76038 Federal Register / Vol. 85, No. 229 / Friday, November 27, 2020 / Notices 

1 17 CFR 145.9. 

to the procedures established in Section 

145.9 of the Commissions regulations.1

The Commission reserves the right, 

but shall have no obligation, to review, 

pre-screen, filter, redact, refuse or 

remove any or all of your submission 

from http://www.cftc.gov that it any 

deem to be inappropriate for 

publication, such as obscene language. 

All submissions that have been redacted 

or removed that contain comments on 

the merits of the ICR will be retained in 

the public comment file and will be 

considered as required under the 

Administrative Procedure Act and other 

applicable laws, and may be accessible 

under the Freedom of Information Act. 

Burden Statement: The Commission 

is revising its estimate of the burden due 

to the reduced number of futures 

commission merchants in the industry. 

The respondent burden for this 

collection is estimated to be as follows: 

• Estimated number of respondents: 

53. 

• Total annual responses: 212. 

• Estimated Total Annual Burden 

Hours: 17. 

• Frequency of Collection: On 

occasion. 

There are no capital costs or operating 

and maintenance costs associated with 

this collection. 

(Authority: 44 U.S.C. 3501 et seq.) 

Dated: November, 20, 2020. 

Robert Sidman, 

Deputy Secretary of the Commission. 

[FR Doc. 2020–26170 Filed 11–25–20; 8:45 am] 

BILLING CODE 6351–01–P 

CORPORATION FOR NATIONAL AND 

COMMUNITY SERVICE 

Agency Information Collection 

Activities; Submission to the Office of 

Management and Budget for Review 

and Approval; Comment Request; 

Application Instructions for 

Commission Support Grants: How To 

Apply for State Service Commission 

Support Grants 

AGENCY: Corporation for National and 

Community Service. 

ACTION: Notice of information collection; 

request for comment. 

SUMMARY: The Corporation for National 

and Community Service (CNCS) has 

submitted a public information 

collection request (ICR) entitled 

Application Instructions for 

Commission Support Grants: How to 

Apply for State Service Commission 

Support Grants for review and approval 

in accordance with the Paperwork 

Reduction Act. 

DATES: Written comments must be 

submitted to the individual and office 

listed in the ADDRESSES section by 

December 28, 2020. 

ADDRESSES: Written comments and 

recommendations for the proposed 

information collection should be sent 

within 30 days of publication of this 

notice to www.reginfo.gov/public/do/ 

PRAMain. Find this particular 

information collection by selecting 

‘‘Currently under 30-day Review—Open 

for Public Comments’’ or by using the 

search function. 

FOR FURTHER INFORMATION CONTACT: 

Copies of this ICR, with applicable 

supporting documentation, may be 

obtained by calling the Corporation for 

National and Community Service, 

Arminda Pappas, at 202–606–6659 or by 

email to apappas@cns.gov. 

SUPPLEMENTARY INFORMATION: The OMB 

is particularly interested in comments 

which: 

• Evaluate whether the proposed 

collection of information is necessary 

for the proper performance of the 

functions of CNCS, including whether 

the information will have practical 

utility; 

• Evaluate the accuracy of the 

agency’s estimate of the burden of the 

proposed collection of information, 

including the validity of the 

methodology and assumptions; 

• Propose ways to enhance the 

quality, utility, and clarity of the 

information to be collected; and 

• Propose ways to minimize the 

burden of the collection of information 

on those who are to respond, including 

through the use of appropriate 

automated, electronic, mechanical, or 

other technological collection 

techniques or other forms of information 

technology. 

Comments 

A 60-day Notice requesting public 

comment was published in the Federal 

Register on July 6, 2020 at 85 FR 40266. 

This comment period ended September 

4, 2020. One public comment was 

received from this Notice. The comment 

was nonresponsive to the request for 

comment. 

Title of Collection: Application 

Instructions for Commission Support 

Grants: How to Apply for State Service 

Commission Support Grants. 

OMB Control Number: 3045–0099. 

Type of Review: Renewal. 

Respondents/Affected Public: 

Organizations OR State Governments. 

Total Estimated Number of Annual 

Responses: 52. 

Total Estimated Number of Annual 

Burden Hours: 1,924. 

Abstract: The application instructions 

conform to the Corporation for National 

and Community Service’s online grant 

application system, eGrants, which 

applicants must use to respond to CNCS 

Commission Support Grant funding 

opportunities. CNCS seeks to renew the 

current information collection. The 

revisions are intended to streamline the 

application process. The information 

collection will otherwise be used in the 

same manner as the existing 

application. CNCS also seeks to 

continue using the current application 

until the revised application is 

approved by OMB. 

Dated: November 20, 2020. 

Arminda Pappas, 

Grant Review Manager. 

[FR Doc. 2020–26187 Filed 11–25–20; 8:45 am] 

BILLING CODE 6050–28–P 

DEPARTMENT OF DEFENSE 

Department of Defense Science and 

Technology Reinvention Laboratory 

(STRL) Personnel Demonstration 

(Demo) Project in the U.S. Army 

Research Institute for the Behavioral 

and Social Sciences (ARI) 

AGENCY: Under Secretary of Defense for 

Research and Engineering (USD(R&E)), 

Department of Defense (DoD). 

ACTION: Personnel demonstration project 

notice. 

SUMMARY: This Federal Register Notice 

(FRN) serves as notice of the adoption 

by the U.S. Army Research Institute for 

the Behavioral and Social Sciences 

(ARI) of the personnel demonstration 

project flexibilities implemented by the 

Combat Capabilities Development 

Command (CCDC) Command, Control, 

Communications, Computers, Cyber, 

Intelligence, Surveillance, and 

Reconnaissance (C5ISR) Center 

(previously designated as the U.S. Army 

Communications—Electronics Research, 

Development and Engineering Center 

and the U.S. Army Communications— 

Electronics Command, Research, 

Development and Engineering), the 

CCDC Chemical Biological Center (CBC) 

(previously designated as the Edgewood 

Chemical Biological Center), and the 

CCDC Soldier Center (SC) (previously 

designated as the Natick Soldier 

Research, Development and Engineering 

Center). The majority of flexibilities and 

administrative procedures are adopted 

without changes. However, 

modifications were made when 

necessary to address ARI’s specific 


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Federal Register / Vol. 85, No. 229 / Friday, November 27, 2020 / Notices 76039 

organizational, management structure, 

workforce, and approval needs and to 

conform to changes in applicable law 

and regulations after the publication of 

the adopted personnel demonstration 

project flexibilities. In addition, changes 

were made based on current law, best 

practices, and administrative guidance. 

DATES: Implementation of this 

demonstration project will begin no 

earlier than November 27, 2020. 

FOR FURTHER INFORMATION CONTACT: 

• ARI: Dr. Scott Shadrick, 254–288– 

3800, Scott.B.Shadrick.civ@mail.mil. 

• DoD: Dr. Jagadeesh Pamulapati, 

Director, Laboratories and Personnel 

Office, 571–372–6372, 

Jagadeesh.Pamulapati.civ@mail.mil 

SUPPLEMENTARY INFORMATION: Section 

342(b) of the National Defense 

Authorization Act (NDAA) for Fiscal 

Year (FY) 1995, Public Law (Pub. L.) 

103–337, as amended, authorizes the 

Secretary of Defense (SECDEF), through 

the USD(R&E), to conduct personnel 

demonstration projects at DoD 

laboratories designated as STRLs. 

1. Background 

Since 1966, many studies of DoD 

laboratories have been conducted on 

laboratory quality and personnel. Most 

of these studies have recommended 

improvements in civilian personnel 

policy, organization, and management. 

Pursuant to the authority provided in 

section 342(b) of the NDAA for FY 1995, 

as amended, a number of DoD STRL 

personnel demonstration projects were 

approved. These projects are ‘‘generally 

similar in nature’’ to the Department of 

Navy’s ‘‘China Lake’’ Personnel 

Demonstration Project. The terminology, 

‘‘generally similar in nature,’’ does not 

imply an emulation of various features, 

but rather implies a similar opportunity 

and authority to develop personnel 

flexibilities that significantly increase 

the decision authority of laboratory 

commanders and/or directors. 

ARI conducted a thorough review of 

the personnel practices of existing DoD 

laboratories designated as STRLs and 

applicable laws, regulations, and 

guidance to identify potential 

flexibilities that would allow ARI to (1) 

improve effectiveness through a more 

flexible, responsive personnel system; 

(2) increase management authority over 

human resources management; (3) 

recruit, develop, motivate, and retain a 

high quality workforce; and (4) adjust 

workforce levels to meet strategic 

program and organizational needs. 

This demonstration project involves: 

(1) New appointment authorities; 

(2) Extended probationary periods; 

(3) Supervisory probationary periods; 

(4) Pay banding; 

(5) Streamlined delegated examining; 

(6) Simplified job classification; 

(7) A pay-for-performance based 

appraisal system; 

(8) A sabbatical program; 

(9) Academic degree and certificate 

training; 

(10) A Volunteer Emeritus Corps; and 

(11) Senior Scientific Technical 

Manager (SSTM) positions. 

The demonstration project also 

involves the use of numerous direct hire 

authorities, as appropriate and in 

accordance with guidance. Many 

aspects of a demonstration project are 

experimental. Modifications may be 

made from time to time as we gain 

experience, analyze results, and reach 

conclusions on how the system is 

working. The provisions of Department 

of Defense Instruction (‘‘DoDI’’) 1400.37, 

‘‘Science and Technology Reinvention 

Laboratory (STRL) Personnel 

Demonstration Projects’’ (available at 

https://www.esd.whs.mil/Portals/54/ 

Documents/DD/issuances/dodi/ 

140037p.pdf) (including subsequently 

issued or superseding instructions), will 

be followed to modify, supplement 

through adoption, or otherwise change 

this demonstration project plan. 

2. Overview 

ARI intends to build its 

demonstration project using flexibilities 

adopted from existing STRL 

demonstration programs with 

significant overlap with the CCDC 

C5ISR, CCDC CBC, and CCDC SC. 

As described in 73 FR 73248, 

December 2, 2008, flexibilities are 

defined as those features described in a 

STRL FRN; amendments thereto 

published in an FRN; minor changes 

made within the authorities of a 

demonstration project plan, 

documented in laboratory internal 

issuances and disseminated to 

employees; and official laboratory 

implementing issuances that have been 

distributed. 

3. Access to Flexibilities for Other 

STRLs 

Flexibilities published in this FR will 

be available for use by all STRLs listed 

enumerated in section 1105(a) of Public 

Law 111–84, as amended, in accordance 

with DoDI 1400.37 (including revised or 

superseded instructions) and after the 

fulfillment of any collective bargaining 

obligations. 

4. Summary of Comments 

Thirteen commenters provided 

comments and questions regarding the 

ARI Personnel Demonstration Project, 

Federal Register, 84 FR 64469, dated 

November 22, 2019. The following is a 

summary of these written questions by 

topical area and a response to each. 

(1) Pay Banding 

Comment: Five commenters 

expressed concern about allowing all 

positions to advance, ‘‘unconstrained,’’ 

to the top of a given pay band. One of 

the comments referenced language that 

was included in a draft version of the 

Federal Register Notice that was 

provided to the ARI workforce for 

review prior to publication. The 

language stated that, ‘‘Not all positions 

in a given pay band will be able to 

progress to the top of that band if the 

duties and responsibilities of the 

specific position do not warrant such a 

progression.’’ Another commenter 

recommended adopting a minor 

modification used by other laboratories 

to provide the STRL Director with the 

‘‘authority to insert ‘control points’ for 

any identified position in any demo pay 

band and/or occupational family.’’ The 

commenter suggested that the control 

points would enable the Director to 

maintain cost discipline while 

‘‘ensuring salary increases reflect 

appropriate levels of performance and/ 

or responsibility.’’ Additionally, one 

commenter asked how control points 

would impact the midpoint and asked 

about the potential negative impact of 

control points on the demonstration 

performance system. Finally, one 

commenter questioned the use of 

linking the top of each pay band the GS 

Step 10 pay level and not raising the 

pay caps above the GS Step 10 level. 

Response: This Federal Register 

Notice is revised to provide the STRL 

Director with the ability to insert control 

points, consistent with the minor 

modification adopted by Combat 

Capabilities Development Command 

(CCDC) Command, Control, 

Communications, Computers, Cyber, 

Intelligence, Surveillance, and 

Reconnaissance (C5ISR) Center, to 

maintain budget control and flexibility 

in using the pay banding system. The 

flexibility provides a tool for managing 

organization workforce structure and 

pay and will ensure employees are 

compensated commensurate with their 

duties and performance. The use of 

control points does not negatively 

impact the midpoint nor the 

demonstration performance system. The 

following are examples for use of 

control points. If an ARI employee in 

the DB–02 pay band (GS–05 to GS–11) 

is required to perform duties at the GS– 

07 equivalent level, and there is no 

organizational requirement for 

progressive duties and responsibilities 

in the career series beyond the GS–07 


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equivalent level, then the employee’s 

salary would not progress beyond the 

appropriate equivalent level control 

point. If an ARI employee in the DE–03 

pay band (GS–12 to GS–13) is required 

to perform duties at the GS–12 

equivalent level, and ARI has an 

organizational requirement for 

progressive duties and responsibilities 

in the career series beyond the GS–12 

equivalent level, then the employee’s 

salary could progress to the appropriate 

equivalent level control point as 

performance requirements dictate. 

The pay band structure in this 

personnel demonstration project was 

adopted from the U.S. Army Armament 

Research, Development, and 

Engineering Center (currently referred to 

as CCDC Armaments Center). The 

structure links the pay band’s lower and 

upper limits to the GS pay scales. As the 

rates of the GS pay scale increase with 

annual general pay increases, the upper 

and lower base pay rates of the 

demonstration project’s pay bands also 

will increase. This allows the laboratory 

to more effectively compensate high 

performance while also maintaining 

necessary cost controls. 

(2) Award Timeline 

Comment: One comment was received 

concerning the timing or timeline for 

payout of awards. 

