# Dod Instruction 3201.05

## Management Of Science And Technology Reinvention Laboratory Personnel Demonstration Projects

 Originating Component:
Office of the Under Secretary of Defense for Research and Engineering Effective:
December 29, 2021 Releasability:
Cleared for public release.  Available on the Directives Division Website at https://www.esd.whs.mil/DD/. Incorporates and Cancels: DoD Instruction 1400.37, "Science and Technology Reinvention
Laboratory (STRL) Personnel Demonstration Projects," July 28, 2009 Approved by:
Heidi Shyu, Under Secretary of Defense for Research and Engineering
 Purpose: In accordance with the authority in DoD Directive 5137.02 and the July 30, 2019 Office of the Deputy Secretary of Defense Memorandum, this issuance:

- Establishes policies, assigns responsibilities, and prescribes procedures to manage and execute
science and technology (S&T) reinvention laboratory (STRL) personnel demonstration projects (PDPs), pursuant to Section 342 of Public Law (PL) 103-337 (also known and referred to in this issuance as the "National Defense Authorization Act (NDAA) for Fiscal Year (FY) 1995, as amended").
- Incorporates and establishes criteria for designating a DoD research and development (R&D)
laboratory as an STRL.

## Table Of Contents


SECTION 1:  GENERAL ISSUANCE INFORMATION ........ 3
1.1.  Applicability. ........ 3 1.2.  Policy. ........ 3 1.3.  Information Collections. ........ 3
SECTION 2:  RESPONSIBILITIES ........ 4
2.1.  Under Secretary of Defense for Research and Engineering (USD(R&E)). ........ 4
2.2.  Director, Defense Research and Engineering for Research and Technology
(DDRE(R&T)). ........ 4
2.3.  Deputy Director, Research, Technology, and Laboratories (DD(RT&L)). ........ 4 2.4.  Director, Laboratories and Personnel Office (L&PO). ........ 5 2.5.  USD(P&R). ........ 7 2.6.  Secretaries of the Military Departments. ........ 7
SECTION 3:  DESIGNATION AS AN STRL ........ 8
3.1.  STRL Criteria........ 8 3.2.  Process to Request Designation as an STRL. ........ 8
SECTION 4:  DOCUMENTATION OF STRL PDP  PLANS ........ 9
4.1.  Establishing a Demonstration Project Plan. ........ 9 4.2.  Procedures for Publishing an Individual FRN. ........ 10 4.3.  Procedures for Publishing Omnibus FRN. ........ 12
a.  Omnibus FRN. ........ 12 b.  Director, L&PO. ........ 13
4.4.  Modifying a Demonstration Project Plan. ........ 13 4.5.  Adopting Flexibilities. ........ 14 4.6.  Making Minor Modifications to Existing Flexibilities. ........ 15 4.7.  Minor Modifications to Omnibus FRNs. ........ 17
a.  Director, L&PO. ........ 17 b.  Each STRL Commander or Director. ........ 17
4.8.  Implementing STATUTORY Changes. ........ 18 4.9.  Correcting Published FRNS. ........ 18 4.10.  Collective Bargaining Requirements and Employee Notification. ........ 18 4.11.  FR Format. ........ 18 4.12.  FRN Approval Process. ........ 18
SECTION 5:  STRL EVALUATIONS ........ 19
5.1.  Summative Evaluations. ........ 19 5.2.  Periodic Evaluations. ........ 19 5.3.  Evaluation Reports. ........ 19
GLOSSARY ........ 21
G.1.  Acronyms. ........ 21 G.2.  Definitions. ........ 22
REFERENCES ........ 23 FIGURES
Figure 1.  OUSD(R&E) STRL FRN Publication Process ........ 12


## Section 1:  General Issuance Information 1.1.  Applicability.

This issuance applies to OSD, the Military Departments, the Office of the Chairman of the Joint Chiefs of Staff and the Joint Staff, the Combatant Commands, the Office of Inspector General of the Department of Defense, the Defense Agencies, the DoD Field Activities, and all other organizational entities within the DoD (referred to collectively in this issuance as the "DoD
Components").

