriptors'' are
provided to assist in distinguishing low to high contributions. The
discriminators (2-4 for each element) break down aspects of work to be
measured within the element. The descriptors (one for each level for
each discriminator) define the expected level of contribution at the
top of the related career level for that element.
Scores currently range between 0 and 89; specific relationships
between scores and career levels are different for each career track.
(See Figure 7.) Basic pay adjustments are based on a comparison of the
employee's level of contribution to the normal pay range for that
contribution and the employee's present rate of basic pay.
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[[Page 8978]]
Supervisors and pay pool panels determine an employee's
contribution level for each element. A contribution score, available to
that level, is assigned accordingly. For example, a scientist whose
contribution in the Technical Problem Solving element for S&E
Professionals is determined to be at Level II may be assigned a score
of 18 to 47. Eighteen reflects the lowest level of responsibility,
exercise of independent judgment, and scope of contribution; and 47
reflects the highest. For Level III contributions, a value of 44 to 66
may be assigned. Each higher career level equates to a higher range of
values up to a total of 89 points for S&E professionals. The maximum
score of (currently) 89 provides the potential for basic pay of
$118,000 plus locality pay up to a cap of $125,900. Each element is
judged separately and level of work may vary for different elements.
The scores for each element are then averaged to determine the Overall
Contribution Score (OCS).
The CCS process will be carried out within a pay pool that
typically consists of all employees in an NRL division. Pay pools
should have a minimum size of about 35 employees; the largest pay pool
may have about 300 employees. To facilitate equity and consistency,
element weights and applicability and CCS score adjustments are
determined by a pay pool panel, rather than by individual supervisors.
Basic pay adjustments, contribution awards, and DCA's may be
recommended by the pay pool panel or by individual supervisors. Pay
pool panels will consist of supervisory officials or other individuals
who are familiar with the organization's work and the contributions of
its employees. In most cases division heads (mostly SES members)
function as pay pool managers, with final authority to decide weights,
scores, basic pay adjustments, and awards.
3. Pay Pool Annual Planning
Prior to the beginning of each annual appraisal period, the pay
pool manager and panel will review pay pool-wide expectations in the
areas described below.
a. Element Weights and Applicability. As written, all elements are
weighted equally. If pay pool panels and managers decide that some
elements are more important than others or that some do not apply at
all to the effective accomplishment of the organization's mission, they
may establish element weights including a weight of zero which renders
the element not applicable. Element weights are not intended for
application to individual employees. Instead, they may be established
only for subcategories of positions, not to exceed a maximum of five
subcategories in each career track. Subcategories for S&E Professionals
might be: Bench Level S&E, Supervisor, Program Manager, and Support
S&E. Subcategories should include a minimum of five positions, when
possible. Weights must be consistent within the subcategory.
b. Supplemental Criteria. The CCS level descriptors are designed to
be general so that they may be applied to all employees in the career
track. Supervisors and pay pool panels may establish supplemental
criteria to further inform employees of expected contributions. This
may include (but is not limited to) examples of contributions which
reflect work at each level for each element, taskings, objectives, and/
or standards.
4. Annual CCS Appraisal Process (See Figure 8)
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[[Page 8980]]
The NRL appraisal period will be 1 year, with a minimum appraisal
period of 90 days. At the beginning of the appraisal period, or upon an
employee's arrival at NRL or into a new position, the following
information will be communicated to employees so that they are informed
of the basis on which their performance and contributions will be
assessed: their career track and career level; applicable elements,
descriptors and discriminators; element weights; any established
supplemental criteria; OCS's which correspond to each employee's NPR
(see section IV.C.6); and basic acceptable performance standards. The
CCS Summary Form (Appendix D) will be used to facilitate and document
this communication. All employees will be provided this information;
however, employees in some situations may not receive CCS scores. These
situations are described in section IV.C.5, Exceptions. The
communication of information described by this paragraph constitutes
performance planning as required by 5 CFR 430.206(b).
Supervisor and employee discussion of organizational objectives,
specific work assignments, and individual performance expectations (as
needed), should be conducted on an ongoing basis. Either the supervisor
or the employee may request a formal review during the appraisal
period; otherwise, a documented review is required only at the end of
the appraisal period.
At the end of the appraisal period, employees will provide input
describing their contributions by preparing a Yearly Accomplishment
Report (YAR). Standard operating procedures will provide guidance for
paypools and employees on the content and format of YARs, and on other
types of information about employee contributions which should be
developed and considered by supervisors. This will include procedures
for capturing contribution information regarding employees who serve on
details, who change positions during the appraisal period, who are new
to NRL, and other such circumstances.
Supervisors will review the employee's YAR and other available
information about the employee's contributions during the appraisal
period and determine an initial CCS score for each element. In
addition, supervisors will determine whether the employee's performance
was acceptable or unacceptable in each element when compared against
the basic acceptable performance standards. The rating of the elements
(all that are applicable are designated critical as defined by 5 CFR
part 430) will serve as the basis for assignment of a summary level of
Acceptable or Unacceptable. If any element is rated unacceptable, the
summary level will be Unacceptable; otherwise the summary level will be
Acceptable. Unacceptable ratings must be reviewed and approved by a
higher level than the first-level supervisor.
If an employee changes positions during the last 90 days of the
appraisal period, the losing supervisor will conduct a performance
rating (i.e., rate each element Acceptable or Unacceptable and
determine the summary level) at the time the employee moves to the new
position. This will serve as the employee's rating of record. For
employees who report to NRL during the last 90 days of the appraisal
period, any close-out rating of Acceptable (or its equivalent) or
better from another Government agency will serve as the employee's
rating of record (the employee will be rated Acceptable). The
determination of CCS scores and application of related pay adjustments
for such employees is set forth in section IV.C.5, ``Exceptions''.
The pay pool panel will meet to compare scores, make appropriate
adjustments, and determine the final OCS for each employee. Final
approval of CCS scores and element and summary ratings will rest with
the pay pool manager (unless higher level approval is requested or
deemed necessary). Supervisors will communicate the element scores,
ratings and OCS summary level to each employee, and discuss the results
and plans for continuing growth. Employees rated Unacceptable will be
provided assistance to improve their performance (see paragraph V.A).
The CCS process will be facilitated by an automated system, the
CCSDS. During the appraisal process, all scores and supervisory
comments will be entered into the CCSDS. The CCSDS will provide
supervisors, pay pool panel members, and pay pool managers with
background information (e.g., YARS, employees' prior year scores and
current basic pay) and spreadsheets to assist them in comparing
contributions and determining scores. Records of employee appraisals
will be maintained in the CCSDS, and the system will be able to produce
a hard copy document for each employee which reflects his or her final
approved score.
5. Exceptions
All employees who have worked 90 days or more by the end of the
appraisal period will receive a performance rating of record. However,
in certain situations NRL does not consider the actual determination of
CCS scores to be necessary. In other situations, it may not be feasible
to determine a meaningful CCS score. Therefore, the determination of
CCS scores will not be required for the following types of employees:
a. Employees on intermittent work schedules;
b. Those on temporary appointments of 1 year or less;
c. Those who work less than 6 months in an appraisal period (e.g.,
on extended absence due to illness);
d. Those on long-term training for all or much of the appraisal
period;
e. Employees who have reported to NRL or to a new position during
the 90 days prior to the end of the appraisal period; and
f. Student Educational Employment Program employees.
If supervisors believe that the nature of such an employee's
contributions provide a meaningful basis to determine a CCS score, they
may appraise employees in the categories listed above, provided that
the employee has worked at least 90 days in an NRL position during the
appraisal period.
Those employees mentioned above who are not appraised under CCS
will not be eligible for merit increases or contribution awards. (This
will affect the calculation of service credit for RIF (see section
V.C.). All employees listed above will be given full general and
locality increases (as described in sections IV.C.7.a, ``General
Increases,'' and IV.C.7.c, ``Locality Increases''). All employees are
eligible for awards under NRL's Incentive Awards Program, such as ``On-
the-Spot'' and Special Act Awards, as appropriate.
6. Normal Pay Range (NPR)--Basic Pay Versus Contribution
The NRL CCS assumes a relationship between the assessed
contribution of the employee and a normal range of pay. For all
possible contribution scores available to employees, the NPR spans a
basic pay range of 12 percent. Employees who are compensated below the
NPR for their assessed score are considered ``undercompensated,'' while
employees compensated above the NPR are considered ``overcompensated.''