Response: The post-implementation/ 

regular rating period will be from 1 

February to 31 January. However, the 

implementation/initial rating period 

may be shorter to allow for a paced and 

orderly transition from the current 

DPMAP evaluation system to the 

demonstration project pay for 

performance system. During the postimplementation/regular performance 

rating cycle, employees will submit 

their accomplishments by 31 January of 

the rating period. Raters will then 

conduct initial ratings and submit those 

ratings for review during reconciliation 

meetings conducted by the pay pool 

panel(s). Ratings will be finalized and 

personnel actions submitted for 

processing at the end of March. During 

April, employees and supervisors will 

participate in performance review 

discussions. Payouts would be effective 

in May, generally by the first pay period 

in the month. 

(3) Pay for Performance 

Comment: Two comments addressed 

the use of time off awards as a part of 

the performance payout in lieu of cash 

bonus. A third comment addressed 

employees at the GS step 10 equivalent 

pay level. 

Response: Initially, time off awards 

will not be used as a performance 

payout in the demonstration project but 

this may change as experience is gained. 

Time-off awards may still be awarded in 

accordance with the Army incentive 

awards program. 

Employees at the top of the pay band 

(GS step 10 equivalent level) are eligible 

to receive a pay for performance payout 

equivalent to the combination of any 

base pay increase and bonus payout, in 

the form of a bonus ONLY. 

(4) Performance Management Board and 

Pay Pool Panel Membership 

Comment: One commenter questioned 

whether or not ARI’s Scientific and 

Professional (ST) position would be 

required to serve on the Performance 

Management Board (PMB) or Pay Pool 

Panels in any capacity. A second 

commenter questioned how many 

individuals would be appointed to the 

PMB, how many ad hoc members would 

be appointed, what roles members 

perform, and whether there would be 

term limits. The same commenter asked 

about the full membership of the pay 

pool panel. 

Response: Performance Management 

Board (PMB) and Pay Pool Panel 

members will be appointed by the 

Director, ARI, consistent with governing 

regulations and practices. To ensure 

confidence in a fair and equitable 

performance management process, 

appointments will be made in a manner 

that avoids conflicts of interest. There 

are no term limits or a fixed number of 

members for the PMB. The workforce 

will be informed of the PMB and Pay 

Pool Panel’s composition prior to the 

start of a new rating cycle, and upon any 

mid-cycle change. Ad hoc PMB 

members are non-voting members and 

serve in an advisory role regarding 

functional or administrative matters 

impacting the performance management 

system. 

(5) Personnel Requirements 

Comment: Two commenters asked 

what additional staffing requirements 

are required to implement the project. 

Response: Currently one ARI 

employee is assigned responsibility for 

management of ARI’s demonstration 

project. This employee is assisted by 

other ARI employees as needed. Staffing 

requirements may be adjusted over the 

course of the project as necessary. 

(6) Details and Temporary Promotions 

Comment: Two commenters asked 

multiple questions concerning details 

and temporary promotions. The series of 

comments and questions requested 

clarification on pay setting, travel, and 

pay for details and temporary 

promotions. Comments also addressed 

the ability to temporarily promote an 

employee to a different pay band. 

Response: This Federal Register 

Notice has been revised to include 

additional provisions regarding details 

and temporary promotions. An 

employee may be detailed or 

temporarily promoted to a position in a 

pay band with a higher maximum 

salary. A base pay increase may be 

granted for details and temporary 

promotions when the position 

significantly increases the complexity, 

responsibility, or authority of the 

employee’s work, or for other 

compelling reasons. The PMB will 

establish guidelines regarding pay 

increases associated with details and 

temporary promotions. Details and 

temporary promotions may be 

determined by a competitive or a noncompetitive process. The Federal 

Register Notice allows ARI, to the extent 

required, to extend the length of details 

and temporary promotions for a period 

up to two years. Existing laws and 

regulations pertaining to temporary duty 

status, travel, and tax requirements 

remain applicable. Eligibility for details 

or temporary promotions will be 

documented in ARI’s internal operating 

procedures or business rules. 

(7) Occupational Series and 

Occupational Families 

Comment: One commenter questioned 

the occupational series included in the 

Engineering & Science (E&S) 

occupational family. 

Response: ARI’s current table of 

distribution and allowances has two 

occupational series that qualify for the 

E&S family. Therefore, only those two 

occupational series (psychologist and 

statisticians) were included. As noted in 

Appendix B, additional occupational 

series may be added in the future, as 

needed, to support mission 

requirements. 

(8) Classification 

Comment: One commenter asked 

about the appropriate level of delegated 

classification authority and necessary 

qualifications. They also asked how 

individuals with delegated classification 

authority will interact with the Director. 

Response: Classification authority 

will be delegated to the ARI Director, 

but it is not anticipated that 

classification authority will be further 

delegated in the near-term. Unless 

otherwise delegated, ARI will rely on 

classification specialists at the Civilian 

Human Resources Agency (or other 

supporting human resources entity) to 

perform classification functions. Any 

delegated authority will require 

demonstrated competence in the 


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technical principles, policies, and 

standards for classifying positions based 

on the duties and responsibilities 

assigned and the qualifications required 

to do the work. Any individual with 

delegated classification authority will be 

required to complete training prior to 

any classification activities and will be 

responsible to the Director. 

(9) Pay Pools Compositions 

Comment: One commenter asked for 

more specificity on the composition of 

the pay pool panels in the Federal 

Register Notice. Two commenters 

discussed the size of ARI and suggested 

that the pay pool panels would be too 

small to allow for a fair and equitable 

system. 

Response: As noted in the initial 

Federal Register Notice (page 64471, 

section G, paragraph 2), the Performance 

Management Board will determine the 

composition of the pay-for-performance 

pay pools in accordance with the 

guidelines of the IOP (Internal 

Operating Procedures). Additionally, 

the names of the pay pool manager and 

pay pool members will be published 

prior to each new performance rating 

period. When necessary, changes to pay 

pools may be made based on 

organizational structure, the number of 

employees and their occupational 

composition, work levels and work 

categories, and the size and 

manageability of pay pools. 

Pay pools will generally be between 

25 and 75 employees; however, smaller 

or larger pay pools may be appropriate 

where organization and mission dictate. 

(10) Significant Accomplishment Rule 

Comment: Two comments were 

related to the significant 

accomplishment rule. One comment 

requested that the rule be eliminated 

and a second suggested that non-E&S 

employees would not fare well under 

the system due, for example, to the 

Significant Accomplishment/ 

Contribution Rule. 

Response: The significant 

accomplishment rule is designed to 

ensure a high level of performance to 

advance within the high end of the pay 

band for E&S occupations in the DB–03 

band given the number of employees 

assigned to that particular pay band. 

Consistent with other labs utilizing the 

significant accomplishment rule, it will 

be appropriately used to maintain payfor-performance cost/pay discipline 

within the pay band. The rule prevents 

DB–03 employees from progressing to 

the highest salary in the band without 

performing at increased levels of 

performance or responsibility. The rule 

does not apply to non-E&S employees. 

(11) Grievances 

Comment: One commenter suggested, 

‘‘It was previously agreed that a 

grievance would be to someone above 

the Director’’ and wanted to know why 

that was not included in the notice. 

Response: Grievances filed by 

individuals who are not rated by the 

Director will be acted on by the Director 

because the Director is not involved in 

the rating of those employees. 

Grievances filed by individuals who are 

rated by the Director will be acted on by 

a higher authority. For bargaining unit 

employees, the negotiated grievance 

procedure (NGP) will be followed. 

(12) Direct Hires 

Comment: One commenter asked why 

scientists and engineers were the only 

group listed for direct hire. The 

commenter noted that Business and 

Technical and General Support are 

equally as important and should be 

included in the direct hire. 

Response: The designation of career 

series eligible for direct hire authority 

does not diminish the importance and 

value of each career series in the 

organization’s mission success. In this 

instance, use of the direct hire authority 

is limited to the flexibilities afforded by 

Congress in various National Defense 

Authorization Acts (NDAA). The direct 

hire authorities listed in the notice are 

those that STRLs are authorized by 

Congress to utilize; and are currently 

allowed for (1) candidates with 

advanced degrees to scientific and 

engineering positions; (2) candidates 

with bachelor’s degrees to scientific and 

engineering positions; (3) veteran 

candidates to scientific, technical, 

engineering, and mathematics positions 

(STEM); and (4) student candidates 

enrolled in a program of instruction 

leading to a bachelors or advanced 

degree in a STEM discipline. 

(13) Supervisory Probationary Periods 

and Performance Improvement Plans 

Comment: One commenter asked for 

clarification on probationary periods for 

supervisors new to the government and 

performance improvement plans for 

supervisors. 

Response: Supervisors new to the 

government must complete a three-year 

new employee probationary period. 

Supervisors who have previously 

completed a new employee 

probationary period in a government 

position must complete a two-year 

supervisory probationary period as a 

supervisor. Supervisors, as with any 

employee, can be placed on a 

performance improvement plan when 

appropriate, to include during the 

probationary period. 

(14) Demotions to a Lower Pay Band 

Comment: One commenter suggested 

that demotions for reason other than 

cause should not be allowed and asked 

about recourse or grievance procedures 

employees might have. 

Response: Demotions to a lower pay 

band are a necessary element of the payfor-performance system. Demotions for 

reasons other than cause can occur due 

to erosion of duties, reclassification of 

duties to a lower pay band, an 

employee’s request, or for other reasons 

to preserve equity in pay and/or job 

requirements. Employees retain the 

ability to request reconsideration and/or 

file an appeal with the U.S. Merit 

Systems Protection Board. Employees 

will be provided notice and an 

opportunity to respond prior to such 

action being taken. 

Identical or nearly identical 

provisions are found in other Federal 

Register Notices, including 

(organizations as designated in the 

original Federal Register Notice): Tank 

Automotive Research, Development and 

Engineering Center (76 FR 12508); 

Communications-Electronics Research, 

Development, and Engineering Center 

(66 FR 54872); Edgewood Chemical 

Biological Center (74 FR 68936); Natick 

Soldier Research, Development and 

Engineering Center (74 FR 68448); Army 

Research Laboratory (63 FR 10680), and 

non-Army laboratories such as: Naval 

Air System Command, Naval Air 

Warfare Center, Aircraft Division (76 FR 

8530), and Naval Air Warfare Center, 

Weapons Division (76 FR 8529). These 

same flexibilities have been utilized in 

multiple laboratories without issue and 

are another tool the Director could 

utilize as the situation and 

organizational requirements merit. 

(15) Exceptions to Competitive 

Procedures for Assignment to a Position 

Comment: One commenter questioned 

whether or not one of the exceptions to 

competitive assignment procedures, 

promotion due to the reclassification of 

a position based on accretion of duties, 

could be used to circumvent 

competitive hiring. 

Response: Permitting exceptions to 

competitive procedures for assignment 

to a higher position within a pay band 

aligns with ARI’s workforce and 

organizational structure. Most positions 

in ARI have a natural progression. For 

example, a majority of the research 

personnel are in the DB–03 pay band 

and perform similar work. Those at the 

high end of the band who perform more 

complex work requiring high levels of 

expertise or who have substantively 

greater workload move toward the top of 


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their band as their performance dictates. 

Generally, movement to a vacant 

position in a pay band would require 

use of competitive procedures. The 

same is true of a promotion from one 

pay band to another. However, there 

may be situations where accretion of 

duties resulting from new requirements 

may be appropriate for newly 

reclassified positions. In those 

instances, the Director must have the 

ability to take appropriate action. 

(16) Evaluation 

Comment: Three commenters asked 

questions about the STRL evaluation 

requirement concerning who will gather 

evaluation data, how the unit climate 

and professional work environment will 

be assessed, and whether the results 

will be shared with the workforce? 

Response: ARI will evaluate the 

project within five years of 

implementation of the project in 

accordance with Chapter 47 of 5 U.S.C. 

Data will be collected internally and 

externally based on standards and 

guidelines currently being developed by 

the USD(R&E). Additionally, ARI will 

collect climate survey data throughout 

the life of the project. Results of 

evaluation data will be provided to the 

USD(R&E) and the ARI workforce, as 

appropriate. 

(17) Performance Elements 

Comment: One commenter 

recommended removing training from 

the technical rigor performance element 

and recommended making unspecified 

changes to the Driving Organization 

Results element. 

Response: Technical rigor is a critical 

element required for high-performing 

organizations. A high level of technical 

rigor in individual performance is 

critical to achieving many of the goals 

of the demonstration performance 

project outlined in section II (C). Those 

goals include: Increased quality of the 

workforce, and resultant research 

products and outcomes; more effective, 

efficient, and adaptable organizational 

systems required to respond to Army 

needs; increased retention of excellent 

performers; and increased workforce 

satisfaction with the personnel 

management system. Additionally, it is 

important to retain training as a 

legitimate component of the technical 

rigor element in developing and 

advancing the technical competence of 

employees and the organization at large. 

ARI will conduct a data-driven review 

of the performance elements after 

implementation. The PMB will review 

the performance elements annually and 

make any necessary changes prior to the 

start of a new rating period; and as 

stated in the FRN, performance 

elements may evolve over time to 

ensure individual and organizational 

success. 

(18) Performance Management System 

and Supervisor Ratings 

Comment: One commenter made a 

positive statement about the 

performance management system but 

noted that the system would not work 

any better than TAPES or DPMAP if 

supervisors fail to accurately evaluate 

performance. Another commenter 

questioned the objectivity of the 

performance system. Another 

commenter suggested that a summary of 

accomplishments, provided by the 

employee, should not be mandatory. 

One commenter asked if midterm 

reviews were formal, documented 

reviews. 

Response: Supervisors will receive 

training on the performance 

management system and rating 

processes to support an accurate 

evaluation of performance. 

Additionally, the performance 

management system’s use of benchmark 

performance criteria establishes a 

common set of standards for evaluating 

performance and assigning ratings. The 

benchmark performance criteria will be 

published annually and whenever 

changes are made. Finally, the use of a 

pay pool panel and reconciliation 

process provides additional objectivity 

to the evaluation process. 