## 1.2.  Policy.

STRL PDP plans:
a.  Are the vehicle through which the DoD determines whether changes in personnel management concepts, policies, or procedures:

(1)  Enhance the effectiveness of the STRLs. (2)  Improve DoD or Federal personnel management.
b.  Provide managers with the authority, control, and ability to enhance STRL effectiveness;
and ensure that managers are held accountable for the proper exercise of this authority.

c.  Include all occupations and pay plans in the STRL workforce.
d.  Help attract and retain high-performing employees in all career fields and positions in the STRLs.

e.  Identify practices to improve the effectiveness of:

(1)  STRLs. (2)  DoD personnel management.

## 1.3.  Information Collections.

The Department of Defense (DD)-3121-X series of forms referred to in Section 4 do not require licensing with a report control symbol in accordance with Paragraph 10 of Volume 1 of DoD Manual 8910.01.

## Section 2:  Responsibilities

2.1.  UNDER SECRETARY OF DEFENSE FOR RESEARCH AND ENGINEERING (USD(R&E)). The USD(R&E):
a.  Exercises overall supervision and policy oversight of human capital involving personnel demonstration projects and will develop associated policies in conjunction with the Under Secretary of Defense for Personnel and Readiness (USD(P&R)).

b.  Manages STRL PDP authority in accordance with:
(1)  Section 211 of PL 114-328 (also known and referred to in this issuance as the
"NDAA for FY 2017," as amended).

(2)  Section 218 of PL 115-91 (also known and referred to in this issuance as the "NDAA
for FY 2018").

## 2.2.  Director, Defense Research And Engineering For Research And Technology (Ddre(R&T)).

Under the authority, direction, and control of the USD(R&E), the DDRE(R&T) oversees the management of STRL PDP authority.

## 2.3.  Deputy Director, Research, Technology, And Laboratories (Dd(Rt&L)).

Under the authority, direction, and control of the USD(R&E), through the DDRE(R&T), the DD(RT&L):
a.  Exercises the authorities granted to the Office of Personnel Management in accordance with Section 4703 of Title 5, United States Code (U.S.C.), for STRL demonstration projects, with respect to applicable:

(1)  Collective bargaining agreements. (2)  Labor organizations.
b.  Oversees the development of policies of the demonstration projects established by law and regulations.

c.  Approves or disapproves:
(1)  Requests that DoD laboratories be designated as STRLs, in accordance with Section 3.

(2)  New demonstration project Federal Register (FR) notices (FRNs); and FRNs that implement changes to existing demonstration projects, in accordance with Section 4.

## 2.4.  Director, Laboratories And Personnel Office (L&Po).

Under the authority, direction, and control of the USD(R&E), through the DD(RT&L), the Director, L&PO:
a.  Develops policies and procedures governing the design, implementation, modification, and evaluation of PDPs authorized for STRLs.

b.  Optimizes the use of PDP authorities, in coordination with:
(1)  The Laboratory Quality Enhancement ProgramPersonnel, Workforce Development, and Talent Management (LQEP-P) Panel.

(2)  STRL commanders or directors.
c.  Provides centralized oversight and assistance to STRL PDPs.
d.  Maintains records of:
(1)  STRL FRNs.
(2)  Flexibility adoptions. (3)  Minor modifications.
e.  Coordinates and responds to requests for information on the STRL PDPs.
f.  Reviews requests to designate DoD laboratories as STRLs, in accordance with Section 3;
and recommends approval or disapproval of the requests to the DD(RT&L).

g.  Recommends to the DD(RT&L):
(1)  Approval or disapproval of proposed FRNs implementing new demonstration project plans.