The lower boundary of the NPR is initially established by fixing
the basic pay equivalent to GS-1, step 1 of the General Schedule
(without locality pay), with a CCS score of zero. The upper boundary is
fixed at the basic pay equivalent to GS-15, step 10 of the General
Schedule (without locality pay), with a CCS score of 80. The distance
between these upper and lower boundaries for a given overall
contribution score is 12 percent of basic pay for all available CCS
scores. Using
[[Page 8981]]
these constraints, the interval between scores is approximately 2.37
percent through the entire range of pay. The lines were extended using
the same interval so that the upper boundary of the normal range of
basic pay accommodates the basic pay for SES Level IV. This currently
occurs at a contribution score near 90. (The actual end point will vary
depending on any pay adjustment factors, e.g., general increase.) The
formula used to derive the NPR may be adjusted in future years of the
demonstration project. See Appendix E for further details regarding the
formulation of the NPR.
Each year the boundaries for the NPR plus the minimum and maximum
rate of basic pay for each career level (except the maximum rate for
Level V of the S&E Professional Career Track) will be adjusted by the
amount of the across-the-board GS percentage increase granted to the
Federal workforce.
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At the end of each annual appraisal period, employees' contribution
scores will be determined by the CCS process described above, then
their CCS scores and current rates of basic pay will be plotted as a
point on a graph along with the NPR. The position of the point relative
to the NPR gives a relative measure of the degree of over- or
undercompensation of the employee, as shown in Figure 9. Points which
fall below the NPR indicate undercompensation; points which fall above
the NPR indicate overcompensation.
7. Compensation
Presently, employee pay is established, adjusted, and/or augmented
in a variety of ways, including general pay increases, locality pay
increases, special rate adjustments, within-grade increases (WGI's),
quality step increases (QSI's), performance awards, and promotions.
Multiple pay changes in any given year (averaging 3 per employee) are
costly to process and do not consider comprehensively the employee's
contributions to the organization. Under the demonstration project, NRL
will distribute the budget authority from the sources listed above into
4 pay categories: (1) General increase, (2) locality increase, (3)
merit increase, and (4) contribution awards. From these pay categories,
a single annual pay action would be authorized based primarily on
employees' contributions. Competitive promotions will still be
processed under a separate pay action; most career promotions will be
processed under the CCS.
In general, the goal of CCS is to pay in a manner consistent with
employee contribution or, in other words, migrate employees' basic pay
closer to the NPR. One result may be a wider distribution of pay among
employees for a given level of duties.
After the CCS appraisal process has been completed and the
employees' standing relative to the NPR has been determined, the pay
pool manager, in consultation with the pay pool panel or other pay pool
supervisory and staff officials, will determine the appropriate basic
pay change and contribution award, if appropriate, for each employee.
Standard operating procedures will provide guidance to assist pay pool
managers in making pay determinations. In most cases, the pay pool
manager will approve basic pay changes and awards. In some cases,
however, approval of a higher level official will be required. Figure
10 summarizes the eligibility criteria and applicable limits for each
pay category.
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[[Page 8982]]
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BILLING CODE 6325-01-C
The Contribution-based Compensation System Data System (CCSDS) will
calculate each employee's OCS and his or her standing in relation to
the NPR. The system will provide a framework to assist pay pool
officials in selecting and implementing a payout scheme. It will alert
management to certain formal limits in granting pay increases; e.g., an
employee may not receive a permanent increase above the maximum rate of
basic pay for his or her career level until a corresponding level
change has been effected. Once basic pay and award decisions have been
finalized and approved, the CCSDS will prepare the data file for
processing the pay actions, and maintain a consolidated record of CCS
pay actions for all NRL demonstration project employees.
a. General Increases. General increase budget authority will be
available to pay pools as a straight percentage of employee salaries,
as derived under law. Pay pool panels or managers may reduce or deny
general pay increases for employees whose contributions are in the
overcompensated category. (See Figure 10.) Such reduction or denial may
not place an employee in the undercompensated category. An employee
receiving maintained pay (except one receiving maintained pay for an
occupational injury who receives a full general pay increase) will
receive half of the across-the-board GS percentage increase in basic
pay until the employee's basic pay is within the basic pay range
assigned for their current position or for 2 years, whichever is less.
NRL employees on pay retention at the time of demonstration project
implementation or as a result of placement through the DoN RPL, DoD PPP
or the Federal Interagency Career Transition Assistance Plan will
receive half of the across-the-board GS percentage increase until the
employee's maintained pay is exceeded by the maximum rate for the
employee's career level or the maintained pay is ended due to a
promotion. General increase authority not expended is available to
either the merit increase or contribution award pay categories or both.
b. Merit Increases. Merit increases will be calculated after the
determination of employees' general increases. Merit increases may be
granted to employees whose contribution places them in the ``normal''
or ``undercompensated'' categories. (See Figure 10.) In general, the
higher the range in which the employee is contributing compared to his
or her basic pay, the higher the merit increase should be. However, the
following limitations apply: a merit increase may not place any
employee's basic pay (1) in the ``overcompensated'' category (as
established by the NPR for the upcoming year, which has been adjusted
by the amount of the new general increase); (2) in excess of SES Level
IV; (3) in excess of the maximum rate of basic pay for the individual's
career level (unless the employee is being concurrently advanced to the
higher career level); or (4) above any outside-imposed dollar limit
(e.g., high-grade ceiling). Merit increases for employees in the NPR
will be limited to 6 percent of basic pay, not to exceed the upper
limit of the NPR for the employee's score. In addition, merit increases
for employees in the undercompensated range may not exceed 6 percent
above the lower rail of the NPR, or 20 percent of basic pay without DOR
approval.
The NRL merit increase category will include what is now WGI's,
QSI's, and career ladder promotions. This category will be set each
year near 2.4 percent of total NRL basic pay rates (including the
general increase rate approved for the coming year). This is close to
the average of NRL's expenditures for step increases and promotions
over the last 3 years. This percentage has been used by other
demonstration projects in the past. The 2.4 percent figure will be
adjusted as necessary to facilitate cost containment over the life of
the demonstration project.
The amount of budget authority available to each pay pool will be
determined annually by the DOR. Because statistical variations will
occur in year-to-year personnel growth, any unexpended merit increase
authorities may be carried over for use in the next cycle or
transferred to the Contribution Awards Category. Any unexpended merit
increase authority must be used no later than the payout for the next
rating cycle.
c. Locality Increases. All employees will be entitled to the
locality pay
[[Page 8983]]
increase authorized by law for their official duty station. In
addition, the locality-adjusted pay of any employee may not exceed the
rate for level IV of the Executive Schedule, except that, for employees
in Career Level V of the S&E Professional Career Track, the locality-
adjusted pay cap is level III of the Executive Schedule ($125,900 from
``Rates of Pay for the Executive Schedule,'' effective since January
1998).
d. Contribution Awards. Authority to pay contribution awards (lump-
sum payments recognizing significant contributions) will be initially
available to pay pools as a straight 1.5 percent of employees' basic
pay (similar to the amount currently available for performance awards).
The percentage rate may be adjusted in future years of the
demonstration project. In addition, unexpended general increase and
merit increase budget authorities may be used to augment the award
category. Contribution awards may be granted to those employees whose
contributions place them in the ``normal'' or ``undercompensated''
category, and to employees in the ``overcompensated'' category who are
on maintained pay. Standard operating procedures will provide guidance
to pay pool managers in establishing and applying criteria to determine
significant contributions which warrant awards. An award exceeding
$10,000 requires DOR approval. (See Figure 10.) Any unexpended
contribution award authority must be used at the payout for the next
rating cycle. Pay pools may also grant time-off as a contribution
award, in lieu of or in addition to cash.
8. Career Movement Based on CCS
Movement through the career levels will be determined by
contribution and basic pay at the time of the annual CCS appraisal
process.
The NRL demonstration project is an integrated system that links
level of work to be accomplished (as defined by a career track and
career level) with individual achievement of that work (as defined by
an OCS) to establish the rate of appropriate compensation (as defined
by the career track pay schedule), and to determine progression through
the career track. This section addresses only changes in level which
relate directly to the CCS determination.