Midterm reviews are mandatory 

documented reviews. The midterm 

reviews are not meant to be timeconsuming, but are intended to be 

productive performance meetings used 

to address any concerns the employee or 

supervisor might have prior to the end 

of the rating period. 

To support the rating process, 

employees are encouraged, but not 

required, to provide input on their 

accomplishments during the 

performance period. Employee input 

allows the employee to describe their 

accomplishments and any unique 

circumstances regarding their 

performance. Employee input should 

provide the rater and pay pool panel 

with a clear, concise, and accurate 

picture of their performance during the 

rating cycle. Ratings for employees who 

do not provide input on their 

accomplishments will be based on the 

supervisor’s observations of employee 

performance. 

(19) Internal Operating Procedures (IOP) 

Comment: One commenter asked 

when the IOP would be available for 

employees. 

Response: Once the final Federal 

Register Notice is published, and before 

implementation of the demonstration 

project, the IOP will be distributed to 

the workforce. 

(20) Mid-Point Rule 

Comment: Two commenters asked 

about the mid-point rule and whether 

the initial score of 30 would need to be 

changed. 

Response: The purpose of the midpoint rule is to help provide cost 

discipline to the personnel system. The 

mid-point rule stipulates that an 

employee must receive a performance 

score of 30 or higher for his/her base 

pay to cross the mid-point of the pay 

band. The performance score of 30 also 

has been established as the initial, 

minimum score to be eligible for 

promotion opportunities. 

With respect to the mid-point rule, 

setting a performance score too high or 

low can have a negative impact on the 

workforce and the laboratory. A score of 

30 has been established initially for the 

mid-point rule because it represents 

successful performance and is 

comparable to what other laboratories 

have used. However, future assessments 

of the personnel demonstration project 

may indicate a different performance 

evaluation score is more appropriate for 

applying the mid-point rule within ARI. 

For example, if it is determined that the 

performance evaluation system 

consistently results in performance 

ratings that are lower than anticipated 

across the laboratory, then it may be 

necessary to establish a lower 

performance score for applying the midpoint rule. This would ensure the 

laboratory maintains a system that 

allows some employees to advance 

beyond the mid-point of the pay band 

or to be eligible for promotion 

opportunities. Conversely, if the score 

used to apply the midpoint rule is too 

low relative to the typical evaluation 

score received by employees, then it 

will be difficult for the laboratory to 

maintain appropriate cost controls. 

Having the ability to adjust the 

minimum score associated with the 

mid-point rule will allow the PMB to 

achieve the goals of providing 

appropriate payment and promotion 

opportunities for employees, increasing 

laboratory performance, and providing 

cost discipline to the system. 

(21) Additional Comments 

Comment: One commenter 

recommended a minor word change 

from ‘‘Center’’ to ‘‘laboratory.’’ The 

change was appropriate and was made 

in the notice. Another commenter asked 


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if employees would be queried during 

exit interviews. 

Response: While not a part of the 

demonstration project, the Director has 

used exit interviews to collect 

information to address organizational 

concerns. It is expected that the 

Director, to the extent possible, will 

continue to conduct exit interviews. 

Table of Contents 

I. Executive Summary 

II. Introduction 

A. Purpose 

B. Problems With the Present System 

C. Changes Required/Expected Benefits 

D. Participating Organizations 

E. Participating Employees and Union 

Representation 

F. Project Design 

G. Personnel Management Board 

H. Organizational Structure and Design 

I. Funding Levels 

III. Personnel System Changes 

A. Pay Banding 

B. Classification 

C. Pay for Performance 

D. Hiring Authority 

E. Internal Placement 

F. Pay Setting 

G. Employee Development 

IV. Implementation Training 

V. Conversion 

A. Conversion to the Demonstration Project 

B. Converstion or Movement From a 

Project Position to a General Schedule 

Position 

C. Personnel Administration 

D. Automation 

E. Revision 

VI. Project Duration 

VII. Evaluation Plan 

A. Overview 

B. Method of Data Collection 

VIII. Demonstration Project Costs 

A. Cost Discipline 

B. Developmental Costs 

IX. Required Waivers to Law and Regulation 

A. Waivers to Title 5, United States Code 

(U.S.C.) 

B. Waivers to Title 5, Code of Federal 

Regulations (CFR) 

Appendix A: ARI Employees by Duty 

Location 

Appendix B: Occupational Series by 

Occupational Family 

Appendix C: Performance Elements 

I. Executive Summary 

ARI operates as a Field Activity of the 

Deputy Chief of Staff, G–1. As a Science 

and Technology (S&T) lab, ARI has the 

core mission of inventing for the future 

while maintaining an organizational 

culture of action in support of emerging 

Army needs. ARI’s S&T program is 

focused on developing innovative 

measures and methods to optimize the 

Soldier lifecycle and talent 

management, developing theories and 

investigating new domains in the 

behavioral and social sciences, 

conducting scientific assessments, 

providing behavioral and social science 

advice to human resource authorities 

and informing human resource policies. 

To sustain these unique capabilities, 

ARI must be able to hire, retain, and 

continuously motivate enthusiastic, 

innovative, and highly-educated 

scientists, supported by skilled business 

management and administrative 

professionals, as well as a skilled 

administrative and technical support 

staff. 

The goal of the current project is to 

enhance the quality and professionalism 

of the ARI workforce through 

improvements in the efficiency and 

effectiveness of the human resource 

system. The project interventions will 

strive to achieve the best workforce for 

the ARI mission, adjust the workforce 

for change, and improve workforce 

satisfaction. This demonstration project 

extends the CCDC C5ISR/CCDC CBC/ 

CCDC SC demonstration projects to ARI. 

The CCDC C5ISR/CCDC CBC/CCDC SC 

projects built on the concepts, and use 

much of the same language, as the 

demonstration projects developed by 

the CCDC Army Research Laboratory 

(ARL) (previously designated as the 

ARL); the CCDC Aviation and Missile 

Center (previously designated as the 

Aviation and Missile Research, 

Development, and Engineering Center); 

the Navy’s ‘‘China Lake;’’ as well as 

other laboratories designated as an 

STRL. The results of this project will be 

evaluated by ARI within five years of 

implementation. 

II. Introduction 

A. Purpose 

The purpose of the project is to 

demonstrate that the effectiveness of 

DoD STRLs can be enhanced by 

expanding opportunities available to 

employees and by allowing greater 

managerial control over personnel 

functions through a more responsive 

and flexible personnel system. Federal 

laboratories need more efficient, cost 

effective, and timely processes and 

methods to acquire and retain a highly 

creative, productive, educated, and 

trained workforce. This project, in its 

entirety, attempts to improve 

employees’ opportunities and provide 

managers, at the lowest practical level, 

the authority, control, and flexibility 

needed to achieve the highest quality 

organization and hold them accountable 

for the proper exercise of this authority 

within the framework of an improved 

personnel management system. 

While many aspects of a 

demonstration project were once 

considered experimental, many have 

been implemented in various DoD 

laboratories for a number of years. 

Modifications have been made based on 

the implementation experience of other 

DoD laboratories, best practices, and 

formative evaluation efforts. Additional 

modifications may be needed from time 

to time as additional experience is 

gained during this specific 

implementation based on evaluations of 

how the system is working to meet the 

goals and objectives of the personnel 

demonstration project. 

B. Problems With the Present System 

The current Civil Service GS system 

has existed in essentially the same form 

since the 1920s. Work is classified into 

one of fifteen overlapping pay ranges 

that correspond with the fifteen grades. 

Base pay is set at one of those fifteen 

grades and the ten interim steps within 

each grade. The Classification Act of 

1949 rigidly defines types of work by 

occupational series and grade, with very 

precise qualifications for each job. This 

system does not quickly or easily 

respond to new ways of designing work 

and changes in the work itself. In 

addition, the GS system makes it 

difficult for the DoD labs to recruit and 

retain the best and the brightest 

scientists. 

The need to change the current hiring 

system is essential, as ARI must be able 

to recruit and retain professional 

scientific researchers, support staff, and 

other professionals and skilled 

technicians. ARI must be able to 

compete with the private sector for the 

best talent and be able to make job offers 

in a timely manner with the attendant 

bonuses and incentives to attract highquality employees. 

Finally, current limitations on 

training, retraining, and otherwise 

developing employees make it difficult 

to correct skill imbalances and to 

prepare current employees for new lines 

of research needed to meet the Army’s 

changing missions and emerging 

technology requirements. 

C. Changes Required/Expected Benefits 

The primary benefit expected from 

this demonstration project is greater 

organizational effectiveness through 

increased employee satisfaction. The 

long-standing Department of the Navy 

‘‘China Lake’’ and subsequent 

demonstration projects have produced 

impressive statistics on increased job 

satisfaction and quality of employees 

versus that for the Federal workforce in 

general. Similar results have been 

demonstrated in more recent STRL 

demonstration projects and other 

alternative personnel systems 

implemented in the DoD and other 

agencies. 


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This project will demonstrate that a 

human resource system tailored to the 

mission and needs of the ARI workforce 

will facilitate: 

(1) Increased quality in the workforce 

and resultant research products and 

outcomes, 

(2) More effective, efficient, and 

adaptable organizational systems 

required to respond to Army needs, 

(3) Increased timeliness of key 

personnel processes, 

(4) Increased retention of excellent 

performers, 

(5) Increased success in recruitment of 

personnel with critical skills, 

(6) Increased management authority 

and accountability, 

(7) Simpler and more effective human 

resources management process, and 

(8) Increased workforce satisfaction 

with the personnel management system. 

D. Participating Organizations 

ARI is comprised of the ARI 

Headquarters located at Fort Belvoir, 

Virginia, and ARI research, technical, 

and support personnel located at Fort 

Belvoir, with geographically dispersed 

research units located at key strategic 

locations at Fort Benning, Georgia; Fort 

Hood, Texas; and Fort Leavenworth, 

Kansas. ARI also has a small number of 

employees dispersed at other locations 

in small numbers required to meet 

Army needs and mission requirements. 

As in the past and as expected in the 

future, there may be modifications to 

organizational structure and locations 

based on changing needs. 

E. Participating Employees and Union 

Representation 

This demonstration project will cover 

approximately 113 ARI civilian 

employees under Title 5 U.S.C. in the 

occupations listed in Appendix B. 

Additional employees and other 

occupations may be added after 

implementation of the project. The 

project plan does not cover members of 

the Senior Executive Service (SES), 

Senior Level (SL), Scientific and 

Professional (ST) employees, Federal 

Wage System (FWS) employees, and 

employees presently covered by the 

Defense Civilian Intelligence Personnel 

System (DCIPS). 

Department of the Army, Army 

Command centrally funded, local 

interns, and Pathways Program 

employees (hired prior to 

implementation of the project) will not 

be converted to the demonstration 

project until they reach their full 

performance level. Pathways employees 

will continue to follow the Defense 

Performance Management and 

Appraisal Program (DPMAP) until they 

have reached their full performance 

level and are transitioned to the STRL 

personnel system. 

The American Federation of 

Government Employees (AFGE) Local 

1920 represents a small percentage of 

ARI’s workforce located at one research 

location. Those represented employees 

may or may not participate in the 

personnel demonstration project 

depending on negotiations with the 

Union, specific hiring actions, and other 

factors. Of those employees assigned to 

ARI, approximately seven percent are 

represented by a labor union. 

F. Project Design 

Upon notification of the initial 

authority granted by Congress 

designating ARI as an STRL, the ARI 

Director assigned an experienced and 

tenured leader within the organization 

to contact appropriate agencies to 

develop the project plan. Initial 

guidance was provided by the DoD, 

Defense Civilian Personnel Advisory 

Services (DCPAS) and HQDA, Office of 

the Assistant Chief of Staff, G–1, 

Civilian Personnel Staffing and 

Classification Division. As a result of 

those initial discussions, ARI conducted 

a comprehensive review of the 

personnel practices of existing DoD 

laboratories designated as STRLs. That 

review resulted in a detailed list of 

personnel flexibilities adopted by the 

various DoD laboratories. As a part of 

the initial review, the Laboratory 

Quality Enhancement Program (LQEP)— 

Personnel Subpanel was contacted. The 

LQEP—Personnel Subpanel (LQEP–P) 

consists of STRL/Personnel 

Management Demonstration 

professionals and experts. LQEP–P 

members provided extensive advice and 

example materials for consideration. 

Detailed discussions with LQEP–P 

members focused on the capabilities 

provided by the various flexibilities 

employed, lessons learned and best 

practices, and implementation 

guidance. Concurrent to the review of 

existing flexibilities, a review of ARI’s 

specific organizational personnel needs 

and requirements was conducted. 

Finally, a review of innovative 

personnel practices used outside of the 

federal government was conducted. 

The initial set of existing flexibilities, 

with descriptions, waiver requirements, 

and expected benefits was briefed to 

ARI leadership and supervisors. 

Detailed discussion focused on how the 

proposed flexibility would help ARI 

accomplish its personnel management 

goals and how it would impact the 

workforce. The briefing and subsequent 

discussions resulted in a set of 

flexibilities for further research and 

consideration that were aligned with 

ARI personnel management needs. 

Those flexibilities were then extensively 

researched and discussed with LQEP–P 

members to determine if the proposed 

flexibility would meet those needs and 

to determine the cost and benefit of 

implementing the specific flexibility. 

The LQEP–P members were invaluable 

in this process. This resulted in a subset 

of personnel demonstration flexibilities 

that were best matched to ARI personnel 

needs and requirements. A team of 

senior leaders reviewed the potential 

flexibilities and provided 

recommendations for further 

consideration. 

This preparatory work resulted in a 

proposed IOP that fully described how 

the proposed personnel management 

program would be implemented in ARI. 

The IOP was reviewed by and discussed 

with senior managers and supervisors to 

determine if the proposed system would 

meet ARI needs and workforce 

expectations. Following these internal 

reviews, final changes were made to the 

IOP and the associated FRN. 

G. Personnel Management Board 

ARI will create a Personnel 

Management Board (PMB) to oversee 

and monitor the fair, equitable, and 

consistent implementation of the 

provisions of the demonstration project 

to include establishment of internal 

controls and accountability. Members of 

the board will be senior ARI managers/ 

supervisors and independent 

contributors appointed by the ARI 

Director. As needed, ad hoc members 

(such as Human Resources 

representatives), will serve as advisory 

members to the board. 