(2)  Approval or disapproval of proposed FRNs to implement changes to existing demonstration projects plans.

h.  Serves with the STRL commanders or directors as a sponsor for new personnel management initiatives that may enhance the effectiveness of STRLs by allowing for greater management control over personnel functions.

i.  Oversees and assists STRLs with the adoption of additional personnel management authorities.

j.  Approves minor modifications to current STRL authorities that:

(1)  Do not require an FRN; and (2)  Do not impact DoD-wide initiatives, resources, or programs.
k.  Determines whether new personnel management initiatives proposed by other organizations:

(1)  May have promising prospects for DoD-wide application. (2)  Are appropriate for testing under the STRL PDPs.
l.  Enables enterprise-wide implementation of successfully tested authorities to enhance the efficient operation, mission responsiveness, and effectiveness of STRLs.

m.  In coordination with the LQEP-P Panel, in accordance with Section 211 of the NDAA for FY 2017, as amended, oversees the:

(1)  Full implementation and use of PDP authorities. (2)  Execution of PDP evaluations and reports. (3)  Analysis of the results of:
(a)  STRL PDP evaluations. (b)  DoD reviews.
n.  Provides subject matter expertise for STRLs on matters concerning:

(1)  STRL  PDP initiatives. (2)  Statutory and regulatory personnel authorities.
o.  Coordinates with the USD(P&R); and consults with representatives from the Military Departments, the STRLs, and other Federal Government agencies, as appropriate; on initiatives that may enhance the missions and efficiency of the STRLs through:

(1)  Opportunities for experimentation.
(2)  Evaluation of results. (3)  The sharing of information.
p.  Coordinates with the USD(P&R) on:
(1)  STRL policies, procedures, and guidance that may impact overall civilian personnel policy.

(2)  Civilian personnel matters that impact the STRL workforce.
q.  Oversees the Office of the USD(R&E) (OUSD(R&E)) STRL FRN approval process.  See Figure 1 for details on the OUSD(R&E) STRL FRN publication process.

r.  Provides:
(1)  The annual STRL activities report to Congress, pursuant to Section 1107(d) of PL 110-181 (also known and referred to in this issuance as the "NDAA for FY 2008, as amended").

(2)  A copy of the annual STRL activities report to the USD(P&R).

## 2.5.  Usd(P&R).

The USD(P&R) coordinates with the USD(R&E):
a.  To ensure timely review, comments, and recommendations on STRL coordination requests (e.g., proposed FRNs, new flexibilities).

b.  On human capital matters and personnel and readiness policies, instructions, and procedures that specifically impact the STRL workforce.

c.  On matters concerning STRL  PDP initiatives and legislated personnel authorities.

## 2.6.  Secretaries Of The Military Departments.

The Secretaries of the Military Departments coordinate with the USD(R&E) to ensure:

a.  The timely coordination and consultation with STRL commanders or directors on:
(1)  STRL PDP  initiatives.
(2)  Personnel authorities exclusively applicable to STRLs.
b.  That matters concerning STRL PDP initiatives and statutory personnel authorities are forwarded to the USD(R&E).

## Section 3:  Designation As An Strl 3.1.  Strl Criteria.

a.  To be designated as an STRL, in accordance with Section 342 of the NDAA for FY 1995, as amended, and to use the STRL demonstration project authority, a DoD technology-based laboratory or another organization must be named by congressional action or must:

(1)  Meet the definition of an R&D laboratory.
(2)  Be staffed with a scientific and engineering workforce that is principally involved in performing exploratory development or research work (e.g., the Research, Development, Test, and Evaluation Budget Activities 1 through 5 in accordance with Volume 15, Chapter 7, pages 7- 38, of DoD 7000.14-R).

(3)  Conduct a substantial portion of R&D activities internally, using Federal Government personnel.

b.  If not named by congressional action, the DoD laboratory must obtain approval for STRL designation in accordance with Paragraph 3.2.

c.  Existing STRLs are those designated in accordance with Section 1105 of PL 111-84, as amended (also know and referred to in this issuance as the "NDAA for FY 2010, as amended").
Successor organizations that result from reorganization of the original STRL may:

(1)  Continue as STRLs.
(2)  Maintain all associated authorities, to include demonstration project designation(s).

## 3.2.  Process To Request Designation As An Strl.

a.  To request designation as an STRL, the DoD laboratory commander or director appropriately coordinates the proposed designation within the DoD Component concerned and submits the request to the Director, L&PO.

b.  The request to be designated as an STRL must address the criteria specified in Paragraph 3.1.

c.  The Director, L&PO will develop a recommendation for approval or disapproval and forward the action to the DD(RT&L) for a final decision.