When an employee's OCS falls within 3 scores of the top score
available to his or her current career level, supervisors should
consider whether it is appropriate to advance the employee to the next
higher level (refer to IV.A.1.a for other criteria). If progression to
the next higher level is deemed warranted, supporting documentation
would be included with the CCS appraisal and forwarded through the
appropriate channels for approval. If advancement is not considered
appropriate at this time, the employee would remain in his or her
current career level. Future basic pay raises would be capped by the
top of the employee's current career level unless the employee
progresses to the next higher career level through a CCS-related
promotion, an accretion of duties promotion, or a competitive
promotion.
a. Advancements in Level Which May be Approved by the Pay Pool
Manager. Advancements to all levels except Levels IV and V of the S&E
Professional and the Administrative Specialist and Professional Career
Tracks may be approved by the pay pool manager (this may be changed in
future years of the demonstration project if there are changes in the
way high-grade positions are defined).
b. Advancements in Level Which Must be Approved by the DOR Level.
Advancement to (1) levels outside target career levels or established
position management criteria; (2) Levels IV and V of the S&E
Professional Career Track; and (3) Levels IV and V of the
Administrative Specialist and Professional Career Track require
approval by the DOR or his or her designee. These levels include
(presently) all of NRL's high-grade billets. Details regarding the
process for nomination and consideration, format, selection criteria,
and other aspects of this process will be addressed in the standard
operating procedures. In the event that unanticipated high-grade
turnover results in vacancies prior to the end of the appraisal period,
NRL may carry out this process at other times of the year.
c. Advancement to Level V of the S&E Professional Career Track.
Vacancies in the billets allotted to NRL in this level will be filled
as described in section IV.B.4.
d. Regression to Lower Level. (See Figure 9, ``Employee A''.) If an
employee is contributing less than expected for the level at which he
or she is being paid, the individual may regress into a lower career
level through reduction or denial of general increases and
ineligibility for merit increases. (This is possible because the NPR
plus the minimum and maximum pay rates for each career level will be
adjusted upwards each year by the across-the-board GS percentage
increase in basic pay.) If the employee's basic pay regresses to a
point below the pay overlap area between his or her level and the next
lower level, it will no longer be appropriate to designate him or her
as being in the higher level. Therefore, the employee will be formally
changed to the lower level. The employee will be informed of this
change in writing, but procedural and appeal rights provided by 5
U.S.C. 4303 and 7512 (and related OPM regulations) will not apply
(except in the case of employees who have veterans' preference). NRL is
providing for waivers of the statute and regulations for such actions.
Further, because a change to lower level under such circumstances is
not discretionary, the change may not be grieved under NRL's
administrative grievance procedures.
9. CCS Grievance Procedures
An employee may grieve the appraisal received under CCS using
procedures specifically designed for CCS appraisals. Under these
procedures, the employee's grievance will first be considered by the
pay pool panel, who will recommend a decision to the pay pool manager.
If the employee is not satisfied with the pay pool manager's decision,
he or she may file a second-step grievance with the next higher level
management official. This official will render a final NRL decision on
the grievance.
The following are not grievable: pay actions resulting from CCS
(receipt, non-receipt or amount of general increase, merit increase,
DCA or contribution award); reductions in level without reduction in
pay due to regression (see section IV.C.8.d); any action for which
another appeal or complaint process exists.
V. Separations
A. Performance-based Reduction in Pay or Removal Actions
This section applies to reduction in pay or removal of
demonstration project employees based solely on unacceptable
performance. Adverse action procedures under 5 CFR part 752 remain
unchanged.
When a supervisor determines during or at the end of the appraisal
period that the employee is not completing work assignments
satisfactorily, the supervisor must make a determination as to whether
the employee is performing unacceptably in one or more of the critical
elements. All CCS elements applicable to the employee's position are
critical as defined by 5 CFR part 430.
Unacceptable performance determinations must be made by comparing
the employee's performance to the acceptable performance standards
established for elements.
At any time during or at the end of the appraisal period that an
employee's
[[Page 8984]]
performance is determined to be unacceptable in one or more critical
elements, the employee will be provided assistance in improving his or
her performance. This will normally include clarifying (or further
clarifying) the meaning of terms used in the acceptable performance
standards (e.g., ``timely'' ``thorough research'' and ``overall high
quality'') as they relate to the employee's specific responsibilities
and assignments. An employee whose performance is unacceptable after he
or she has been given a reasonable opportunity to improve may be
removed or reduced in grade or level, in accordance with the provisions
of 5 U.S.C. 4303 and related OPM regulations. Employees may also be
removed or reduced in grade or level based on unacceptable performance
under the provisions of 5 U.S.C. 7512. All procedural and appeal rights
set forth in the applicable statute and related OPM regulations will be
afforded to demonstration project employees removed or reduced in grade
or level for unacceptable performance.
B. RIF
1. RIF Authority
Under the demonstration project, NRL would be delegated authority
to approve RIF as defined in Secretary of the Navy Instruction 12351.5E
and the use of separation pay incentives.
2. RIF Definitions
a. Competitive Area. A separate competitive area will be
established by geographic location for all personnel included in the
demonstration project.
b. Competitive Level. Positions in the same occupational career
level, which are similar enough in duties and qualifications that
employees can perform the duties and responsibilities including the
selective placement factor, if any, of any other position in the
competitive level upon assignment to it, without any loss of
productivity beyond what is normally expected.
c. Service Computation Date (SCD). The employee's basic Federal SCD
would be adjusted for CCS results credit.
(1) CCS Process Results Credit.
a. An employee's basic Federal SCD may be credited with up to 20
years credit based on the results of the CCS process. The CCS RIF
Assessment Category would be used to determine the number of RIF years
credited. The CCS RIF Assessment Category is the combination of the
employee's standing under the CCS relative to the NPR and any merit
increase, DCA, or contribution award. Figure 11 shows the RIF years
available for each CCS RIF Assessment Category.
------------------------------------------------------------------------
RIF years
Assessment category available
------------------------------------------------------------------------
0=Employees within the overcompensated range without any 0
portion of a general increase.............................
1=Employees receiving maintained pay or any portion of a 12
general increase but no merit increase or contribution
award.....................................................
2=Employees receiving a merit increase or contribution 16
award.....................................................
3=Employees receiving both a merit increase and 20
contribution award or with capped salary and receiving a
contribution award and/or a DCA...........................
Final RIF Credit: Average of the three most recent CCS Process Results
received during the 4-year period prior to the cutoff date
------------------------------------------------------------------------
Figure 11--CCS RIF Assessment Categories
b. If an employee has fewer than three CCS process results, the
value (RIF years available) of the actual number of process results on
record will be divided by the number of actual process results on
record. In cases where an employee has no actual CCS process results,
the employee will be given the additional RIF CCS process results
credit for the most common, or ``modal'' NRL demonstration project CCS
RIF Assessment Category for the most recent CCS appraisal period.
(2) Credit from Other Rating Systems. Employees who have been rated
under different patterns of summary rating levels will receive RIF
appraisal credit as follows:
--If there are any ratings to be credited for the RIF given under a
rating system which includes one or more levels above fully successful
(Level 3), employees will receive credit as follows: 12 years for Level
3, 16 years for Level 4, 20 years for Level 5; or
--If an employee comes from a system with no levels above Fully
Successful (Level 3), they will receive credit based on the
demonstration project's modal CCS RIF assessment category.
(3) RIF Cutoff Date. To provide adequate time to properly determine
employee retention standing, the cutoff date for use of new CCS process
results is set at 30 days prior to the date of issuance of RIF notices.
3. Displacement Rights
(a) Displacement Process. Once the position to be abolished has
been identified, the incumbent of that position may displace another
employee within the incumbent's current career track and career level
when the incumbent has a higher retention standing and is fully
qualified for the position occupied by an employee with a lower
standing. If there are no displacement rights within the incumbent's
current career track and career level, the incumbent may exercise his
or her displacement rights to any position previously held in the next
lower career level, regardless of career track, when the position is
held by an employee with a lower retention standing. In the case of all
preference eligibles, they may displace up to the equivalent of 3
grades or intervals below the highest equivalent grade of their current
career level in the same or a different career track regardless of
whether they previously held the position provided they are fully
qualified for the position and the position is occupied by an employee
with a lower retention standing. Preference eligibles with a
compensable service connected disability of 30 percent or more may
displace an additional 2 GS grades or intervals (total of 5 grades)
below the highest equivalent grade of their current career level
provided they have previously held the position and the position is
occupied by an employee in the same subgroup with a later RIF service
computation date.