Based on guidance and consistent 

interaction with the ARI Director, the 

board will execute the following: 

(1) Carry out the guidance and 

procedures in all aspects of the 

personnel demonstration program in 

accordance with the direction given by 

the ARI Director. 

(2) Determine the composition of the 

pay-for-performance pay pools in 

accordance with the guidelines of the 

IOP; 

(3) Review operation of pay pools and 

provide guidance to pay pool managers; 

(4) Oversee disputes in pay pool 

issues; 

(5) Formulate and execute the civilian 

pay budget; 

(6) Manage the awards pools; 

(7) Determine hiring and promotion 

base pay as well as exceptions to payfor-performance base pay increases; 

(8) Conduct classification review and 

oversight, monitoring, and adjusting 


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classification practices and deciding 

broad classification issues; 

(9) Approve major changes in position 

structure; 

(10) Address issues associated with 

multiple pay systems during the 

demonstration project; 

(11) Establish Standard Performance 

Elements and Benchmarks; 

(12) Assess the need for changes to 

demonstration project procedures and 

policies; 

(13) Review requests for Supervisory/ 

Team Leader Base Pay Adjustments and 

provide recommendations to the ARI 

Director; 

(14) Ensure in-house personnel 

budget discipline; 

(15) Develop policies and procedures 

for administering Developmental 

Opportunity Programs; 

(16) Ensure all employees are treated 

in a fair and equitable manner in 

accordance with all policies, 

regulations, and guidelines covering this 

demonstration project; and 

(17) Conduct a formative evaluation of 

the project. 

In executing these duties and 

responsibilities, the board will keep in 

close contact and consultation with the 

ARI Director to ensure policies and 

procedures are executed consistently 

across the organization and aligned with 

the Director’s guidance. 

H. Organizational Structure and Design 

To optimize the effectiveness and 

efficiency of ARI during the adoption of 

the new STRL personnel system, the 

ARI Director will review and realign the 

organization structure to best meet 

mission needs and requirements. 

Realignment may include removing 

limitations in terms of supervisory 

ratios consistent with section 342(b) of 

the NDAA for FY 1995 as amended by 

section 1109 of the NDAA for FY 2000, 

and the alignment and organization of 

the workforce required to accomplish 

the mission of the STRL consistent with 

10 U.S.C. 2358a. 

The ARI Director will manage 

workforce strength, structure, positions, 

and compensation without regard to any 

limitation on appointments, positions, 

or funding in a manner consistent with 

the budget available in accordance with 

10 U.S.C. 2358a. 

I. Funding Levels 

The Under Secretary of Defense 

(Personnel & Readiness), may, at his/her 

discretion, adjust the minimum funding 

levels to take into account factors such 

as the Department’s fiscal condition, 

guidance from the Office of 

Management and Budget, and equity in 

circumstances when funding is reduced 

or eliminated for GS pay raises or 

awards 

III. Personnel System Changes 

A. Pay Banding 

The design of the ARI pay banding 

system takes advantage of the many 

reviews performed by DA and DoD. The 

design has the benefit of being preceded 

by exhaustive studies of pay banding 

systems currently practiced in the 

Federal sector, to include those 

practiced by the Navy’s ‘‘China Lake’’ 

experiment and subsequent demo/STRL 

demonstration projects. In addition, the 

pay plans, occupational families, pay 

bands, and general schedule equivalent 

grade structures for all the existing DoD 

laboratories were reviewed. ARI’s pay 

banding system will replace the current 

GS structure. Currently, the fifteen 

grades of the GS are used to classify 

positions and, therefore, to set pay. The 

GS covers all white-collar work: 

Administrative, technical, clerical and 

professional. Changes in this rigid 

structure are required to allow 

flexibility in hiring, developing, 

retaining, and motivating the workforce. 

The pay banding structure adopted by 

ARI’s STRL is similar to the one 

employed by the U.S. Army Armament 

Research, Development, and 

Engineering Center as well as other DoD 

laboratories. 

1. Occupational Families 

Occupations with similar 

characteristics will be grouped together 

into one of three occupational families 

with pay band levels designed to 

facilitate pay progression. The naming 

structure and other occupational family 

features adopted for ARI’s STRL are 

consistent with other Army laboratories 

implementing a similar system. Each 

occupational family will be composed 

of pay bands corresponding to 

recognized advancement and career 

progression expected within the 

occupations. These pay bands will 

replace individual grades and will not 

be the same for each occupational 

family. Each occupational family will be 

divided into three to six pay bands with 

each pay band covering the same pay 

range now covered by one or more GS 

grades. Employees track into an 

occupational family based on their 

current series as provided in Appendix 

B. The upper and lower pay rate for base 

pay of each pay band is defined by the 

GS rate for the grade and step as 

indicated in Figure 1 except for Pay 

Band VI of the Engineering & Scientist 

(E&S) occupational family. Comparison 

to the GS grades was used in setting the 

upper and lower base pay dollar limits 

of the pay band levels. However, once 

employees are moved into the 

demonstration project, GS grades will 

no longer apply. The current 

occupations have been examined, and 

their characteristics and distribution 

have served as guidelines in the 

development of the following three 

occupational families: Engineering and 

Science (E&S), Business & Technical 

(B&T), and General Support (GEN). 

Engineering and Science (E&S) (Pay 

Plan DB): This occupational family 

includes technical professional 

positions, such as psychologist and 

statisticians. Additional occupational 

series may be added in the future. 

Specific course work or educational 

degrees are required for these 

occupations. Six pay bands have been 

established for the E&S occupational 

family: 

(1) Band I is a student trainee track 

covering GS–1, step 1 through GS–4, 

step 10. 

(2) Band II is a developmental track 

covering GS–5, step 1 through GS–11, 

step 10. 

(3) Band III is a full-performance 

technical track covering GS–12, step 1 

through GS–13, step 10. 

(4) Band IV includes senior technical/ 

team leader positions covering GS–14, 

step 1 through GS–14, step 10. 

(5) Band V includes supervisor/ 

manager/senior technical positions 

covering GS–15, step 1 through GS–15, 

step 10. 

(6) Band VI includes SSTM positions. 

The pay range is: Minimum base pay is 

120 percent of the minimum base pay of 

GS–15; maximum base pay is Level IV 

of the Executive Schedule (EX–IV); and 

maximum adjusted base pay is Level III 

of the Executive Schedule (EX–III). 

Business & Technical (B&T) (Pay Plan 

DE): This occupational family includes 

such positions as procurement 

specialists, finance, accounting, 

management analysis, computer 

specialists, and quality assurance 

specialists. Employees in these 

positions may or may not require 

specific course work or educational 

degrees. Five pay bands have been 

established for the B&T occupational 

family: 

(1) Band I is a student trainee track 

covering GS–1, step 1 through GS–4, 

step 10. 

(2) Band II is a developmental track 

covering GS–5, step 1 through GS–11, 

step 10. 

(3) Band III is a full performance track 

covering GS–12, step 1 through GS–13, 

step 10. 

(4) Band IV includes first-level 

supervisors and senior technical 


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personnel covering GS–14, step 1 

through GS–14, step 10. 

(5) Band V is a supervisor/manager 

track covering GS–15, step 1 through 

GS–15, step 10. 

General Support (GEN) (Pay Plan DK): 

This occupational family is composed of 

positions for which specific course work 

or educational degrees are not required. 

Clerical work usually involves the 

processing and maintaining of records. 

Assistant work requires knowledge of 

methods and procedures within a 

specific administrative area. This family 

includes such positions as secretaries, 

office automation clerks, and budget/ 

program/computer assistants. Three pay 

bands have been established for the 

GEN occupational family: 

(1) Band I includes entry-level 

positions covering GS–1, step 1 through 

GS–4, step 10. 

(2) Band II includes full-performance 

positions covering GS–5, step 1 through 

GS–8, step 10. 

(3) Band III includes senior 

technicians/assistants/secretaries 

covering GS–9 step 1 through GS–10, 

step 10. 

2. Pay Band Design 

The pay bands for the occupational 

families and how they relate to the 

current GS framework are shown in 

Figure 1. 

Employees will be converted into the 

occupational family and pay band that 

corresponds to their GS series and 

grade. Each employee converted to the 

demonstration project is assured, upon 

conversion, an initial place in the 

system without loss of pay. However, 

exceptional qualifications or other 

compelling reasons based on specific 

criteria may lead to a higher entrance 

base pay within a band, commensurate 

with the employee’s experience and 

qualifications. As the pay rates of the GS 

scale are increased due to the annual 

general pay increases, the upper and 

lower base pay rates of the pay bands 

will also increase. Since pay progression 

through the bands depends directly on 

performance, there will be no scheduled 

Within-Grade Increases (WGIs) or 

Quality Step Increases (QSIs) for 

employees once the pay banding system 

is in place. 

3. Pay Band VI 

The pay banding plan expands the 

pay banding concept used at ‘‘China 

Lake’’ and other laboratories by creating 

Pay Band VI for the E&S occupational 

family. The band is designed for SSTM 

as authorized in 10 U.S.C. 2358a and 

described in 79 FR 43722. Pay Band VI 

will apply exclusively to positions 

designated as SSTMs. 

The primary function of these 

positions is to engage in research and 

development in the physical, biological, 

medical, or engineering sciences, or 

another field closely related to the ARI 

mission and to carry out technical 

supervisory responsibilities. 

As a part of the initial implementation 

of the STRL, the Director will review 

organizational and mission 

requirements to determine appropriate 

use of available SSTM positions and, if 

appropriate, will establish SSTM 

positions consistent with long-term 

organizational plans and limitations set 

forth by Congress (e.g., number of SSTM 

positions based on percent of workforce 

requirements). The pay range for SSTM 

positions is as follows: Minimum base 

pay is 120 percent of the minimum base 

pay of GS–15, maximum rate of base 

pay is Level IV of the Executive 

Schedule (EX– IV), and maximum 

adjusted base pay is Level III of the 

Executive Schedule (EX– III). Adjusted 

base pay is base rate plus locality or 

supervisory pay differential as 

appropriate. 

After full implementation of the 

STRL, newly vacant SSTM positions 

will be filled competitively. Panels will 

be created to assist in the review of 

candidates for SSTM positions. Panel 

members typically will be SES 

members, ST employees, and, after full 

implementation, those employees 

designated as SSTMs. In addition, 

General Officers and recognized 

technical experts from outside ARI may 

serve, as appropriate. The panel will 

apply criteria developed largely from 

the OPM Research Grade Evaluation 

Guide for positions exceeding the GS– 

15 level and other OPM guidance 

related to positions exceeding the GS– 

15 level. The purpose of the panel is to 

ensure impartiality and a rigorous and 

demanding review. 

Consistent with 10 U.S.C. 2358a, the 

demonstration project will implement 

SSTM flexibilities described in 79 FR 

43722. 

B. Classification 

1. Occupational Series 

The present GS classification system 

has over 400 occupational series, which 

are divided into 23 occupational 

groupings. ARI currently has positions 

in fewer than 20 occupational series. All 

positions listed in Appendix B will be 

in the classification structure. 

Provisions will be made for including 

other occupations in response to 


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changing missions and agency 

requirements. 

2. Classification Standards and Position 

Descriptions 

If available, ARI will use a fully 

automated classification system 

modeled after the Navy’s ‘‘China Lake’’ 

and ARL’s automated systems. The 

Web-based automation tool is a fully 

integrated classification system that can 

create standardized, classified position 

descriptions under the new pay banding 

system. The present system of OPM 

classification standards will be used for 

the identification of proper series and 

occupational titles of positions within 

the demonstration project. Current OPM 

position classification standards, in 

some cases, will not be used to grade 

positions in this project. However, the 

grading criteria in those standards will 

be used as a framework to develop new 

and simplified standards for the 

purpose of pay band determinations. 

The objective is to record the essential 

criteria for each pay band within each 

occupational family by stating the 

characteristics of the work, the 

responsibilities of the position, and the 

competencies required. The 

classification standard for each pay 

band will serve as an important 

component to update existing position 

descriptions, which will include 

position-specific information, and 

provide data element information 

pertinent to the job. The computerassisted process will produce 

information necessary for position 

descriptions. The new descriptions will 

be easier to prepare, minimize the 

amount of writing time and make the 

position description a more useful and 

accurate tool for other personnel 

management functions. 

Specialty work codes (narrative 

descriptions) will be used to further 

differentiate types of work and the 

competencies required for particular 

positions within an occupational family 

and pay band. Each code represents a 

specialization or type of work within 

the occupation. 

3. Fair Labor Standards Act 

Fair Labor Standards Act (FLSA) 

exemption and non-exemption 

determinations will be consistent with 

criteria found in 5 CFR part 551. All 

employees are covered by the FLSA 

unless they meet the criteria for 

exemption. The duties and 

responsibilities outlined in the 

classification standards for each pay 

band will be compared to the FLSA 

criteria. As a general rule, the FLSA 

status can be matched to occupational 

family and pay band as indicated in 

Figure 2. For example, positions 

classified in Pay Band I of the E&S 

occupational family are typically 

nonexempt, meaning they are covered 

by the overtime entitlements prescribed 

by the FLSA. An exception to this 

guideline includes supervisors/ 

managers whose primary duties meet 

the definitions outlined in the OPM GS 

Supervisory Guide. Therefore, 

supervisors/managers in any of the pay 

bands who meet the foregoing criteria 

are exempt from the FLSA. The 

Director/manager/or supervisor with 

classification authority will make the 

determinations on a case-by-case basis 

by comparing assigned duties and 

responsibilities to the classification 

standards for each pay band and the 5 

CFR part 551 FLSA criteria. 

Additionally, the advice and assistance 

of the servicing Civilian Personnel 

Advisory Center (CPAC) will be 

obtained in making determinations. The 

benchmark position descriptions will 

not be the sole basis for the 

determination. Basis for exemption will 

be documented and attached to each 

position description. Exemption criteria 

will be narrowly construed and applied 

only to those employees who clearly 

meet the spirit of the exemption. 