## Section 4:  Documentation Of Strl Pdp Plans 4.1.  Establishing A Demonstration Project Plan.

When a DoD laboratory is newly designated as an STRL, an FRN must be published to implement the PDP.  The FRN describes flexibilities and fully documents waivers to Title 5, U.S.C., or Title 5, Code of Federal Regulations (CFR).  Waivers are required when a flexibility conflicts with Title 5, U.S.C., or Title 5, CFR, provisions.  If the STRL is implementing flexibilities in use in other STRLs, the STRL commander or director provides a matrix to identify the STRL from which the flexibility is adopted.

a.  The Director, L&PO:
(1)  Provides advice and guidance on:
(a)  Preparing an FRN. (b)  Facilitating the process for approval and publication of the FRN.
(2)  Maintains a record of demonstration project notices, amendments, and changes.
(3)  Prepares the annual STRL activities report, pursuant to Section 1107(d) of the NDAA for FY 2008, as amended.

b.  The STRL commander or director prepares and executes an implementation plan that includes:

(1)  A timeline for publishing the initial FRN proposal.
(2)  A 30-day comment period.
(3)  The final FRN publication announcing approval.
(4)  Development of a communication plan to socialize the proposal to the STRL
workforce and appropriate stakeholders.

(5)  Plans for:
(a)  Training the STRL workforce and applicable stakeholders. (b)  Meeting any applicable labor relations requirements.
c.  New demonstration project plans are published in accordance with the procedures outlined in Paragraph 4.2.



## 4.2.  Procedures For Publishing An Individual Frn.

a.  For an individual STRL request for publication of an FRN, the STRL will work with the DoD Component S&T and human resources (HR) representatives and the Director, L&PO, to prepare a draft FRN, in accordance with Paragraph 4.11.  The FRN will:
(1)  Describe flexibilities, including those that are an exception to existing DoD
Component or DoD policy.

(2)  Fully document any waivers to Title 5, U.S.C., and Title 5, CFR.  Waivers are required when a flexibility conflicts with sections of Title 5, U.S.C., and Title 5, CFR.

b.  Before final submission, the Director, L&PO, will assess the draft FRN for:

(1)  Adherence to the OUSD(R&E) STRL FRN publication process. (2)  Any conflicts with existing FRN provisions and waivers. (3)  The completeness and accuracy of new waivers requested in the draft FRN. (4)  Its impact on existing DoD programs.
c.  All FRNs must contain the statement, "Flexibilities published in this Federal Register shall be available for use at any other STRL as enumerated in subsection 9902(c)(2) of Title 5, U.S.C., if they wish to adopt them."
d.  For a new STRL, the STRL will submit the draft FRN and DD Form 3121-4, "Request for Publication of New STRL Personnel Demonstration Project Federal Register Notice," to the STRL's Component S&T and HR representatives and the Director, L&PO.  Within 30 calendar days of receipt, the Component's S&T and HR representatives will provide coordination and comments and the signed DD Form 3121-4 to the STRL and the Director, L&PO.

e.  For new flexibilities, the STRL will submit the draft FRN and DD Form 3121-3, "Request for Publication of STRL Personnel Demonstration Project Flexibility Federal Register Notice."
Within 30 calendar days of receipt, the Component's S&T and HR representatives will provide coordination and comments and the signed DD Form 3121-3 to the STRL and the Director, L&PO.

f.  The Director, L&PO, will coordinate the FRN with the USD(P&R) before forwarding it to the General Counsel of the Department of Defense (GC DoD) for coordination.

(1)  USD(P&R) and GC DoD.
The USD(P&R) and the GC DoD will provide coordination and comments to the Director, L&PO, within 30 calendar days of receipt of the FRN.

(2)  Director, L&PO. The Director, L&PO, will work with the submitting STRL commander or director to resolve any issues and forward the recommendation for approval of the final FRN to the DD(RT&L) within 30 calendar days of receiving all concurrences on the final FRN.  Any coordination(s) over 2 years old must be revalidated.

g.  When a public comment period is necessary after initial FRN publication, the STRL will adjudicate and prepare the final FRN.  Comments are recorded in a standard format, with the original FRN language, and the ultimate resolution; and comments are organized in the final FRN by subject matter categories.