(b) Retention Standing. Retention standing is based on tenure,
veterans' preference, length of service, and contribution.
(c) Vacant Positions. Assignment may be made to any available
vacant position including those with promotion potential in the
competitive area.
(d) Ineligible for Displacement Rights. Employees who have been
notified in writing that their performance is considered to be
unacceptable or whose most recent CCS rating puts them in Assessment
Category O would not be entitled to displacement rights under RIF
procedures.
(e) Change to Lower Level due to an Adverse or Performance-based
Action. An employee who has received a written decision to change him
or her to a lower level due to adverse or performance based action will
compete from the position to which he or she will be or has been
demoted.
3. Notice Period
The notice period and procedures in 5 CFR subpart H, section
351.801 will be followed.
4. RIF Appeals
Under the demonstration project, employees affected by a RIF
action,
[[Page 8985]]
other than a reassignment, maintain their right to appeal to the Merit
Systems Protection Board if they feel the reason for the RIF is not
valid or if they think the process or procedures were not properly
applied.
5. Separation Incentives
NRL will have delegated authority to approve separation incentives
and will use the current calculation methodology of a lump sum payment
equal to an employee's severance pay calculation or $25,000, whichever
is less.
6. Severance Pay
Employees will be covered by the severance pay rules in 5 CFR part
550, subpart G, except that NRL will establish rules for determining a
``reasonable offer'' that parallel Title 5 rules.
7. Outplacement Assistance
All outplacement assistance currently available would be continued
under the demonstration project.
VI. Demonstration Project Transition
A. Initial Conversion or Movement to the Demonstration Project
1. Placement into Career Tracks and Career Levels
Conversion or movement of GS employees into the demonstration
project will be into the career track and career level which
corresponds to the employee's current GS grade and basic pay. If
conversion into the demonstration project is accompanied by a
simultaneous change in the geographic location of the employee's duty
station, the employee's overall GS pay entitlements (including locality
rate) in the new area will be determined before converting the
employee's pay to the demonstration project pay system. Employees will
be assured of placement within the new system without loss in pay. Once
under the demonstration project, employee progression through the
career tracks and career levels up to their target career level is
dependent upon contribution score, not upon previous methods (e.g.,
WGI's, QSI's, or career promotions as previously defined).
2. Conversion of Retained Grade and Pay Employees
NRL's workforce will be grouped into career tracks and associated
pay levels with designated pay ranges rather than the traditional grade
and step. Therefore, grade and pay retention will be eliminated. NRL
will grant ``maintained pay'' (as defined in section III.G.2,
``Maintained Pay''), which is related to the current meaning of
``retained pay'' but does not provide for indefinite retention of pay
except in certain situations. Employees currently on grade or pay
retention will be immediately placed on maintained pay at their current
rate of basic pay if this rate exceeds the maximum rate for their
career level and ``grandfathered'' in the appropriate career level.
Employees will receive half of the across-the-board GS percentage
increase in basic pay and the full locality pay increase until their
basic pay is within the appropriate basic pay range for their current
position without time limitation.
3. WGI Buy-in
The participation of all covered NRL employees in the demonstration
project is mandatory. However, acceptance of the system by NRL
employees is essential to the success of the demonstration project.
Therefore, on the date that employees are converted to the project pay
plan, they will be given a permanent increase in pay equal to the
earned (time spent in step) portion of their next WGI based on the
value of the WGI at the time of conversion so that they will not feel
they are losing a pay entitlement accrued under the GS system.
4. Conversion of Special Salary Rate Employees
Employees who are in positions covered by a special salary rate
prior to the demonstration project will no longer be considered a
special salary rate employee under the demonstration project. These
employees will, therefore, be eligible for full locality pay. The
adjusted salaries of these employees will not change. Rather, the
employees will receive a new basic rate of pay computed by dividing
their basic adjusted pay (higher of special salary rate or locality
rate) by the locality pay factor for their area. A full locality
adjustment will then be added to the new basic pay rate. Adverse action
will not apply to the conversion process as there will be no change in
total salary. However, if an employee's new basic pay rate after
conversion to the demonstration project pay schedule exceeds the
maximum basic pay authorized for the career level, then the employee
will be granted maintained pay under paragraph III.G.2 until the
employee's salary is within the range of the career level.
For example, an Electronics Engineer, GS-855-9, step 5, is paid
$44,715 per annum in accordance with special GS salary rates as of
January 1999 for Table Number: 0422. The employee is located in the
locality area of Washington-Baltimore, DC-MD-VA-WV. Under the
demonstration project, the computation of the engineer's new basic rate
of pay with a full locality adjustment and WGI buy-in is computed as
follows:
a. Basic adjusted pay divided by locality pay factor=new basic rate
of pay.
b. New basic rate of pay multiplied by the full locality adjustment
for current area=full locality adjustment amount for special rate
employees.
c. New basic rate of pay + WGI buy-in amount X locality pay factor
= demo special rate for conversion.
EXAMPLE:
a. $44,715 (basic adjusted pay) divided by 1.0787 (locality pay
factor) = $41,453 (new basic rate of pay).
b. $41,453 (new basic rate of pay) X 1.0787 (full locality
adjustment factor for current area) = $3,262 (full locality adjustment
amount).
c. $41,453 (new basic rate of pay) + $500 (example WGI buy-in
amount) = $41,953 (new conversion basic rate of pay) X 1.0787 (locality
pay factor) = $45,254 (demo special rate for conversion).
B. CCS Startup
CCS elements, descriptors, discriminators and standards have been
established as the appraisal criteria for the 1998-1999 cycle which
began June 1, 1998. Except for its compensation components, CCS is
consistent with DoN's two-level appraisal program, which was effected
in 1998. The CCS process will be used to appraise employees at the end
of the 1998-1999 cycle on September 30, 1999. The first CCS payout is
expected to occur at the beginning of the first full pay period in
January 2000.
C. Training
An extensive training program is planned for everyone in the
demonstration project including the supervisors, managers, and
administrative staff. Training will be tailored to fit the requirements
of every employee included in the demonstration project and will fully
address employee concerns to ensure everyone has a comprehensive
understanding of the program and to emphasize the benefits to
employees. In addition, leadership training will be provided to all
managers and supervisors as the new system places more responsibility
and decision making authority on them.
NRL training personnel will provide local coordination and
facilities, supplemented by contractor support as needed. The training
will be completed
[[Page 8986]]
prior to the anticipated project implementation date.
1. Types of Training
Training packages will be developed to encompass all aspects of the
project and validated prior to training the workforce. Specifically,
training packages will be developed for the following groups of
employees:
a. NRL Employees. All NRL demonstration project employees will be
provided an overview of the demonstration project and employee
processes and responsibilities.
b. Supervisors and Managers. All supervisors and managers under the
demonstration project will be provided training in supervisory and
managerial processes and responsibilities under the demonstration
project.
c. Support Personnel. Administrative support personnel, HRO
personnel, financial management personnel, and Management Information
Systems Staff will be provided training on administrative processes and
responsibilities under the demonstration project.
D. New Hires Into the Demonstration Project
The following steps will be followed to place employees (new hires)
entering the system:
a. The career track and career level will be determined based upon
the employee's education and experience in relation to the duties and
responsibilities of the position in which he or she is being placed,
consistent with OPM qualification standards.
b. Basic pay will be set based upon available labor market
considerations relative to special qualifications requirements,
scarcity of qualified candidates, programmatic urgency, and education
and experience of the new candidate.
c. Employees placed through the DoN RPL, the DoD PPP, or the
Federal Interagency Career Transition Assistance Plan who are eligible
for maintained pay will receive one half of the across-the-board GS
percentage increase in basic pay and the full locality pay increase
until the employee's basic pay is within the basic pay range of the
career track and career level to which assigned. Employees are eligible
for maintained pay as long as there is no break in service and if the
employee's rate of pay exceeds the maximum rate of his or her career
level.
E. Conversion or Movement From Demonstration Project
In the event the demonstration project is terminated or employees
leave the demonstration project through promotion, change to lower
grade, reassignment or transfer, conversion back to the GS system may
be necessary. The converted GS grade and GS rate of pay must be
determined before movement or conversion out of the demonstration
project and any accompanying geographic movement, promotion, or other
simultaneous action. An employee will not be converted at a level which
is lower than the GS grade held immediately prior to entering the Demo
project, unless, since that time, the employee has undergone a
reduction in career level. The converted GS grade and rate will become
the employee's actual GS grade and rate after leaving the demonstration
project and will be used to determine the pay action and GS pay
administration rules for employees who leave the project to accept a
position in the traditional Civil Service system. The following
procedures will be used to convert the employee's demonstration project
career level to a GS equivalent grade and the employee's demonstration
project rate of pay to the GS equivalent rate of pay.