Changes will be documented and 

provided to the CPAC. 


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4. Classification Authority 

The ARI Director will have 

classification authority and may, in 

turn, delegate this authority to 

appropriate levels. Any individual with 

delegated classification authority must 

complete required training. Position 

descriptions will be developed to assist 

in exercising delegated position 

classification authority. Those leaders 

with classification authority will 

identify the occupational family, job 

series, functional code, specialty work 

code, pay band level, and other critical 

information. Personnel specialists will 

provide ongoing consultation and 

guidance to managers and supervisors 

throughout the classification process. 

These decisions will be documented in 

the position description. 

5. Classification Appeals 

Classification appeals under this 

demonstration project will be processed 

using the following procedures:An 

employee may appeal the determination 

of occupational family, occupational 

series, position title, and pay band of 

his/her position at any time. An 

employee must formally raise the area of 

concern to supervisors in the immediate 

chain of command, either verbally or in 

writing. If the employee is not satisfied 

with the supervisory response, he/she 

may then appeal to the Personnel 

Management Board. A final appeal may 

be made to the DoD appellate level. 

Appeal decisions rendered by DoD will 

be final and binding on all 

administrative, certifying, payroll, 

disbursing, and accounting officials of 

the government. Classification appeals 

are not accepted on positions which 

exceed the equivalent of a GS–15 level. 

Time periods for cases processed under 

5 CFR part 511 apply. 

An employee may not appeal the 

accuracy of the position description, the 

demonstration project classification 

criteria, or the pay-setting criteria; the 

assignment of occupational series to the 

occupational family; the propriety of a 

pay schedule; or matters grievable under 

an administrative or negotiated 

grievance procedure, or an alternative 

dispute resolution procedure. 

The evaluations of classification 

appeals under this demonstration 

project are based upon the 

demonstration project classification 

criteria. Prior to forwarding appeals to 

the decision authority, the servicing 

human resources entity will provide a 

recommendation and ensure that the 

case file includes copies of appropriate 

demonstration project criteria. 

C. Pay for Performance 

1. Overview 

The purpose of the pay-forperformance system is to provide an 

effective, efficient, and flexible method 

for assessing, compensating, and 

managing the ARI workforce. It is 

essential for the development of a 

highly productive workforce and to 

provide management at the lowest 

practical level, the authority, control, 

and flexibility needed to achieve a 

quality organization and meet mission 

requirements. The pay-for-performance 

system allows for greater employee 

involvement in the assessment process, 

strives to increase communication 

between supervisor and employee, 

promotes a clear accountability of 

performance, facilitates employee career 

progression, and provides an 

understandable and rational basis for 

pay changes by linking pay and 

performance. 

The pay-for-performance system uses 

annual performance payouts based on 

the employee’s total performance score 

rather than within-grade increases, 

quality step increases, promotions from 

one grade to another where both grades 

are now in the same pay band (i.e., there 

are no within-band promotions), and 

performance awards. The standard 

rating period will be one year. The 

minimum rating period will be 120 

days. Pay-for-performance payouts can 

be in the form of increases to base pay, 

cash bonuses and time off awards; the 

bonuses are not added to base pay but, 

rather, are given as a lump sum bonus. 

Other awards, such as Special Acts, will 

be retained separately from the pay-forperformance payouts. 

The system will have the flexibility to 

be modified, if necessary, as more 

experience is gained under the project. 

2. Performance Objectives 

Performance objectives define a target 

level of activity, expressed as tangible, 

measurable objective statements against 

which actual achievement can be 

compared. These objectives will 

specifically identify what is expected of 

the employee during the rating period 

and will typically consist of three to ten 

results-oriented statements. Employees 

are encouraged to participate in 

developing their performance objectives 

with their supervisor at the beginning of 

the rating cycle. These are to be 

reflective of the employee’s duties/ 

responsibilities and pay band along 

with the mission/organizational goals 

and priorities. Objectives will be 

reviewed annually and revised upon 

changes in pay reflecting increased 

responsibilities commensurate with pay 

increases. Supervisors will make the 

final decision for approving their 

employee’s performance objective. Use 

of generic one-size-fits-all objectives 

will be avoided, as performance 

objectives are meant to define an 

individual’s specific responsibilities 

and expected accomplishments. While 

generic objectives will be avoided, 

objectives will be commensurate to the 

employees pay and employees at similar 

positions in the pay band are expected 

to have objectives of similar complexity, 

responsibility, and/or another defining 

characteristic. Thus, exemplar, baseline, 

objectives will be developed and 

provided to supervisors and employees 

to highlight appropriate performance 

requirements at various pay levels. 

These exemplars will be used to help 

define performance expectations 

commensurate to employee pay. 

In contrast, performance elements as 

described in the next paragraph will 

identify generic performance 

characteristics, against which the 

accomplishment of objectives will be 

measured. As a part of this 

demonstration project, training focused 

on overall organizational objectives and 

the development of performance 

objectives will be held for both 

supervisors and employees. 

Performance objectives may be jointly 

modified, changed, or deleted as 

appropriate during the rating cycle. 

However, additional objectives may not 

be added within the last 120 days of the 

rating cycle, given the minimum period 

of performance. Changes initiated by 

employees must be approved by their 

supervisor. As a general rule, 

performance objectives should only be 

changed when the employee 

successfully meets or exceeds the 

original objectives or circumstances 

outside the employee’s control prevent 

or hamper the accomplishment of the 

original objectives. It is also appropriate 

to change objectives when mission or 

workload shifts occur. Objectives will 

not be changed when an employee’s 

lack of performance prevents or hinders 

successful performance. 

3. Performance Elements 

Performance elements define generic 

performance characteristics that will be 

used to evaluate the employee’s success 

in accomplishing his/her performance 

objectives. The use of generic 

characteristics for scoring purposes 

helps to ensure comparable scores are 

assigned while accommodating diverse 

individual objectives. This pay-forperformance system will utilize those 

performance elements provided in 

Appendix C; as adapted from the system 


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of performance elements implemented 

at other DoD Labs designated as STRLs. 

All elements are critical. A critical 

performance element is defined as an 

attribute of job performance that is of 

sufficient importance that performance 

below the minimally acceptable level 

requires remedial action and may be the 

basis for removing an employee from 

his/her position. Non-critical elements 

will not be used. Each of the 

performance elements will be assigned 

a weight, which reflects its importance 

in accomplishing an individual’s 

performance objectives. A minimum 

weight (expressed as a percentage) is set 

for each performance element. The sum 

of the weights for all of the elements 

must equal 100. 

A single set of performance elements 

will be used for evaluating the annual 

performance of all ARI personnel 

covered by this plan. This set of 

performance elements may evolve over 

time, based on experience gained during 

each rating cycle. This evolution is 

essential to capture the critical 

competencies that enable the workforce 

to meet individual and organizational 

performance objectives. The evolving 

nature of performance elements may be 

particularly necessary in an 

environment where mission 

requirements, technology, and work 

processes are changing at an 

increasingly rapid pace. Thus, the ARI 

Personnel Management Board will 

annually review the set of performance 

elements and set them for the entire 

organization before the beginning of the 

rating period. The following is an initial 

set of performance elements: 

(1) Technical Rigor 

(2) Interpersonal Effectiveness 

(3) Managing Time and Other 

Resources 

(4) Driving Organizational Success 

(5) Team Leadership 

(6) Supervision/Leadership, and 

Equal Employment Opportunity 

(EEO). 

All employees will be rated against 

the first four (Core) performance 

elements. Team Leadership is 

mandatory for team leaders (within this 

document ‘‘team leader’’ refers to nonsupervisory team leaders as determined 

by the OPM GS Leader Grade Evaluation 

Guide). 

Supervision/Leadership, and Equal 

Employment Opportunity is mandatory 

for all managers/supervisors. At the 

beginning of the rating period, pay pool 

managers will review the objectives and 

weights assigned to employees within 

the pay pool, to verify consistency and 

appropriateness across the organization. 

4. Performance Feedback and Formal 

Ratings 

The most effective means of 

communicating job requirements, 

performance goals, and desired results 

is person-to-person discussion between 

supervisors and employees. Employees 

and supervisors alike are expected to 

actively participate in these discussions 

to clarify expectations and identify 

potential obstacles to meeting 

performance goals. To the extent 

possible, employees should describe 

what they need from their supervisors to 

support goal accomplishment. The 

timing of performance feedback and 

discussions will vary based on the 

nature of work performed, but at a 

minimum will occur formally at the 

beginning, mid-point, and end of the 

rating period. If employees are unsure of 

their performance goals or quality at any 

time, they are encouraged to initiate 

discussions with their supervisor. In 

addition, supervisors will initiate 

discussions at the earliest possible sign 

of unacceptable performance or as 

needed to maintain successful 

performance. The supervisor and 

employee will discuss job performance 

and accomplishments in relation to the 

performance objectives and performance 

elements. At least two reviews, 

normally the mid-point review and 

annual review, will be documented as a 

formal progress review. More frequent 

informal task-specific discussions may 

be appropriate in certain circumstances. 

In cases where work is accomplished by 

a team, team discussions regarding goals 

and expectations may also be conducted 

as appropriate. 

Employees will be requested to 

provide a summary of their 

accomplishments to their supervisor to 

highlight their most important 

performance outcomes, at both the midpoint and at the end of the rating period. 

Space limitations may be imposed in 

the performance management system to 

limit the length of the employee’s selfsummary of their accomplishments. The 

goal of employee self-reports is to 

highlight significant employee 

accomplishments rather than to describe 

job processes at a granular level of 

detail. 

At the end of the rating period and 

following a review of the employee’s 

accomplishments, the supervisor will 

rate each performance element by 

assigning a score between 0 and 50. 

Supervisors will use benchmark 

performance standards that describe the 

level of performance associated with a 

score. Benchmark standards ensure the 

employee’s performance is accurately 

captured and ensures different 

supervisors apply a similar rating 

standard and scoring approach to their 

employees during the rating process. 

During the rating and point assignment 

process, the supervisor reflects on the 

specific objectives for each employee 

and rates the individual on each 

performance element using specific 

descriptors of performance related to the 

benchmark performance criteria. It 

should be noted these scores are not 

discussed with the employee or 

considered final until scores for all 

employees are reconciled and approved 

by the Pay Pool Manager. The element 

scores will then be multiplied by the 

element-weighting factor to determine 

the weighted score expressed to two 

decimal points. The weighted scores for 

each element will then be totaled to 

determine the employee’s overall 

appraisal score and rounded to a whole 

number as follows: If the digit to the 

right of the decimal is between five and 

nine, it should be rounded to the next 

higher whole number; if the digit to the 

right of the decimal is between one and 

four, it should be dropped. 

For each performance element, a total, 

unweighted score of 10 or above will 

result in a rating of acceptable. A total, 

unweighted score of 9 or below, or an 

unweighted score of 9 or below in a 

single performance element, will result 

in a rating of unacceptable. An 

unacceptable rating requires action to be 

taken by management to address 

deficient performance in accordance 

with Section 5 below. 

5. Unacceptable Performance 

Formal corrective action, to include 

placing an employee on a PIP, may be 

taken at any time during the rating cycle 

and must be taken following an 

unacceptable rating. Whenever a 

supervisor recognizes an employee’s 

performance on one or more 

performance elements is unacceptable, 

the supervisor will immediately inform 

the employee. Efforts will be made to 

identify the possible reasons for the 

unacceptable performance. An 

employee who is on a PIP is not eligible 

to receive the general pay increase. 

If an employee performs at an 

unacceptable level or has received an 

unacceptable rating, and the supervisor 

chooses to initiate a PIP, the following 

steps will be followed. The supervisor 

will identify the items/actions that need 

to be corrected or improved, outline 

required time frames (generally 30 days) 

for such improvement, and provide the 

employee with available assistance as 

appropriate. Progress will be monitored 

during the PIP, and all counseling/ 

feedback sessions will be documented. 


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If the employee’s performance is 

acceptable at the conclusion of the PIP, 

no further action is necessary. If a PIP 

ends prior to the end of the annual 

performance cycle and the employee’s 

performance improves to, and remains 

at, an acceptable level, the employee is 

appraised at the end of the annual 

performance cycle. If the employee’s 

performance deteriorates to an 

unacceptable level in any element 

within two years from the beginning of 

a PIP, follow-on actions may be initiated 

with no additional opportunity to 

improve. If an employee’s performance 

is at an acceptable level for two years 

from the beginning of the PIP, and 

performance once again declines to an 

unacceptable level, the employee will 

be given an additional opportunity to 

improve before management proposes 

follow-on actions. 

If the employee fails to improve at the 

conclusion of the PIP, the employee will 

be given notice of proposed appropriate 

action. This action can include removal 

from the Federal service, placement in 

a lower pay band or grade level with a 

corresponding reduction in pay 

(demotion), reduction in pay within the 

same pay band, or change in position or 

occupational family. In many situations, 

employees with an unacceptable rating 

will not be permitted to remain at their 

current pay and may be reduced in pay 

band. 

Reductions in base pay within the 

same pay band or changes to a lower 

pay band will be accomplished with a 

minimum of a five-percent decrease in 

an employee’s base pay. 

Note: Nothing in this subsection will 

preclude action under 5 U.S.C. chapter 75 

[Adverse Actions], when appropriate. 

All relevant documentation 

concerning a reduction in pay or 

removal based on unacceptable 

performance will be preserved and 

made available for review by the 

affected employee or a designated 

representative. At a minimum, the 

record will consist of a copy of the 

notice of proposed personnel action, the 

employee’s written reply, if provided, or 

a summary when the employee makes 

an oral reply. Additionally, the record 

will contain the written notice of 

decision and the reasons therefore along 

with any supporting material (including 

documentation regarding the 

opportunity afforded the employee to 

demonstrate improved performance). 