(1)  STRL.
Typically, the STRL:
(a)  Adjudicates comments within 30 calendar days of receipt.
(b)  Submits the final FRN in accordance with Paragraphs 4.2.d. and 4.2.e.
(2)  Director, L&PO.
The Director, L&PO, will:
(a)  Coordinate the final FRN in accordance with Paragraph 4.2.f.  If no comments are received or no changes are made to the initial FRN:

1.  The initial FRN coordination will remain valid. 2.  Move to Step 8 of the approval process in accordance with Figure 1.
(b)  Process approved FRNs through the OSD FR liaison officer, in accordance with Administrative Instruction (AI) 102.  The OUSD(R&E) STRL FRN publication process is depicted in Figure 1.



## 4.3.  Procedures For Publishing Omnibus Frn.

a.  Omnibus FRN. An omnibus FRN:
(1)  Announces a new program, flexibility, or authority available for use by some or all laboratories designated as STRLs, in accordance with Section 1105 of the NDAA for FY 2010, as amended, and this issuance.

(2)  Amends existing demonstration project FRNs to add the new provision(s).
(3)  Notes that, in accordance with Page 73248 of Volume 73, FR, STRLs not listed in the omnibus FRN may adopt the flexibility in accordance with Paragraph 4.5.


b.  Director, L&PO. The Director, L&PO, will:
(1)  Work with either the sponsoring STRL commander or director or a group of LQEP-P
Panel members to create the FRN.

(a)  The FRN will describe flexibilities and fully document waivers to Title 5, U.S.C., and Title 5, CFR.  Waivers are required when a flexibility conflicts with sections of Title 5, U.S.C., and Title 5, CFR.

(b)  Once the FRN is finalized, the Director, L&PO, will send the FRN to the STRL's LQEP-P Panel members and the DoD Component S&T and HR representatives for coordination.

(c)  Sends the DD Form 3121-5, "Request for Publication of STRL Personnel Demonstration Project Omnibus Federal Register Notice," to DoD Component S&T and HR representatives for concurrence.  All concurrences will be provided to the Director, L&PO, within 30 calendar days of receipt.

(2)  Follow the publication process depicted in Figure 1.  Each office will provide coordination and comments to the Director, L&PO, within 30 calendar days of receipt.

(3)  Work with the LQEP-P Panel to resolve any issues and forward the recommendation for approval of the FRN to the DD(RT&L) within 30 calendar days of receiving all concurrences on the final FRN.  Any coordination(s) over 2 years old must be revalidated.

(4)  Follow the procedures in Paragraph 4.2.g. when a public comment period is necessary.

(5)  Process FRNs through the OSD FR liaison officer, in accordance with AI 102.  The OUSD(R&E) STRL FRN publication process is depicted in Figure 1.

## 4.4.  Modifying A Demonstration Project Plan.

a.  An STRL commander or director documents substantive changes to an existing plan through publication of an FRN.  Substantive changes include, but are not limited to:

(1)  Personnel flexibilities that:
(a)  Require an exception to existing DoD Component or DoD policy. (b)  Are not currently described in:
1.  Title 5, U.S.C.; or 2.  DoD Component or DoD policy.
(2)  Changes that:
(a)  Require waivers to Title 5, U.S.C. (b)  Significantly change the:
1.  Structure or intent of the demonstration project plan; or 2.  Description of the flexibility.
b.  Once an STRL commander or director decides to change the plan, they will inform the LQEP-P Panel and determine whether other STRLs are interested in the flexibility.  If other parties are interested, the sponsoring STRL will notify the Director, L&PO, who may pursue an omnibus FRN in accordance with Paragraph 4.3.

c.  Changes to existing demonstration project plans are published in accordance with Paragraph 4.2.