1. Grade Determination
Employees will be converted to a GS grade based on a comparison of
the employee's current adjusted rate of basic pay to the highest GS
applicable rate range considering only those grade levels that are
included in the employee's current career level. The highest GS
applicable rate range includes GS basic rates, locality rates, and
special salary rates. Once a grade range is determined, the following
procedures will be used to determine the GS grade:
a. Identify the highest GS grade within the current career level
that accommodates the employee's adjusted rate of basic pay (including
any locality payment).
b. If the employee's adjusted rate of basic pay equals or exceeds
the applicable step 4 rate of the identified highest GS grade, the
employee is converted to that grade.
c. If the employee's adjusted rate of basic pay is lower than the
applicable step 4 of the highest grade, the employee is converted to
the next lower grade.
d. If under the above-described ``step 4'' rule, the employee's
adjusted project rate exceeds the maximum rate of the grade assigned
but fits in the rate range for the next higher applicable grade (i.e.,
between step 1 and step 4), then the employee shall be converted to the
next higher applicable grade.
e. For two-grade interval occupations, conversion should not be
made to an intervening (even) grade level below GS-11.
f. Employees in Level IV of the Administrative Specialist and
Professional Career Track will convert to the GS-13 level.
2. Pay Setting
Pay conversion will be done before any geographic movement or other
pay-related action that coincides with the employee's movement or
conversion out of the demonstration project. The employee's pay within
the converted GS grade is set by converting the employee's
demonstration project rate of pay to a GS rate of pay as follows:
a. The employee's demonstration project adjusted rate of pay
(including locality) is converted to a rate on the highest applicable
adjusted rate range for the converted GS grade. For example, if the
highest applicable GS rate range for the employee is a special salary
rate range, the applicable special rate salary table is used to convert
the employee's pay.
b. When converting an employee's pay, if the rate of pay falls
between two steps of the conversion grade, the rate must be set at the
higher step.
c. Employees whose basic pay exceeds the maximum basic pay of the
highest GS grade for their career level will be converted to the
highest grade in their career level. NRL will coordinate with OPM to
prescribe a procedure for determining the GS-equivalent pay rate for
employees whose rate of pay exceeds the maximum rate of basic pay for
their converted grade.
3. ARSAE
Employees in Career Level V of the S&E Professional Career Track
will convert to the GS-15 grade level. NRL will develop a procedure to
ensure that S&E employees entering Career Level V understand that if
they leave the demonstration project and their adjusted pay exceeds the
GS-15, step 10 rate, there is no entitlement to retained pay. Their GS-
equivalent rate will be deemed to be the rate for GS-15, step 10. For
those Career Level V employees paid below the adjusted GS-15, step 10
rate, the post-conversion rates will be set using the converted rates
in applying the highest previous rate rule.
4. Determining Date of Last Equivalent Increase
The last equivalent increase will be the date the employee received
a CCS pay increase, was eligible to receive a CCS pay increase, or
received a promotion, whichever occurred last.
[[Page 8987]]
VII. Demonstration Project Duration
A. General
Section 342 of the National Defense Authorization Act for fiscal
year 1995 (Public Law 103-337) does not require a mandatory expiration
date for this demonstration project. The project evaluation plan
addresses how each intervention will be comprehensively evaluated for
at least the first 5 years of the demonstration project. Major changes
and modifications to the interventions can be made through another
announcement in the Federal Register and would be made if formal
evaluation data warrant a change.
B. 5-Year Reexamination
At the 5-year point, the entire demonstration will be reexamined
for either: (a) permanent implementation, (b) modification and another
test period, or (c) termination of the project.
VIII. Demonstration Project Evaluation Plan
A. Overview
Chapter 47 of 5 U.S.C. requires that an evaluation be performed to
measure the effectiveness of the proposed project, and its impact on
improving public management. A comprehensive evaluation plan for the
entire laboratory demonstration program, originally covering 24 DoD
laboratories, was developed by a joint OPM/DoD Evaluation Committee in
1995. This plan was submitted to the Office of Defense Research &
Engineering and was subsequently approved (see Proposed Plan for
Evaluation of the Department of Defense S&T Laboratory Demonstration
Program, Office of Merit Systems Oversight and Effectiveness, June
1995). The primary focus of the evaluation is to determine whether the
waivers granted result in a more effective personnel system and
improvements in ultimate outcomes (i.e., laboratory effectiveness,
mission accomplishment, and customer satisfaction). In March 1996, the
Director of Defense Research & Engineering (DDR&E), who is responsible
for laboratory management, entered into an agreement with OPM's
Personnel Resources and Development Center (PRDC) to conduct the
external evaluation of the project from FY1996 to FY2001.
B. Evaluation Models
Figure 12 shows a general model for the evaluation of the
demonstration program. It includes measurements for both intermediate
and ultimate outcomes. The intermediate outcomes are defined as the
results of specific personnel system changes and the associated waivers
of law and regulation expected to improve human resource (HR)
management. The ultimate outcomes (mentioned above) are improved
laboratory performance, mission accomplishment, and customer
satisfaction. While it is not possible to establish a direct causal
link between changes in the HR management system and organizational
effectiveness, it is hypothesized that the new HR system will
contribute to improved organizational effectiveness. The evaluators
will attempt to use measures of results determined by the laboratories
to assess ultimate outcomes. Consideration of the context, the degree
of implementation, and support of implementation are important in the
interpretation of results. Contextual considerations include the
effects of potential intervening variables, for example, downsizing,
changes in mission, and the state of the economy in general. Degree of
implementation is defined as the extent to which proposed changes are
given a fair trial, the degree to which they are used, and the extent
to which they conform to the concepts behind the changes. Support for
implementation includes the training and automated support systems and
can also be affected by the individual characteristics of those who are
implementing the program. The degree to which the project is
implemented and operated will be tracked to ensure the evaluation
results reflect the project as it was intended. Data will be collected
to measure changes in both intermediate and ultimate outcomes, as well
as any unintended outcomes that can occur as a result of any
organizational change. In addition, the evaluation will track the
impact of the project and its interventions on veterans and other EEO
groups, the Merit Systems Principles, and the Prohibited Personnel
Practices. Additional measures will be added to the model in the event
that changes or modifications are made to the demonstration plan.
An intervention impact model will be used to measure the
effectiveness of the various personnel system changes or interventions
implemented at NRL (see the example in Appendix G). The intervention
impact model specifies each personnel system change as an intervention,
expected effects of each intervention, corresponding measures, and data
sources for obtaining the measures. While this intervention impact
model makes an attempt to predict and measure outcomes of specific
interventions, causal attributions about the full impact of specific
interventions will not always be possible. Many of the initiatives are
expected to interact with each other and contribute to the same
outcomes. Furthermore, the impact of changes in the HR system may be
mitigated by contextual variables (e.g., the job market, legislation,
and internal support systems) as well as the individual characteristics
of those who are implementing the systems.
C. Evaluation
A modified quasi-experimental design will be used for the
evaluation of the S&T Laboratory Demonstration Program. Because most of
the eligible laboratories are participating, a 5 U.S.C. comparison
group will be constructed from the Civilian Personnel Data File (CPDF).
This comparison group will consist of workforce data from
Governmentwide research organizations in civilian Federal agencies with
missions and job series matching those in the DoD laboratories. This
comparison group will be used primarily in the analysis of broadbanding
costs and turnover rates.
The original ``China Lake'' project will serve as a second
comparison group which can be used as a benchmark representing a stable
broadbanding system. The two original Navy demonstration laboratories
(Naval Air Warfare Center--Weapons Division in China Lake, CA and Naval
Command Control and Ocean Surveillance Center in San Diego, CA) will
participate in the employee survey and will also provide workforce
data.
Since some of the interventions are used in a few laboratories and
not others, there will be additional comparison groups for specific
interventions. The staggered implementation of the demonstration
program across laboratories will also allow for time series analyses
using multiple baselines. NRL is expected to implement its
demonstration proposal in 1999 and will have several years of pre-
demonstration baseline data.