6. Reconciliation Process 

Following the initial scoring of each 

employee by the supervisor, a panel of 

rating officials and supervisors will 

meet in a structured review and 

reconciliation process panel managed 

by the Pay Pool Manager. In this step, 

each employee’s performance 

objectives, accomplishments, 

preliminary scores, and pay are 

compared. Through discussion and 

consensus building, consistent and 

equitable ratings are reached. There will 

not be a prescribed distribution of total 

scores. The Pay Pool Manager will chair 

a final review with the rating officials/ 

supervisors to validate these ratings and 

resolve any remaining scoring issues. If 

consensus on scoring cannot be reached 

for one or more employees in this 

process, the Pay Pool Manager makes all 

final decisions. IOPs will provide 

details on this process to employees and 

supervisors. 

Given the unique organizational 

structure of ARI, the reconciliation 

process of employees who report 

directly to the ARI Director may be 

different from the procedures described 

above. In those cases, the ARI Director 

will review and resolve all ratings as 

pay pool manager for those direct 

reports. Should the organization’s 

structure change to allow for a pay pool 

process comparable to the one 

previously described, the procedures for 

the ARI Director’s direct reports are 

likely to change to incorporate pay pool 

panel participation and reconciliation. 

After the reconciliation process is 

complete, scores are finalized. Payouts 

proceed according to each employee’s 

final score and adjusted base pay. 

Information pertaining to the 

reconciliation process will be made 

available to all employees. 

7. Pay Pools 

ARI will have one or more pay pools, 

and each ARI employee will be placed 

into one of these pools. Pay pools are 

combinations of organizational elements 

that are defined for the purpose of 

determining performance payouts under 

the pay-for-performance system. The 

next paragraph provides the guidelines 

for determining pay pools. These 

guidelines will normally be followed, 

but deviations may occur if there is a 

compelling need. The rationale for any 

deviations will be documented in 

writing, and final procedures will be 

published prior to start of the rating 

period. 

The ARI Director will establish pay 

pools. A pay pool should be large 

enough to encompass a reasonable 

distribution of ratings but not so large as 

to compromise rating consistency. 

Supervisory personnel will be placed in 

a pay pool separate from subordinate 

non-supervisory personnel. Neither the 

Pay Pool Manager nor supervisors 

within a pay pool will recommend or 

set their own individual pay. Decisions 

regarding the amount of the 

performance payout are based on the 

established formal payout calculations. 

Funds within a pay pool available for 

performance payouts are calculated 

from anticipated pay increases under 

the existing system and divided into 

two components, base pay and bonus. 

The funds within a pay pool used for 

base pay increases are those that would 

have been available from within-grade 

increases, quality step increases, and 

promotions. This amount will be 

defined based on historical data and 

will be set at no less than two percent 

of total adjusted base pay annually. The 

funds available to be used for bonus 

payouts are funded separately within 

the constraints of the organization’s 

overall award budget. This amount will 

be defined based on historical data and 

at no less than one percent of total 

adjusted base pay annually. The pay 

pool funding percentages are the same 

for all pay pools. The sum of these two 

factors is referred to as the pay pool 

percentage factor. 

The ARI Personnel Management 

Board will annually review the pay pool 

funding and recommend adjustments to 

the ARI Director to ensure cost 

discipline over the life of the 

demonstration project. The ARI Director 

makes the final decision on pay pool 

funding. 

8. Performance Payout Determination 

The performance payout an employee 

will receive is based on the total 

performance score from the pay for 

performance assessment process. An 

employee will receive a performance 

payout as a percentage of adjusted base 

pay. This percentage is based on the 

number of shares that equates to an 

employee’s final appraisal score. Shares 

will be awarded on a continuum as 

follows: 


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Fractional shares will be awarded for 

scores that fall between these scores. For 

example, a score of 38 will equate to 1.8 

shares, and a score of 44 will equate to 

2.4 shares. 

The value of a share cannot be exactly 

determined until the rating and 

reconciliation process is completed and 

scores for all employees are finalized. 

The share value is expressed as a 

percentage. The formula that computes 

the value of each share uses base pay 

rates and is based on (1) the sum of the 

base pay of all employees in the pay 

pool times the pay pool percentage 

factor, (2) the employee’s base pay, (3) 

the number of shares awarded to each 

employee in the pay pool, and (4) the 

total number of shares awarded in the 

pay pool. This formula assures that each 

employee within the pool receives a 

share amount equal to other employees 

in the same pool who are at the same 

rate of base pay and receive the same 

score. The formula is shown in Figure 

3. 

An individual payout is calculated by 

first multiplying the shares earned by 

the share value and multiplying that 

product by base pay. An adjustment is 

then made to account for locality pay. 

A pay pool manager is accountable for 

staying within pay pool limits. The pay 

pool manager makes the final decision 

on base pay increases and/or bonuses to 

individuals based on rater 

recommendation, the final score, the 

pay pool funds available, and the 

employee’s pay. 

9. Base Pay Increases and Bonuses 

The amount of money available for 

performance payouts is divided into two 

components: Base pay increases and 

bonuses. The base pay and bonus funds 

are based on the pay pool funding 

formula established annually. Once the 

individual performance amounts have 

been determined, the next step is to 

determine what portion of each payout 

will be in the form of a base pay 

increase as opposed to a bonus 

payment. The payouts made to 

employees from the pay pool may be a 

mix of base pay and bonus as 

determined by the rules set forth in this 

FRN and IOPs, such that all the 

allocated funds are disbursed. To 

provide performance incentives while 

ensuring cost discipline, base pay 

increases may be limited or capped. 

Certain employees will not be able to 

receive the projected base pay increase 

due to base pay caps. Base pay is 

capped when an employee reaches the 

maximum rate of base pay in an 

assigned pay band, when the mid-point 

rule applies (see below), when the 

Significant Accomplishment/ 

Contribution rule applies (see below), or 

otherwise subject to other salary control 

point established by the STRL Director. 

Prior to implementing, modifying, or 

terminating any new control point, 

appropriate notice will be provided to 

the workforce. Also, for employees 

receiving retained rates above the 

applicable pay band maximum, the 

entire performance payout will be in the 

form of a bonus payment. 

When capped, the payout an 

employee receives will be in the form of 

a bonus versus the combination of base 

pay and bonus. Bonuses are cash 

payments and are not part of the base 

pay for any purpose (e.g., lump sum 

payments of annual leave on separation, 

life insurance, and retirement). The 

maximum base pay rate under this 

personnel demonstration project will be 

the unadjusted base pay rate of GS–15/ 

step 10, except for employees in Pay 

Band VI of the E&S occupational family. 

Based on pay pool operating 

procedures and business rules, the 

organization may re-allocate a portion 

(up to the maximum possible amount) 

of the unexpended base pay funds. This 

re-allocation will be determined by the 

Pay Pool Manager. Any dollar increase 

in an employee’s projected base pay 

increase will be offset, dollar for dollar, 

by an accompanying reduction in the 

employee’s projected bonus payment. 

Thus, the employee’s total performance 

payout is unchanged. This re-allocation 

could be required for a number of 

reasons to include the use of reallocation of to reduce extreme pay-forperformance gaps. 


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In addition, the pay pool manager 

may request approval from the PMB for 

use of an Extraordinary Achievement 

Recognition. Such recognition grants a 

base pay increase and/or bonus to an 

employee that is higher than the one 

generated by the compensation formula 

for that employee. The funds available 

for an Extraordinary Achievement 

Recognition are separately funded 

within the constraints of the 

organization’s budget. Extraordinary 

Achievement Recognition, if warranted, 

will be determined by the Review and 

Reconciliation Panel, and the pay pool 

manager will provide the request to the 

PMB who will make the final decision 

based on the merits and funds available. 

10. Mid-Point Rule 

To provide added performance 

incentives as an employee progresses 

through a pay band, a mid-point rule 

will be used to determine base pay 

increases. The mid-point rule dictates 

that any employee must receive a score 

of 30 or higher for his/her base pay to 

cross the mid-point of the base pay 

range for his/her pay band. Also, once 

an employee’s base pay exceeds the 

mid-point, the employee must receive a 

score of 30 or higher to receive any 

additional base pay increases. Any 

amount of an employee’s performance 

payout, not paid in the form of a base 

pay increase because of the mid-point 

rule, will be paid as a bonus. This rule 

effectively raises the standard of 

performance expected of an employee 

once the mid-point of a band is crossed. 

This applies to all employees in every 

occupational family and pay band. The 

performance rating of 30 is set as an 

initial value and may be changed by the 

PMB, as necessary, with a goal of 

continuously increasing employee and 

organizational performance. 

11. Significant Accomplishment/ 

Contribution Rule 

The purpose of this rule is to maintain 

cost discipline while ensuring that 

employee payouts are in consonance 

with accomplishments and levels of 

responsibility. The rule will apply only 

to employees in E&S Pay Band III whose 

base pay would fall within the top 15 

percent of the band. For employees 

meeting these criteria, the following 

provisions will apply: 

(1) If an employee’s score falls in the 

top third of scores received in his/her 

pay pool, he/she will receive the full 

allowable base pay increase portion of 

the performance payout. The balance of 

the payout will be paid as a lump sum 

bonus. 

(2) If an employee’s score falls in the 

middle third of scores received in his/ 

her pay pool, the base pay increase 

portion will not exceed one percent of 

base pay. The balance of the payout will 

be paid as a lump sum bonus. 

(3) If an employee’s appraisal score 

falls in the bottom third of scores 

received in his/her pay pool, the full 

payout will be paid as a lump sum 

bonus. 

12. Awards 

In addition to the annual performance 

evaluation and payout process, the ARI 

Director may recognize outstanding 

individual or group achievements as 

they occur. Awards may include, but are 

not limited to, honorary, special act or 

on-the-spot monetary awards, and timeoff awards. The ARI Director may redelegate this authority. The ARI Director 

will have the authority to grant special 

act awards to covered employees of up 

to $10,000 IAW the criteria of AR 672– 

20, Incentive Awards. The funds 

available to be used for traditional 5 

U.S.C. awards are separately funded 

within the constraints of the 

organization’s budget. 

13. General Pay Increase—Limitations 

for Unacceptable Performance 

Employees on a PIP at the time pay 

determinations are made do not receive 

performance payouts or the annual 

general pay increase. An employee who 

receives an unacceptable rating of 

record will not receive any portion of 

the general pay increase until such time 

as his/her performance improves to the 

acceptable level and remains acceptable 

for at least 90 days. When the employee 

has performed acceptably for at least 90 

days, the general pay increase will not 

be retroactive but will be granted at the 

beginning of the next pay period after 

the supervisor authorizes its payment. 

These actions may result in a base pay 

that is identified in a lower pay band. 

This occurs because the minimum rate 

of base pay in a pay band increases as 

the result of the general pay increase (5 

U.S.C. 5303). This situation (a reduction 

in band level with no reduction in pay) 

will not be considered an adverse 

action, nor will band retention 

provisions apply. 

14. Retention Counteroffers 

The Director, working with the PMB, 

may offer a retention counteroffer to 

retain high performing employees with 

critical scientific or technical skills who 

present evidence of an alternative 

employment opportunity with higher 

compensation. Such employees may be 

provided increased base pay (up to the 

ceiling of the pay band) and/or a onetime cash payment that does not exceed 

50 percent of one year of base pay. 

Further details will be published in the 

IOP. This flexibility addresses the 

expected benefits described in 

paragraph II. C, particularly ‘‘increased 

retention of high-quality employees.’’ 

Retention allowances, either in the form 

of a base pay increase and/or a bonus, 

count toward the Executive Level I 

aggregate limitation on pay consistent 

with 5 U.S.C. 5307 and 5 CFR part 530, 

subpart B. Further details will be 

published in the IOP. 

15. Grievances 

An employee may grieve the 

performance rating/score received under 

the pay-for-performance system through 

the administrative grievance procedure. 

Bargaining unit employees may not file 

a negotiated grievance disputing their 

rating/score unless the applicable 

collective bargaining agreement permits 

it. 

16. Adverse Actions 

Except where specifically waived or 

modified in this plan, adverse action 

procedures under 5 CFR part 752 

remain unchanged. 

D. Hiring Authority 

1. Qualifications 

A candidate’s basic eligibility will be 

determined using OPM’s Qualification 

Standards Handbook for General 

Schedule Positions. Candidates must 

meet the minimum standards for entry 

into the pay band. For example, if the 

pay band includes positions in grades 

GS–5 and GS–7, the candidate must 

meet the qualifications for positions at 

the GS–5 level. Specific experience/ 

education requirements will be 

determined based on whether a position 

to be filled is at the lower or higher end 

of the band. Selective placement factors 

can be established in accordance with 

the OPM Qualification Handbook, when 

judged to be critical to successful job 

performance. These factors will be 

communicated to all candidates for 

particular position vacancies and must 

be met for basic eligibility. 

Restructuring the examining process 

and providing an authority to appoint 

candidates meeting distinguished 

scholastic achievements will allow the 

laboratory to compete more effectively 

for high quality personnel and 

strengthen the manager’s role in 

personnel management as well as the 

goals of the demonstration project. 

2. Delegated Examining 

Competitive service positions will be 

filled through Merit Staffing, and 

through direct-hire authority or under 

Delegated Examining. Section 1108 of 

the NDAA for FY 2009, as amended by 


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section 1103 of the NDAA for FY 2012, 

provides for delegation of direct-hire 

authority for qualified candidates with 

an advanced degree to scientific and 

engineering positions within STRL 

laboratories designated under section 

1105 of NDAA FY2010. Direct-hire 

authority will be exercised in 

accordance with the requirements of the 

delegation of authority. 

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 may occur when the 

number of qualified candidates exceeds 

15 or there is a mix of preference and 

non-preference applicants. Category 

rating may be used to provide for a more 

streamlined and responsive hiring 

system to increase the number of 

eligible candidates referred to selecting 

officials. This provides for the grouping 

of eligible candidates into quality 

categories and the elimination of 

consideration according to the ‘‘rule of 

three.’’ This includes the coordination 

of recruitment and public notices, the 

administration of the examining 

process, the administration of veterans’ 

preference, the certification of 

candidates, and selection and 

appointment consistent with merit 

principles. Specific procedures used for 

competitive examining authority will be 

detailed in the IOP. 

Statutes and regulations covering 

veterans’ preference will be observed in 

the selection process when rating and 

ranking are required. Veterans with 

preference will be referred ahead of 

non-veterans with the same score/ 

category. 