## 4.5.  Adopting Flexibilities.

a.  Any flexibility available to any STRL is available for use at any other STRL, pursuant to Section 1107(c) of the NDAA for FY 2008, as amended and in accordance with:

(1)  Page 73248 of Volume 73, FR. (2)  Page 67154 of Volume 76, FR. (3)  Page 9502 of Volume 83, FR.
b.  Consistent with the intent of the STRL demonstration projects, the STRL commander or director:

(1)  May adopt flexibilities published by other STRLs. (2)  Will follow the procedures in this section before adoption of any flexibility.
c.  STRL commanders or directors or the Director, L&PO, on behalf of the STRLs, may adoptpursuant to Section 1107 of the NDAA for FY 2008, as amended and in accordance with in Page 73248 of Volume 73, FR, and this issuanceany of the flexibilities described in:

(1)  Published STRL demonstration project plans. (2)  Published amendments to STRL demonstration project plans.
(3)  Minor changes to published STRL demonstration project plans that have been implemented by the originating STRL(s).

d.  STRL commanders or directors will coordinate with L&PO to:
(1)  Ensure each adoption is consistent with existing FRN provisions and waivers.
(2)  Resolve any impacts on DoD-wide initiatives and resources before approving the adoption.

e.  A proposed notice of adoption is provided to the Director, L&PO, and the DoD
Component S&T and HR representatives using a DD Form 3121-1, "Adoption of STRL Personnel Demonstration Project Flexibility."
(1)  If minor modifications within the existing waivers are needed, the adopting STRL
commander or director will document those changes:

(a)  On a DD Form 3121-1. (b)  In the STRL's internal operating procedures (IOPs).
(2)  Once an STRL commander or director adopts a flexibility from another STRL, the flexibility is then considered the adopting STRL's flexibility.

(3)  Substantive changes that require new waivers require an FRN.

f.  Each STRL commander or director:
(1)  Documents adoptions in the STRL's IOPs and provides appropriate notice to employees, HR personnel, and other interested parties.

(2)  Maintains all demonstration project guidance, including adoptions, on an internal website accessible to employees.

(3)  Implements the adoption once the Director, L&PO, has returned the signed DD
Form 3121-1.

g.  The Director, L&PO:
(1)  Maintains a record of all STRL adoptions.

(2)  Provides them in the report pursuant to Sections 1107(d) and (e) of the NDAA for FY 2008, as amended.

## 4.6.  Making Minor Modifications To Existing Flexibilities.

a.  Consistent with the intent of the STRL demonstration projects, an STRL commander or director may make minor modifications to a demonstration project plan without an FRN.  A modification is considered minor if:

(1)  It is covered by the demonstration project's existing waivers. (2)  It does not:
(a)  Significantly change the:
1.  Structure or intent of the  PDP plan; or 2.  Description of the flexibility.
(b)  Conflict with the requirements for FR publication in accordance with AI 102.
(3)  Appropriate notice is given to interested parties, employees, and the public.
b.  Provided they meet the criteria in Paragraph 4.6.a., minor modifications may include:
(1)  Additions to, or deletions of, the occupational series:
(a)  Covered by a pay schedule; or
(b)  In an occupational family.
(2)  Additional pay setting policies and options.
(3)  Broadening of:
(a)  Employee eligibility to participate in an expanded developmental opportunities
program.
(b)  The pay range of a pay band.
(4)  Delegation of authorities to lower levels.
c.  Substantive changes, as described in Paragraph 4.4.a., require FRN publication.
d.  The STRL commander or director will:
(1)  Coordinate with L&PO to:
(a)  Ensure that each minor modification is consistent with existing FRN provisions and waivers.

(b)  Resolve any impacts on DoD-wide initiatives and resources before submitting the minor modifications to the Director, L&PO, for approval.

(2)  Forward proposed minor modifications to the Director, L&PO, for approval (and provide copies to the DoD Component S&T and HR representatives) using a DD Form 3121-2,
"Minor Modification of STRL  PDP Flexibility."

(3)  Implement the modification upon approval by the Director, L&PO.
e.  Each STRL commander or director will:
(1)  Document minor modifications in the STRL's IOPs and provide appropriate notice to employees, HR personnel, and other interested parties.