D. Method of Data Collection
Data from a variety of sources will be used in the evaluation.
Information from existing management information systems and from
personnel office records will be supplemented with perceptual data to
assess variables related to effectiveness. Multiple methods provide
more than one perspective on how the interventions are working.
Information gathered through one method will be used to validate
information gathered through another. Confidence in the findings will
increase as they are substantiated by the different collection methods.
[[Page 8988]]
Both quantitative and qualitative data will be used when evaluating
outcomes. The following data will be collected: (1) workforce data; (2)
personnel office and other data on quality and timeliness; (3) employee
attitude surveys; (4) a survey of HR officers on results orientation;
(5) research ratings for scientists and engineers to be used in
turnover analyses; (6) structured interviews and focus group data; (7)
local site historian logs and implementation information; and (8) core
results measures of laboratory performance.
The evaluation effort will consist of two phases, formative and
summative evaluation, covering at least 5 years to permit inter- and
intra-organizational estimates of effectiveness. The formative
evaluation phase will include baseline data collection and analysis,
implementation evaluation, and interim assessments. The formal reports
and interim assessments will provide information on the accuracy of
project operation, and current information on impact of the project on
veterans and EEO groups, Merit System Principles, and Prohibited
Personnel Practices. The summative evaluation will focus on an overall
assessment of project outcomes after 5 years. This will provide
information on how well the HR system changes achieved the desired
goals, which interventions were most effective, and whether the results
are generalizable to other Federal installations.
The external evaluation will be supplemented by an internal
evaluation conducted by NRL (see Appendix H) to meet individual
laboratory needs. Periodic reports and annual summaries will be
prepared to document the findings. The summative evaluation will focus
on an overall assessment of project outcomes after 5 years.
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IX. Demonstration Project Costs
A. Transition
There will be no grades or steps in the broadband classification
system as there are under the GS. NRL will provide GS employees with a
permanent pay change that is equivalent to the proportion of the WGI
earned at the time of implementation. For example, the employee 1 year
past the last WGI in a 3-year waiting period would receive a permanent
pay change equivalent to one third of the current value of the WGI.
Employees at step 10 or receiving a retained rate will not be eligible
for the prorated WGI. This permanent pay increase will occur at the
time the demonstration project is implemented. Supervisors will be able
to withhold these prorated WGI's if the employee's performance is below
the ``fully successful'' level at the time of implementation.
The first official annual appraisal cycle under the CCS will be the
1998-1999 appraisal cycle, with the payout occurring the first full pay
period in January 2000. Future CCS pay adjustments will be effective
the beginning of the first full pay period in January each year.
B. Cost Containment and Controls
It is required that the demonstration project be ``relatively cost
neutral.'' This is defined to mean that the NRL demonstration project
will not increase the average personnel costs above what would have
been expected under the previous 5 U.S.C. based system. Since NRL
operates under the NWCF which requires cost efficiency so that NRL's
technical programs can be marketed competitively, internal controls are
in effect to ensure that costs are controlled.
[[Page 8989]]
NRL's Research Advisory Committee (RAC), comprising the CO, the
DOR, the Chief Staff Officer, and the ADOR's will oversee the
administration of the demonstration project. Because the RAC is the
same management team that critically reviews the technical programs and
the cost to operate NRL, the costs associated with this system will
come under the same critical review. NRL is an innovative organization
shaped by its mission and operating environment, and it exists in a
highly dynamic and challenging climate. To be a vigorous and creative
performer in such an environment, NRL must possess high quality
personnel, challenging programs, and sound management practices.
Broadbanding and CCS are designed to encourage the creative performer
and to provide appropriate compensation. It does not automatically
provide increases for those who are already being paid commensurate
with their contribution level.
NRL has established pay pool managers at the division level or
equivalent. The CCS design includes a pay pool review panel responsible
for evaluating the contribution scores for their pay pool and making
adjustments, as required. The CCSDS will be designed to provide
assistance to the pay pool manager in selecting the appropriate basic
pay increase for an individual, based on that individual's contribution
score. The CCSDS will contain controls on the amount of permanent and
nonpermanent money available to the pay pool.
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Costs associated with implementing the demonstration project are
shown in Figure 13. These include automation of systems such as the
CCSDS, training, and project evaluation. The automation and training
costs are startup costs. Transition costs are one-time costs. Costs for
project evaluation will be ongoing for at least 5 years.
X. Automation Support
A. General
One of the major goals of the demonstration project is to
streamline the personnel processes to increase cost effectiveness.
Automation must play an integral role in achieving that goal. Without
the necessary automation to support the interventions proposed for the
demonstration project, optimal cost benefit cannot be realized. In
addition, adequate information to support decision making must be
available to managers if line management is to assume greater authority
and responsibility for human resources management.
Automation to support the demonstration project is required at two
distinct levels. At the DoN and DoD level, automation support [in the
form of changes to the DCPDS] is required to facilitate processing and
reporting of demonstration project personnel actions. At the NRL level,
automation support (in the form of local processing applications) is
required to facilitate management processes and decisionmaking.
B. Defense Civilian Personnel Data System (DCPDS)
Since DCPDS is a legacy system, efforts have been made to minimize
changes to the system, and, therefore, the resources required to make
the necessary changes. The following is a compendium of the proposed
DCPDS modifications. The detailed specifications for required changes
to DCPDS are provided in the System Change Request (SCR), Form 804.
C. Core Document (COREDOC)
The COREDOC application is a DoD system which will require
modification to accommodate the interventions in this demonstration
project. Specifically, there will be an RD that will replace the
position description in the basic application; career tracks and career
levels will replace GS grades; and a CCS Assessment Form that will
replace performance elements.
D. RIF Support System (RIFSS)
The RIFSS is an automated tool used by human resources specialists
to support RIF processing. Under the demonstration project, RIF rules
will be modified to increase the credit for contributions and limit the
rounds of competition. The AutoRIF application, developed by DoD, could
be used if it were modified to accommodate these process changes.
Detailed functional requirements for RIFSS are being established as
Appendix J.
E. CCSDS
This automated system is required as an internal control and as a
mechanism to equate contribution scores to appropriate rates of basic
pay. This system will allow pay pool managers to develop a spreadsheet
that will assist them in determining an appropriate merit increase or
contribution award or both based on the overall contribution score for
each individual. It will also be used as an internal control to ensure
that the permanent and nonpermanent money allotted to each pay pool is
not exceeded. It will further allow pay pool managers to visualize the
effects of giving large basic pay increases or awards to high
contributors, and the effects of withholding either the general or
merit increase or both of those who are low contributors, or in the
overcompensated range.
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[[Page 8998]]
Appendix B: Definitions of Career Tracks and Career Levels
Career Track: S&E Professional
Includes professional positions in S&E occupations such as
physics, electronics engineering, chemistry, and student positions
associated with these professions.
Level I: This includes student trainees. The education and
employment must be part of a formal student employment program.
Specific, clear, and detailed instructions and supervision are given
to complement education. The level of education and experience
completed is a major consideration in establishing the level of on-
the-job training and work assignments.
Level II: This is the entry or developmental stage, preparing
S&E's for the full and independent performance of their work.
Performs supporting work in science or engineering requiring
professional training but little experience. Conducts activities
with objectives and priorities identified by supervisor or team
leader; assistance given on new or unusual projects; completed work
reviewed for technical soundness.
Level III: This is the advanced developmental, or typically,
target career level, of this career track. Conceives and defines
solutions to technical problems of moderate complexity; plans,
analyzes, interprets, and reports findings of projects; guides
technical and programmatic work of team members in comparable or
junior grades; completed work and reports are reviewed to evaluate
overall results.
Level IV: S&E's at this level are authorities within their
professional areas or key program administrators. Conducts or
directs technical activities or assists higher levels on challenging
and innovative projects or technical program development with only
general guidance on policy, resources and planning; develops
solutions to complex problems requiring various disciplines;
responsible for fulfilling program objectives.
Level V: ARSAE at this level are renowned experts in their
fields. Independently defines and leads most challenging technical
programs consistent with general guidance and/or independently
directs overall R&D program managerial and/or supervisory aspects;
conceives and develops elegant solutions to very difficult problems
requiring highly specialized areas of technical expertise;
recognized within DoD and other agencies for broad technical area
expertise and has established professional reputation in technical
community nationally and internationally. The primary requirement
for Level V positions is the knowledge of and expertise in specific
scientific and technology areas related to the mission of their
organization. However, the ability to manage and/or supervise R&D
operations or programs is also considered a necessity. May direct
the work of an organizational unit; may be held accountable for the
success of one or more specific programs or projects; monitors
progress toward organizational goals and periodically evaluates and
makes appropriate adjustments to such goals; supervises the work of
employees; or otherwise exercises important policy-making, policy-
determining, or other managerial functions.