3. Direct Hire 

ARI will use the direct-hire 

authorities authorized by section 1108 

of the NDAA for FY 2009, as amended 

by section 1103 of the NDAA for FY 

2012, the direct hire authorities 

published in 79 FR 43722, and the 

direct hire authorities in 10 U.S.C. 

2358a, as appropriate, to appoint the 

following: 

(1) Candidates with advanced degrees 

to scientific and engineering positions; 

(2) Candidates with bachelor’s degrees 

to scientific and engineering positions; 

(3) Veteran candidates to scientific, 

technical, engineering, and mathematics 

positions (STEM), including 

technicians; and 

(4) Student candidates enrolled in a 

program of instruction leading to a 

bachelors or advanced degree in a STEM 

discipline. 

In addition, other Direct Hire 

authorities, documented in FRNs and 

available to all DoD STRL laboratories, 

may be utilized, as appropriate. 

4. Legal Authority 

For actions taken under the auspices 

of the demonstration project, the first 

legal authority code (LAC)/legal 

authority Z2U/Public Law 103–337 will 

be used. The second LAC/legal 

authority may identify the authority 

utilized (e.g., Direct Hires). For all other 

actions, the nature of action codes and 

legal authority codes prescribed by 

OPM, DoD, or DA will continue to be 

used. 

5. Revisions to Term Appointments 

ARI will continue to have career and 

career-conditional appointments and 

temporary appointments not to exceed 

one year. These appointments will use 

existing authorities and entitlements. 

Under the demonstration project, ARI 

will have the added authority to hire 

individuals under a modified term 

appointment, and the Flexible Length 

and Renewable Term Technical 

Appointments authorized by section 

1109(b)(1) of the NDAA for FY 2016, as 

amended by section 1106 of the NDAA 

for FY 2019, and published in 82 FR 

43339. 

Employees hired under the modified 

term appointment authority are in a 

non-permanent status in the competitive 

service for up to five years. The ARI 

Director is authorized to extend a 

modified term appointment for up to 

one additional year. Employees on 

modified term appointments may be 

eligible for conversion to career 

conditional appointments. To be 

converted, the employee must (1) have 

been selected for the term position 

under competitive procedures, with the 

announcement specifically stating that 

the individual(s) selected for the term 

position may be eligible for conversion 

to a career-conditional appointment at a 

later date; (2) have served two years of 

continuous service in the term position; 

(3) be selected under merit promotion 

procedures for the permanent position; 

and (4) be performing at the acceptable 

level of performance with a current 

score of 30 or greater. 

The Flexible Length and Renewable 

Term Technical Appointment authority 

will allow ARI to appoint qualified 

candidates who are not currently DoD 

civilian employees, or who are DoD 

civilian employees in term 

appointments, into any scientific, 

technical, engineering, and mathematic 

positions, including technicians, for a 

period of more than one year but not 

more than six years. The appointment of 

any individual under this authority may 

be extended without limit in up to six 

year increments at any time during any 

term of service under conditions set 

forth by the ARI Director. These 

appointments will allow ARI to 

dynamically shape the workforce to 

respond to mission requirements. 

Consistent with section 1109(b)1) of the 

NDAA for FY 2016, as amended, 

employees hired under this provision 

will be counted as fractional employees 

of the laboratory for the purpose of 

determining workforce size of the 

laboratory. All waivers published in 82 

FR 43339 apply to this demonstration 

project. 

Employees appointed under Flexible 

Length and Renewable Term Technical 

Appointments may be eligible for 

noncompetitive conversion to a 

permanent appointment if the job 

announcement clearly states the 

possibility of being made permanent, in 

addition to any other provision in the 

STRL’s modified term appointment 

authority. Unless otherwise eligible for 

a noncompetitive hiring authority, 

positions filled under this authority 

must be competed. Job opportunity 

announcements must clearly identify 

the type of appointment and the 

expected duration of initial 

appointment (up to six years). 

Appointees will also be afforded the 

opportunity to apply for vacancies that 

are otherwise limited to ‘‘status’’ 

candidates as described in 82 FR 43339. 

Employees serving under term 

appointments will be covered by the 

plan’s pay-for-performance system. 

6. Extended Probationary or Trial Period 

The current two-year probationary 

period (Pub. L. 114–92) for DoD 

employees will be extended to three 

years for all newly hired permanent 

career-conditional employees. Trial 

periods for term appointments will also 

be extended to three years. The purpose 

of extending the probationary period is 

to allow supervisors an adequate period 

of time to fully evaluate an employee’s 

ability to complete cycles of work and 

to fully assess an employee’s 

contribution and conduct. The threeyear probationary period will apply 

only to new hires subject to a 

probationary period. 

Aside from extending the time period 

for probationary or trial periods, all 

other features of the current 

probationary and trial period are 

retained including the potential to 

remove an employee without providing 

the full substantive and procedural 

rights afforded a non-probationary 

employee. Any employee appointed 

prior to the implementation date will 

not be affected. 


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7. Termination of Probationary 

Employees 

Probationary employees may be 

terminated when they fail to 

demonstrate proper conduct, technical 

competency, and/or acceptable 

performance for continued employment, 

and for conditions arising before 

employment. When a supervisor 

decides to terminate an employee 

during the probationary period because 

his/her work performance or conduct is 

unacceptable, the supervisor will 

terminate the employee’s services by 

written notification stating the reasons 

for termination and the effective date of 

the action. The information in the notice 

will, at a minimum, consist of the 

supervisor’s conclusions as to the 

inadequacies of the employee’s 

performance or conduct, or those 

conditions arising before employment 

that support the termination. 

8. Supervisory Probationary Periods 

Supervisory probationary periods will 

be consistent with 5 CFR part 315, 

subpart I. Existing Federal employees 

who are competitively selected or 

reassigned to a supervisory position will 

be required to complete a two-year 

supervisory probationary period for 

initial appointment to a supervisory 

position. Newly appointed supervisors, 

new to Federal service, must complete 

the probationary periods in accordance 

with section III.D.6 of this FRN for 

Extended Probationary Periods. 

Consistent with 5 U.S.C. 3321, if, during 

this supervisory probationary period, 

the decision is made to return the 

employee to a non-supervisory position 

for reasons related to supervisory 

performance, the employee will be 

returned to a position comparable in 

pay and job duties to the position from 

which they were originally promoted or 

reassigned. A return to a nonsupervisory position will result in a 

return to the employees’ salary 

immediately prior to the appointment to 

a supervisory position, plus any 

increases that would have been afforded 

to the employee if the employee had 

remained in the position. 

Supervisors hired, new to the 

Government, who have not 

demonstrated successful performance in 

a lower position at ARI and who do not 

successfully complete their 

probationary period may be terminated 

when they fail to demonstrate proper 

conduct, technical competency, and/or 

acceptable performance for continued 

employment, and for conditions arising 

before employment. As with nonsupervisors and consistent with 5 U.S.C. 

3321, a supervisor who is not 

performing at an acceptable level may 

be moved to another position in a 

different pay band. Such a move would 

result in a reduction of pay of no less 

than 6 percent or to the top of the lower 

pay band, whichever reduction is 

greater. 

The ARI Director may place the 

supervisor on a PIP at any time during 

the supervisory probationary period to 

help improve performance to a 

successful level. 

9. Volunteer Emeritus Program (VEP) 

The ARI Director will have the 

authority to offer former Federal 

employees who have retired or 

separated from the Federal service, 

voluntary assignments in ARI. VEP 

assignments are not considered 

‘‘employment’’ by the Federal 

government. Thus, such assignments do 

not affect an employee’s entitlement to 

buyouts or severance payments based 

on an earlier separation from Federal 

service. The VEP will ensure continued 

quality research while reducing the 

overall salary line by allowing higher 

paid individuals to accept retirement 

incentives with the opportunity to 

retain a presence in the scientific 

community. The program will be of 

most benefit during manpower 

reductions as senior employees could 

accept retirement and return to provide 

valuable on-the-job training or 

mentoring to less experienced 

employees. Volunteer service will not 

be used to replace any employee, or 

interfere with career opportunities of 

employees. The VEP may not be used to 

replace or substitute for work performed 

by civilian employees occupying regular 

positions required to perform the ARI’s 

mission. 

To be accepted into the VEP, a 

candidate must be recommended by an 

ARI manager to the ARI Director. 

Everyone who applies is not entitled to 

participate in the program. The Director 

will document the decision process for 

each candidate and retain selection and 

non-selection documentation for the 

duration of the assignment or two years, 

whichever is longer. 

To ensure success and encourage 

participation, the volunteer’s federal 

retirement pay (whether military or 

civilian) will not be affected while 

serving in a volunteer capacity. Retired 

or separated federal employees may 

accept an emeritus position without a 

break or mandatory waiting period. 

Volunteers will not be permitted to 

monitor contracts on behalf of the 

government or to participate on any 

contracts or solicitations where a 

conflict of interest exists. The same 

rules that currently apply to source 

selection members will apply to 

volunteers. 

An agreement will be established 

between the volunteer and the ARI 

Director. The agreement will be 

reviewed by the servicing legal office. 

The agreement must be finalized before 

the assumption of duties and will 

include: 

(1) A statement that the service 

provided is gratuitous, that the 

volunteer assignment does not 

constitute an appointment in the civil 

service and is without compensation or 

other benefits except as provided for in 

the agreement itself, and that, except as 

provided in the agreement regarding 

work-related injury compensation, any 

and all claims against the Government 

(stemming from or in connection with 

the volunteer assignment) are waived by 

the volunteer; 

(2) a statement that the volunteer will 

be considered a federal employee for the 

purpose of: 

(a) 18 U.S.C. 201, 203, 205, 207, 208, 

209, 603, 606, 607, 643, 654, 1905, and 

1913; 

(b) 31 U.S.C. 1343, 1344, and 1349(b); 

(c) 5 U.S.C. chapters 73 and 81; 

(d) The Ethics in Government Act of 

1978; 

(e) 41 U.S.C. chapter 21; 

(f) 28 U.S.C. chapter 171 (tort claims 

procedure), and any other Federal tort 

liability statute; 

(g) 5 U.S.C. 552a (records maintained 

on individuals); and 

(3) The volunteer’s work schedule; 

(4) The length of agreement (defined 

by length of project or time defined by 

weeks, months, or years); 

(5) The support to be provided by ARI 

(travel, administrative, office space, 

supplies); 

(6) The volunteer’s duties; 

(7) A provision that states no 

additional time will be added to a 

volunteer’s service credit for such 

purposes as retirement, severance pay, 

and leave as a result of being a 

participant in the VEP; 

(8) A provision allowing either party 

to void the agreement with 10 working 

days written notice; 

(9) The level of security access 

required (any security clearance 

required by the assignment will be 

managed by ARI while the volunteer is 

a participant in the VEP); 

(10) A provision that any written 

products prepared for publication that 

are related to VEP participation will be 

submitted to the ARI Director for review 

and must be approved prior to 

publication; 

(11) A statement that the volunteer 

accepts accountability for loss or 

damage to Government property 


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occasioned by the volunteer’s 

negligence or willful action; 

(12) A statement that the volunteer’s 

activities on the premises will conform 

to the ARI’s regulations and 

requirements; 

(13) A statement that the volunteer 

will not improperly use or disclose any 

non-public information, to include any 

pre-decisional or draft deliberative 

information related to DoD 

programming, budgeting, resourcing, 

acquisition, procurement or other 

matter, for the benefit or advantage of 

the VEP participant or any non-Federal 

entities. VEP participants will handle all 

non-public information in a manner that 

reduces the possibility of improper 

disclosure. 

(14) A statement that the volunteer 

agrees to disclose any inventions made 

in the course of work performed at ARI. 

The ARI Director will have the option 

to obtain title to any such invention on 

behalf of the U.S. Government. Should 

the Director elect not to take title, the 

laboratory will retain a non-exclusive, 

irrevocable, paid up, royalty-free license 

to practice or have practiced the 

invention worldwide on behalf of the 

U.S. Government. 

(15) A statement that the VEP 

participant must complete either a 

Confidential or Public Financial 

Disclosure Report, whichever applies, 

and ethics training in accordance with 

office of Government Ethics regulations 

prior to implementation of the 

agreement; and 

(16) A statement that the VEP 

participant must receive postgovernment employment advice from a 

DoD ethics counselor at the conclusion 

of program participation. VEP 

participants are deemed Federal 

employees for purposes of postgovernment employment restrictions. 

E. Internal Placement 

1. Promotion 

A promotion is the movement of an 

employee to a higher pay band in the 

same occupational family or to another 

pay band in a different occupational 

family, wherein the band in the new 

family has a higher maximum base pay 

than the band from which the employee 

is moving. Positions with known 

promotion potential to a specific band 

within an occupational family will be 

identified when they are filled. 

Movement from one occupational 

family to another will depend upon 

individual competencies, qualifications, 

and the needs of the organization. 

Progression within a pay band is 

based upon performance-based pay 

increases; as such, these actions are not 

considered promotions and are not 

subject to the provisions of this section. 

Except as specified below, promotions 

will be processed under competitive 

procedures in accordance with Merit 

System Principles and requirements of 

the local merit promotion plan. 

To be promoted competitively or noncompetitively from one band to the 

next, an employee must meet the 

minimum qualifications for the job and 

have a current performance rating of 30 

or better, or equivalent under a different 

performance appraisal system. The 

minimum performance rating of 30 is 

set as an initial value and may be 

changed by the PMB, as necessary, with 

a goal of continuously increasing 

employee and laboratory performance. If 

an employee does not have a current 

performance rating, the employee will 

be treated the same as an employee with 

an ‘‘acceptable’’ rating as long as there 

is no documented evidence of 

unacceptable performance. 

2. Reassignment 

A reassignment is the movement of an 

employee from one position to a 

different position within the same 

occupational family and pay band or to 

another occupational family and pay 

band wherein the band in the new 

family has the same maximum base pay. 

The employee must meet the 

qualifications requirements for the 

occupational family and pay band. 