(2)  Maintain all demonstration project guidance, including minor modifications, on an internal website accessible to employees.

f.  The Director, L&PO, will confirm that any:
(1)  Requested minor modification is consistent with existing FRN provisions and waivers.

(2)  DoD-wide impact(s) (e.g., initiatives, information technology, costs) have been addressed.

## 4.7.  Minor Modifications To Omnibus Frns.

a.  Director, L&PO. The Director, L&PO will:
(1)  Work with a sponsoring STRL commander or director to create the modified language when a minor modification to an omnibus FRN is needed.

(2)  Send the minor modification language to each STRL LQEP-P Panel for concurrence. (3)  Confirm that any:
(a)  Requested minor modification is consistent with existing FRN provisions and waivers.

(b)  Impacts on DoD-wide initiatives or resources have been resolved.

(4)  Document minor modifications to omnibus FRNs using a DD Form 3121-2; and distribute the form to the LQEP-P Panel for further distribution, as appropriate.

(5)  Notify the Component S&T and HR representatives and the STRLs of an omnibus minor modification.  An STRL may implement a minor modification upon approval by the Director, L&PO.

b.  Each STRL Commander or Director.

(1)  Each STRL commander or director will:

(a)  Document applicable minor modifications to omnibus FRNs in IOP issuances. (b)  Provide notice of modification to:
1.  Employees. 2.  HR personnel. 3.  Other interested parties, as appropriate.
(2)  Each STRL maintains all demonstration project guidance, to include applicable omnibus modifications, on an internal website accessible to employees.

## 4.8.  Implementing Statutory Changes.

a.  Congress frequently authorizes new flexibilities for STRLs.  Use of these authorities is overseen by the DD(RT&L), in accordance with:

(1)  Section 211 of the NDAA for FY 2017, as amended. (2)  Section 218 of the NDAA for FY 2018.
b.  Typically, new STRL-related authorities are implemented through a DD(RT&L)
memorandum and subsequent FRN publication.

## 4.9.  Correcting Published Frns.

In the event that information in a published STRL FRN needs to be corrected, the STRL commander or director will modify the FRN in accordance with Paragraph 4.4.

## 4.10.  Collective Bargaining Requirements And Employee Notification.

Regarding the conditions under which employees within a bargaining unit or labor organization may be covered by a demonstration project, STRL commanders or directors must adhere to Section 4703(f) and (g) of Title 5, U.S.C.

## 4.11.  Fr Format.

a.  The Office of the FR has specific formats and editorial requirements that must be followed when preparing FR documents for publication.

b.  Additional formatting guidance, including guidance for the insertion of tables and appendixes, may be found in the Document Drafting Handbook.

c.  STRL commanders or directors must adhere to AI 102 when preparing and processing FRNs.

## 4.12.  Frn Approval Process.

The Director, L&PO, must process approved FRNs through the OSD FR liaison officer in accordance with AI 102.  The OUSD(R&E) FRN publication process is depicted in Figure 1.

## Section 5:  Strl Evaluations 5.1.  Summative Evaluations.

At a minimum, a newly designated STRL with a demonstration project will conduct a summative evaluation of the demonstration project at the conclusion of the first 5 years of implementation. A working group of stakeholders, which may include employees, union representatives, managers, supervisors, and DoD and Office of Personnel Management representatives, as appropriate, could be established to assist in the design, implementation, and interpretation of the summative evaluation.

a.  The summative evaluation will:
(1)  Identify best practices, as well as marginal or unsuccessful initiatives. (2)  Include recommendations for any corrective actions.
b.  Data collected as part of the summative evaluation may include:
(1)  Workforce data.
(2)  Employee attitudes and feedback collected using surveys, structured interviews, and focus groups.

(3)  A comparison of the desired results from the flexibilities implemented with the actual results achieved.

(4)  Measures of laboratory effectiveness.

## 5.2.  Periodic Evaluations.

a.  Periodic evaluations may:
(1)  Be conducted, as appropriate, to identify areas for improvement, to include assessment of the need for new flexibilities, utility of existing flexibilities, and impact of implementation or execution issues.