Career Track: S&E Technical
Includes nonprofessional positions which support S&E activities
through application of various skills in areas such as the
following: engineering, computer, physical, chemical, biological,
mathematical sciences; and student trainees.
Level I: This includes trainees who develop technical support
knowledge gained through actual work experience. Performs repetitive
tasks using knowledge of standardized procedures and operations.
Receives specific, clear and detailed instruction and supervision.
Completed work is reviewed for technical soundness.
Level II: Technicians at this entry level require a practical
knowledge of standard procedures in a technical field. Skill in
applying knowledge of basic principles, concepts and methodology of
occupational and technical methods is required. Carries out
prescribed procedures and relies heavily on precedent methods. Work
is reviewed for technical adequacy and accuracy, and adherence to
instructions.
Level III: This is the advanced developmental level of this
career track, requiring extensive training or experience. Work
requires some adapting of existing precedents or techniques.
Receives outline of objectives desired and description of operating
characteristics and theory involved. Completed assignments are
reviewed for compliance with instructions, adequacy, judgment, and
satisfaction of requirements.
Level IV: Technicians at this level are considered to have
professional level knowledge of a specific field and may serve as a
member of a research team. Receives general guidance on overall
objectives and resources. Conceives, recommends, and tests new
techniques or methods. Completed work is reviewed for overall
soundness and compliance with overall project objectives; results
are usually accepted as authoritative.
Level V: Technicians at this level are experts within their
technical area, or are key program administrators. Develop solutions
to complex problems; responsible for fulfilling program objectives;
and receive general guidance on policy, resources and planning.
(This is a temporary career level, established for demonstration
project transition purposes only. No new positions will be
classified at this level.)
Career Track: Administrative Specialist and Professional
Professional and specialist positions in areas such as the
following: safety and health, personnel, finance, budget,
procurement, librarianship, legal, business, facilities management
and student positions associated with these professions.
Level I: Includes student trainees. The education and employment
must be part of a formal student employment program. Specific,
clear, and detailed instructions and supervision are given to
complement education. The level of education and experience
completed is a major consideration in establishing the level of on-
the-job training and work assignments.
Level II: This is the developmental stage preparing
Administrative Specialists and Professionals for the full and
independent performance of their work. Specific, clear and detailed
instruction and supervision are given upon entry; recurring
assignments are carried out independently. Situations not covered by
instructions are referred to supervisor. Finished work is reviewed
to ensure accuracy.
Level III: This is the advanced developmental, or typically,
target level, of this career track. Employee plans and carries out
assignments independently, resolving conflicts that arise,
coordinates work with others and interprets policy on own
initiative. Completed work is reviewed for feasibility,
compatibility with other work or effectiveness in meeting
requirements or expected results.
Level IV: At this level, Administrative Specialists and
Professionals are authorities within their professional areas or key
program administrators or supervisors. They conduct or direct
activities in an administrative and professional area with only
general guidance on policy, resources and planning; develop
solutions to complex problems requiring various disciplines; and are
responsible for fulfilling program objectives.
Level V: Administrative Specialists and Professionals at this
level are experts within their broad administrative area or
professional field who serve as leaders, heads of branches or
divisions, or key program administrators. Receives general guidance
on policy, resources and planning having an affect on public
policies or programs; responsible for fulfilling program objectives.
Results are authoritative and affect administrative programs or the
well-being of substantial numbers of people.
Career Track: Administrative Support
Includes clerical, secretarial and assistant work in
nonscientific and engineering occupations.
Level I: This includes student trainees as well as advanced
entry level which requires a fundamental knowledge of a clerical or
administrative field. Developmental assignments may be given which
lead to duties at a higher group level. Performs repetitive tasks,
specific, clear and detailed instruction and supervision; with more
experience utilizes knowledge of standardized procedures and
operations, assistance is given on new or unusual projects.
Completed work is reviewed for technical soundness.
Level II: This level requires a knowledge of standardized rules,
procedures or operations requiring considerable training. General
guidance is received on overall objectives and resources. Completed
assignments may be reviewed for overall soundness or meeting
expected results.
Level III: This is the senior level which requires knowledge of
extensive procedures and operations requiring extensive training.
Receives general guidance on overall resources and objectives.
Skilled in applying knowledge of basic principles, concepts, and
methodology of profession or administrative occupation and technical
methods. Results are accepted as authoritative and are normally
accepted without significant change.
[[Page 8999]]
Appendix C: Table of Occupational Series Within Career Tracks
Note: As new series are needed or current ones are discontinued,
this table will be updated.
S&E Professional--Includes all scientist and engineer work.
0101--Social Science Series
0180--Psychology Series
0401--General Biological Science Series
0403--Microbiology Series
0801--General Engineering Series
0804--Fire Protection Engineering Series
0806--Materials Engineering Series
0808--Architecture Series
0810--Civil Engineering Series
0819--Environmental Engineering Series
0830--Mechanical Engineering Series
0840--Nuclear Engineering Series
0850--Electrical Engineering Series
0854--Computer Engineering Series
0855--Electronics Engineering Series
0861--Aerospace Engineering Series
0892--Ceramic Engineering Series
0893--Chemical Engineering Series
0899--Engineering and Architecture Student Trainee Series
1301--General Physical Science Series
1306--Health Physics Series
1310--Physics Series
1313--Geophysics Series
1320--Chemistry Series
1321--Metallurgy Series
1330--Astronomy and Space Science Series
1340--Meteorology Series
1350--Geology Series
1360--Oceanography Series
1370--Cartography Series
1399--Physical Science Student Trainee Series
1515--Operations Research Series
1520--Mathematics Series
1550--Computer Science Series
1599--Mathematics and Statistics Student Trainee Series
S&E Technical--Includes S&E technical support work typically
requiring specialized training in the particular discipline.
0802--Engineering Technician Series
0809--Construction Control Series
0818--Engineering Drafting Series
0856--Electronics Technician Series
0895--Industrial Engineering Technician Series
1152--Production Control Series
1311--Physical Science Technician Series
1371--Cartographic Technician Series
1521--Mathematics Technician Series
Administrative Specialist and Professional--Includes analyst,
specialist, and professional work in nonscientific and engineering
occupations.
0018--Safety and Occupational Health Management Series
0028--Environmental Protection Specialist Series
0080--Security Administration Series
0170--History Series
0201--Personnel Management Series
0212--Personnel Staffing Series
0221--Position Classification Series
0230--Employee Relations Series
0233--Labor Relations Series
0235--Employee Development Series
0260--Equal Employment Opportunity Series
0299--Personnel Management Student Trainee Series
0301--Miscellaneous Administration and Program Series
0334--Computer Specialist Series
0340--Program Management Series
0341--Administrative Officer Series
0342--Support Services Administration Series
0343--Management and Program Analysis Series
0391--Telecommunications Processing Series
0505--Financial Management Series
0510--Accounting Series
0560--Budget Analyst Series
0690--Industrial Hygiene Series
0904--Law Clerk Series
0905--General Attorney Series
0950--Paralegal Specialist Series
1001--General Arts and Information Series
1020--Illustrating Series
1035--Public Affairs Series
1060--Photography Series
1071--Audiovisual Production Series
1082--Writing and Editing Series
1083--Technical Writer and Editing Series
1084--Visual Information Series
1101--General Business and Industry Series
1102--Contracting Series
1104--Property Disposal Series
1176--Building Management Series
1199--Business and Industry Student Trainee Series
122--Patent Attorney Series
1410--Librarian Series
1412--Technical Information Series
1420--Archivist Series
1601--General Facilities and Equipment Series
1640--Facility Management Series
1670--Equipment Specialist Series
1801--General Inspection, Investigation, and Compliance Series
1910--Quality Assurance Series
2001--General Supply Series
2003--Supply Program Management Series
2030--Distribution Facilities and Storage Management Series
2130--Traffic Management Series
Administrative Support--Includes clerical, secretarial and
assistant work in nonscientific and engineering occupations.