(2)  Identify matters which may be appropriate for consideration as a matter of Department or Component policy or as a legislative proposal.

b.  The Director, L&PO, may conduct ongoing evaluations of individual authorities as necessary.

## 5.3.  Evaluation Reports.

STRL commanders or directors will:

a.  Provide evaluation reports and data to:
(1)  Their respective DoD Component S&T and HR representatives.
(2)  The Director, L&PO.
b.  Assist in the creation of reports.

## Glossary G.1.  Acronyms.

ACRONYM
MEANING
AI
administrative instruction
CFR
Code of Federal Regulations
DD
Department of Defense (form)
DDRE(R&T)
Director, Defense Research and Engineering for Research and Technology
DD(RT&L)
Deputy Director, Research, Technology, and Laboratories
FR
Federal Register
FRN
Federal Register notice
FY
fiscal year
GC DoD
General Counsel of the Department of Defense
HR
human resources
IOP
internal operating procedure
L&PO
laboratories and personnel office
LQEP-P Panel
Laboratory Quality Enhancement ProgramPersonnel, Workforce Development, and Talent Management Panel
NDAA
National Defense Authorization Act
OUSD(R&E)
Office of the Under Secretary of Defense for Research and Engineering
PDP
personnel demonstration project
PL
public law
R&D
research and development
S&T
science and technology
STRL
science and technology reinvention laboratory
U.S.C.
United States Code
USD(P&R)
Under Secretary of Defense for Personnel and Readiness
USD(R&E)
Under Secretary of Defense for Research and Engineering


## G.2.  Definitions.

Unless otherwise noted, these terms and their definitions are for the purpose of this issuance.

TERM
DEFINITION
flexibility
A statutory authority granted to the STRL that allows the STRL to experiment with new methods of executing its personnel programs.
LQEP-P Panel
Defined in Section 211 of the NDAA for 2017, as amended.
R&D laboratory
A facility or group of facilities owned, leased, or otherwise used by OSD, the Military Departments, the Defense Agencies, and all other organizational entities within the DoD towards research, development, or engineering by employees of the DoD.  The term "laboratory" also is used in this issuance to apply to Warfare Centers, Research Development and Engineering Centers, System Centers, and similar entities.
STRL
An R&D laboratory designated by statute or regulations issued by USD(R&E).  Once designated, the STRL may avail itself of certain authorities available to STRLs
including PDP  flexibilities
STRL commander or director
A commander or director of a given laboratory.

## References

Administrative Instruction 102, "Office of the Secretary of Defense (OSD) Federal Register (FR)
System," November 6, 2006, as amended
Code of Federal Regulations, Title 5 DoD 7000.14-R, Volume 15, "Department of Defense Financial Management Regulation:
Security Cooperation Policy," September 2019
DoD Directive 5137.02, Under Secretary of Defense for Research and Engineering
(USD(R&E)), July 15, 2020
DoD Manual 8910.01, Volume 1, "DoD Information Collections Manual: Procedures for DoD
Internal Information Collections," June 30, 2014, as amended
Federal Register, Volume 76, Page 67154, October 31, 2011
Federal Register, Volume 73, Page 73248, December 2, 2008 Federal Register, Volume 83, Page 9502, March 6, 2018 Office of the Deputy Secretary of Defense Memorandum, "Policy and Human Capital Oversight
of Science and Technology Reinvention Laboratory Personnel Demonstration Projects," July 30, 2019
Office of the Federal Register, National Archives and Records Administration, "Document
Drafting Handbook," August 2018 Edition1
Public Law 103-337, "National Defense Authorization Act for Fiscal Year 1995," October 5,
1994, as amended
Public Law 110-181, "National Defense Authorization Act for Fiscal Year 2008," January 28,
2008, as amended
Public Law 111-84, "National Defense Authorization Act for Fiscal Year 2010," October 28,
2009, as amended
Public Law 114-328, "National Defense Authorization Act for Fiscal Year 2017," December 23,
2016, as amended
Public Law 115-91, "National Defense Authorization Act for Fiscal Year 2018," December 12,
2017
United States Code, Title 5