0019--Safety Technician Series
0086--Security Clerical and Assistance Series
0181--Psychology Aid and Technician Series
0203--Personnel Clerical and Assistance Series
0302--Messenger Series
0303--Miscellaneous Clerk and Assistance Series
0305--Mail and File Series
0312--Clerk-Stenographer and Reporter Series
0318--Secretary Series
0322--Clerk/Typist Series
0326--Office Automation Clerical and Assistance Series
0332--Computer Operation Series
0335--Computer Clerk and Assistant Series
0344--Management and Program Clerical and Assistance Series
0351--Printing Clerical Series
0361--Equal Opportunity Assistance Series
0390--Telecommunications Processing Series
0394--Communications Clerical Series
0399--Administration and Office Support Student Trainee Series
0503--Financial Clerical and Assistance Series
0525--Accounting Technician Series
0540--Voucher Examining Series
0544--Civilian Pay Series
0561--Budget Clerical and Assistance Series
0986--Legal Clerical and Assistance Series
1001--General Arts and Information Series
1087--Editorial Assistance Series
1105--Purchasing Series
1106--Procurement Clerical and Technician Series
1107--Property Disposal Clerical and Technician Series
1411--LIbrary Technician Series
2005--Supply Clerical and Technician Series
2102--Transportation Clerk and Assistant Series
2131--Freight Rate Series
Appendix D: Classification and CCS Elements
Part I. S&E Professionals
Part II. Administrative Specialist and Professional
Part III. Administrative Support
Part IV. S&E Technical
The CCS Summary Forms shown in this appendix are draft forms
intended to provide an understanding of what the forms will cover.
Under the demonstration project the forms will be generated by the
CCSDS. They may be
[[Page 9000]]
changed during the project to require additional information, to make
them easier to use, or for other reasons.
The contents of the CCS elements, descriptors, discriminators and
basic acceptable standards may similarly be changed during the life of
the demonstration project.
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Appendix E: Computation of the IPS and the NPR
The NRL demonstration project will use an IPS which links basic pay
to contribution scores determined by the CCS process. The area where
basic pay and level of contribution are assumed to be properly related
is called the NPR. An employee whose CCS score and rate of basic pay
plot within the NPR is considered to be contributing at a level
consistent with pay. Employees whose pay plots below the NPR for their
assessed score are considered ``undercompensated,'' while employees
whose score and pay plot above the NPR are considered
``overcompensated.''
The purpose of this scoring and pay structure is to spread the full
range of basic pay provided by the GS, between GS-1, step 1 and GS-15,
step 10, into 80 intervals (scores and pay above those points are
related using the same parameters). Each interval is a fixed percentage
of the pay associated with the previous point.
For each possible contribution score available to employees, the
NPR spans a basic pay range of 12 percent. The lower boundary (or
``rail'') is established by fixing the basic pay equivalent to GS-1,
step 1, with a CCS score of zero. The upper boundary is fixed at the
basic pay equivalent to GS-15, step 10, with a CCS score of 80. The
distance between these upper and lower rails for a given overall
contribution score is then computed to ensure the range of 12 percent
of basic pay for each available CCS score.
The middle rail of the NPR is computed as 6 percent above the lower
rail. This point is used in connection with certain limits established
for pay increases (see section IV.C.7).
From the above considerations, five variables, or inputs, were
identified. They are as follows:
1. Variable A: GS-1, step 1 (lowest salary).
2. Variable B: GS-15, step 10 (highest salary).
3. Variable C: Current C-values.
4. Variable M: 6 percent (middle rail computation above the low
rail).
5. Variable H: 12 percent (high rail computation above low rail).
Other variables are as follows:
1. Variable N: Number of C-value steps at GS-15, step 10.
2. Variable P (step increase): Salary value for each C-value equal
to 1 + percentage increase.
From these variables, the following formula definitions were
developed:
Low rail = A*(PC)
Mid rail = (1+M)*A*(PC)
High rail = (1+H)*A*(PC)
Where P = (B/(A*(1+H)))(1/N)
As an example, a result of the above computation, using the 1999 GS
Salary Table, P (step increase) equals 1.023663611. Attachment (1) is a
complete list of CCS career level scores and basic pay ranges.
Attachment (2) contains graphic representations of these tables for
each career track.
Once the C-values (0-80) are determined, the CCS career levels and
scores are extended at the same percentage increments as were computed
for the step increase above. These C-values are extended to encompass
the equivalent of ES-4 effective January 1999. In the example, SES
Level ES-4 is equal to basic pay of $118,000 and is encompassed by the
C-value 89 ($107,119 to $119,974).
Attachment to Appendix E: 1999 Inputs
GS 1-Step 1: 13,362
GS 15-Step 10: 97,201
# C values: 80
Mid%: 6.00%
Hi%: 12.00%
------------------------------------------------------------------------
C Value Low Rail Mid Rail Hi Rail
------------------------------------------------------------------------
0......................................... 13362 14164 14965
1......................................... 13678 14499 15320
2......................................... 14002 14842 15682
3......................................... 14333 15193 16053
4......................................... 14672 15553 16433
5......................................... 15020 15921 16822
6......................................... 15375 16297 17220
7......................................... 15739 16683 17627
8......................................... 16111 17078 18045
9......................................... 16493 17482 18472
10........................................ 16883 17896 18909
11........................................ 17282 18319 19356
12........................................ 17691 18753 19814
13........................................ 18110 19196 20283
14........................................ 18538 19651 20763
15........................................ 18977 20116 21254
16........................................ 19426 20592 21757
17........................................ 19886 21079 22272
18........................................ 20356 21578 22799
19........................................ 20838 22088 23339
20........................................ 21331 22611 23891
21........................................ 21836 23146 24456
22........................................ 22353 23694 25035
23........................................ 22882 24255 25628
24........................................ 23423 24829 26234
25........................................ 23977 25416 26855
26........................................ 24545 26018 27490
27........................................ 25126 26633 28141
28........................................ 25720 27263 28807
29........................................ 26329 27909 29488
30........................................ 26952 28569 30186
31........................................ 27590 29245 30900
32........................................ 28243 29937 31632
33........................................ 28911 30646 32380
34........................................ 29595 31371 33146
35........................................ 30295 32113 33931
36........................................ 31012 32873 34734
37........................................ 31746 33651 35556
38........................................ 32497 34447 36397
39........................................ 33266 35262 37258
40........................................ 34054 36097 38140
41........................................ 34859 36951 39042
42........................................ 35684 37825 39966
43........................................ 36529 38720 40912
44........................................ 37393 39637 41880
45........................................ 38278 40575 42871
46........................................ 39184 41535 43886
47........................................ 40111 42518 44924
48........................................ 41060 43524 45987
49........................................ 42032 44554 47076
50........................................ 43026 45608 48190
51........................................ 44045 46687 49330
52........................................ 45087 47792 50497
53........................................ 46154 48923 51692
54........................................ 47246 50081 52915
55........................................ 48364 51266 54168
56........................................ 49508 52479 55449
57........................................ 50680 53721 56761
58........................................ 51879 54992 58105
59........................................ 53107 56293 59480
60........................................ 54363 57625 60887
61........................................ 55650 58989 62328
62........................................ 56967 60385 63803
63........................................ 58315 61814 65313
64........................................ 59695 63276 66858
65........................................ 61107 64774 68440
66........................................ 62553 66307 70060
67........................................ 64034 67876 71718
68........................................ 65549 69482 73415
69........................................ 67100 71126 75152
70........................................ 68688 72809 76930
71........................................ 70313 74532 78751
72........................................ 71977 76296 80614
73........................................ 73680 78101 82522
74........................................ 75424 79949 84475
75........................................ 77209 81841 86474
76........................................ 79036 83778 88520
77........................................ 80906 85760 90615
78........................................ 82821 87790 92759
79........................................ 84780 89867 94954
80........................................ 86787 91994 97201
81........................................ 88840 94171 99501
82........................................ 90943 96399 101856
83........................................ 93095 98680 104266
84........................................ 95298 101015 106733
85........................................ 97553 103406 109259
86........................................ 99861 105853 111844
87........................................ 102224 108358 114491
88........................................ 104643 110922 117200
89........................................ 107119 113547 119974
90........................................ 109654 116233 122813
91........................................ 112249 118984 125719
------------------------------------------------------------------------
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[FR Doc. 99-4265 Filed 2-18-99; 12:23 pm]
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