3. Demotion or Placement in a Lower 

Pay Band or Grade 

A demotion is a placement of an 

employee into a lower pay band within 

the same occupational family or 

placement into a pay band in a different 

occupational family with a lower 

maximum base pay. Demotions may be 

for cause (performance or conduct) or 

for reasons other than cause (e.g., 

erosion of duties, reclassification of 

duties to a lower pay band, application 

under competitive announcements, at 

the employee’s request—if approved, 

placement actions resulting from 

reduction-in-force ((RIF) procedures). 

Such actions will be executed using the 

applicable adverse action procedures in 

Title 5, U.S.C., Chapter 43 or Chapter 

75. 

4. Simplified Assignment Process 

Today’s environment of downsizing 

and workforce fluctuations mandates 

that the organization have maximum 

flexibility to assign duties and 

responsibilities to individuals. Pay 

banding can be used to address this 

need, as it enables the organization to 

have maximum flexibility to assign an 

employee with no change in base pay, 

within broad descriptions, consistent 

with the needs of the organization and 

the individual’s qualifications and level. 

Subsequent assignments to projects, 

tasks, or functions anywhere within the 

organization requiring the same level, 

area of expertise, and qualifications 

would not constitute an assignment 

outside the scope or coverage of the 

current position description. For 

instance, a Research Psychologist could 

be assigned to any project, task, or 

function requiring similar expertise. 

Likewise, a manager/supervisor could 

be assigned to manage any similar 

function or organization consistent with 

that individual’s qualifications. This 

flexibility allows broader latitude in 

assignments and further streamlines the 

administrative process and system. 

Execution of such actions may require 

fulfilling labor obligations, where 

applicable. 

5. Details and Expanded Temporary 

Promotions 

Employees may be detailed to a 

position at the same or similar level 

(position in a pay band with the same 

maximum salary). Additionally, 

employees may be temporary promoted 

to a position in a pay band with a higher 

maximum salary. Details and temporary 

promotions may be for up to two years. 

A detail or temporary promotion may be 

effected without a change in pay or may 

result in a base pay increase when the 

detail or temporary assignment 

significantly increases the complexity, 

responsibility, authority, or for other 

compelling reasons. Such an increase is 

subject to the specific guidelines 

established by the PMB. Details and 

temporary promotions may be 

determined by a competitive or a noncompetitive process. The specifics of 

these authorities will be stipulated by 

local business rules, policies, or 

procedures as organizational experience 

dictates. Execution of such actions may 

require fulfilling labor obligations, 

where applicable. 

6. Exceptions to Competitive Procedures 

for Assignment to a Position 

The following actions are excepted 

from competitive procedures: 

(1) Re-promotion to a position which 

is in the same pay band or GS 

equivalent and occupational family as 

the employee previously held on a 

permanent basis within the competitive 

service. 

(2) Promotion, reassignment, 

demotion, transfer, or reinstatement to a 

position having promotion potential no 

greater than the potential of a position 

an employee currently holds or 


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previously held on a permanent basis in 

the competitive service. 

(3) A position change permitted by 

RIF procedures. 

(4) Promotion without current 

competition when the employee was 

appointed through competitive 

procedures to a position with a 

documented career ladder. 

(5) A temporary promotion, or detail 

to a position in a higher pay band, of 

two years or less. 

(6) A promotion due to the 

reclassification of positions based on 

accretion (addition) of duties. 

(7) A promotion resulting from the 

correction of an initial classification 

error or the issuance of a new 

classification standard. 

(8) Consideration of a candidate who 

did not receive proper consideration in 

a competitive promotion action. 

F. Pay Setting 

1. General 

Pay administration policies will be 

established by the PMB. These policies 

will be exempt from Army Regulations 

or local pay fixing policies. Employees 

whose performance is acceptable will 

receive the full annual general pay 

increase and the full locality pay. The 

ARI Director shall have delegated 

authority to may make full use of 

recruitment, retention, and relocation 

payments as currently provided for by 

OPM. 

Grade and pay retention will follow 

current law and regulations at 5 U.S.C. 

5362, 5363, and 5 CFR part 536, except 

as waived or modified in Section IX, the 

waiver section of this plan. The ARI 

Director may also grant pay retention to 

employees who meet general eligibility 

requirements, but do not have specific 

entitlement by law, provided they are 

not specifically excluded. 

2. Pay and Compensation Ceilings 

A demonstration project employee’s 

total monetary compensation paid in a 

calendar year may not exceed the base 

pay of Level I of the Executive Schedule 

consistent with 5 U.S.C. 5307 and 5 CFR 

part 530 subpart B. In addition, each 

pay band will have its own pay ceiling, 

just as grades do in the GS system. Base 

pay rates for the various pay bands will 

be directly keyed to the GS rates, except 

as noted for the Pay Band VI of the 

Engineer and Scientist occupational 

family. Other than where retained rate 

applies, base pay will be limited to the 

maximum base pay payable for each pay 

band. 

3. Pay Setting for Appointment 

For initial appointments to Federal 

service, the individual’s pay may be set 

at the lowest base pay in the pay band 

or anywhere within the band level 

consistent with the special 

qualifications of the individual, specific 

organizational requirements, the unique 

requirements of the position, or other 

compelling reason. These special 

qualifications may be in the form of 

education, training, experience or any 

combination thereof that is pertinent to 

the position in which the employee is 

being placed. Guidance on pay setting 

for new hires will be established by the 

PMB and documented in IOPs. 

Highest Previous Rate (HPR) may be 

considered in placement actions 

authorized under rules similar to the 

HPR rules in 5 CFR 531.221. Request to 

use HPR must be made to the PMB and 

is subject to policies established by the 

PMB, as approved by the ARI Director. 

To maintain consistent application of 

pay setting decisions, the PMB will 

collect and track pay setting data, 

qualifications, and other relevant 

information. 

4. Pay Setting for Promotion 

The minimum base pay increase upon 

promotion to a higher pay band will be 

six percent or the minimum base pay 

rate of the new pay band, whichever is 

greater. The maximum amount of a pay 

increase for a promotion is 20 percent 

but will not normally exceed $10,000 or 

other such amount as established by the 

Personnel Management Board. The 

maximum base pay increase for 

promotion may be exceeded when 

necessary to allow for the minimum 

base pay increase. For employees 

assigned to occupational categories and 

geographic areas covered by special 

rates, the minimum base pay rate in the 

pay band to which promoted is the 

minimum base pay for the 

corresponding special rate or locality 

rate, whichever is greater. For 

employees covered by a staffing 

supplement (described in III.F.9.), the 

demonstration staffing supplement 

adjusted pay is considered base pay for 

promotion calculations. When a 

temporary promotion is terminated, the 

employee’s pay entitlements will be redetermined based on the employee’s 

position of record, with appropriate 

adjustments to reflect pay events during 

the temporary promotion, subject to the 

specific policies and rules established 

by the PMB. In no case may those 

adjustments increase the base pay for 

the position of record beyond the 

applicable pay range maximum base pay 

rate. 

5. Pay Setting for Reassignment 

A reassignment may be effected 

without a change in base pay. However, 

a base pay increase may be granted 

where a reassignment significantly 

increases the complexity, responsibility, 

authority, or for other compelling 

reasons. Such an increase is subject to 

the specific guidelines established by 

the PMB. 

6. Pay Setting for Demotion or 

Placement in a Lower Pay Band 

Employees demoted for cause 

(performance or conduct) are not 

entitled to pay retention and will 

receive a minimum of a five percent 

decrease in base pay. Employees 

demoted for reasons other than cause 

(e.g., erosion of duties, reclassification 

of duties to a lower pay band, or 

placement actions resulting from RIF 

procedures) may be entitled to pay and 

grade retention in accordance with the 

provisions of 5 U.S.C. 5363 and 5 CFR 

part 536, except as waived or modified 

in Section IX of this plan. 

Employees who receive an 

unacceptable rating or who are on a PIP 

at the time pay determinations are made 

do not receive performance payouts or 

the general pay increase. This action 

may result in a base pay that is 

identified in a lower pay band. This 

occurs because the minimum rate of 

base pay in a pay band increases as the 

result of the general pay increase (5 

U.S.C. 5303). This situation (a reduction 

in band level with no reduction in pay) 

will not be considered an adverse 

action, nor will band retention 

provisions apply. 

A supervisor who fails to successfully 

complete a supervisory probationary 

period will no longer receive a 

supervisory pay adjustment 

(supervisory differential/adjustment). 

7. Supervisory and Team Leader Pay 

Adjustments 

Supervisory and team leader pay 

adjustments may be approved by the 

ARI Director at his/her discretion, based 

on the recommendation of the PMB, to 

compensate employees with supervisory 

or team leader responsibilities. 

Supervisory and team leader pay 

adjustments are a tool that may be 

implemented at the discretion of the 

ARI Director and are not to be 

considered an employee entitlement 

due solely to his/her position as a 

supervisor or team leader. Only 

employees in supervisory or team leader 

positions as defined by the OPM GS 

Supervisory Guide or GS Leader Grade 

Evaluation Guide may be considered for 

the pay adjustment. These pay 

adjustments are funded separately from 

performance pay pools. These pay 

adjustments are increases to base pay, 

ranging up to 10 percent of that pay rate 


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for supervisors and for team leaders. Pay 

adjustments are subject to the constraint 

that the adjustment may not cause the 

employee’s base pay to exceed the pay 

band maximum base pay. Criteria to be 

considered in determining the pay 

increase percentage include: 

(1) Needs of the organization to 

attract, retain, and motivate high-quality 

supervisors/team leaders; 

(2) Budgetary constraints; 

(3) Years and quality of related 

experience; 

(4) Relevant training; 

(5) Performance appraisals and 

experience as a supervisor/team leader; 

(6) Unique requirements of a specific 

position or level of complexity 

compared to other positions of a similar 

nature, 

(7) Organizational level of position; 

and 

(8) Impact on the organization. 

A pay adjustment may be considered 

under the following conditions: 

(1) New supervisory/team leader 

positions will have their initial rate of 

base pay set within the pay range of the 

applicable pay band and rules 

established by the PMB. Request for 

initial rate of pay will be made to the 

PMB and approved by the ARI Director 

or delegated official. This rate of pay 

may include a pay adjustment 

determined by using the ranges and 

criteria outlined above. 

(2) A career employee selected for a 

supervisory/team leader position may 

also be considered for a base pay 

adjustment. If a supervisor/team leader 

is already authorized a base pay 

adjustment and is subsequently selected 

for another supervisor/team leader 

position, then the base pay adjustment 

will be re-determined. Upon initial 

conversion into the demonstration 

project into the same or substantially 

similar position, supervisors/team 

leaders will be converted at their 

existing base rate of pay and will not be 

eligible for a base pay adjustment. 

(3) The supervisory/team leader pay 

adjustment will be reviewed annually, 

or more often as needed, and may be 

increased or decreased by a portion or 

by the entire amount of the supervisory/ 

team leader pay adjustment based upon 

the employee’s performance appraisal 

score for the performance element, 

Team Project Leadership or 

Supervision/EEO, needs of the 

organization, and/or criteria outlined 

above. If the entire portion of the 

supervisory/team leader pay adjustment 

is to be decreased, the initial dollar 

amount of the supervisory/team leader 

pay adjustment will be removed. A 

decrease to the supervisory/team leader 

pay adjustment as a result of the annual 

review or when an employee voluntarily 

leaves a position is not an adverse 

action and is not subject to appeal. 

8. Supervisory/Team Leader Pay 

Differentials 

Supervisory and team leader pay 

differentials may be used by the ARI 

Director to provide an incentive and 

reward supervisors and team leaders. 

Supervisory and team leader pay 

differentials are a tool that may be 

implemented at the discretion of the 

ARI Director and is not to be considered 

an entitlement due to an employee 

solely due to their position as a 

supervisor or team leader. Pay 

differentials are not funded from 

performance pay pools. A pay 

differential is a cash incentive that may 

range up to 10 percent of base pay for 

supervisors and for team leaders. It is 

paid on a pay period basis with a 

specified not-to-exceed (NTE) of one 

year or less and is not included as part 

of the base pay. Criteria to be considered 

in determining the amount of the pay 

differential are the same as those 

identified for Supervisory/Team Leader 

Pay Adjustments. 

The pay differential may be 

considered, either during conversion 

into or after initiation of the 

demonstration project. The differential 

must be terminated if the employee is 

removed from a supervisory/team leader 

position, regardless of cause. 

After initiation of the demonstration 

project, all personnel actions involving 

a supervisory/team leader differential 

will require a statement signed by the 

employee acknowledging that the 

differential may be terminated or 

reduced at the discretion of the ARI 

Director. The termination or reduction 

of the supervisory differential is not 

considered an adverse action under 

Chapter 75, of Title 5, U.S.C. and 5 CFR 

752, and is not subject to appeal with 

the Merit Systems Protection Board. 

9. Staffing Supplements 

Employees assigned to occupational 

categories and geographic areas covered 

by special rates will be entitled to a 

staffing supplement if the maximum 

adjusted base pay for the banded GS 

grades (i.e., the maximum GS locality 

rate) to which assigned is a special rate 

that exceeds the maximum GS locality 

rate for the banded grades. Specific 

provisions will be described in IOPs. 

G. Employee Development 

1. Expanded Developmental 

Opportunity Program 

The Expanded Developmental 

Opportunity Program will be available 

to all demonstration project employees. 

Expanded developmental opportunities 

complement existing developmental 

opportunities such as long-term 

training; rotational job assignments; 

developmental assignments to ARI, 

Army, or DoD; and self-directed study 

via correspondence courses, local 

colleges, and universities. Each 

developmental opportunity must result 

in a product, service, report, or study 

that will benefit ARI or customer 

organization as well as increase the 

employee’s individual effectiveness. 

The PMB will provide written guidance 

for employees on application 

procedures and develop a process that 

will be used to review and evaluate 

applicants for development 

opportunities. These expanded 

developmental opportunities may be 

made available when there is a critical 

skill, need, or gap that must be filled for 

organizational success. Determinations 

for sabbaticals and critical skills training 

shall be made based on the needs of ARI 

and the relationship to the research 

mission, merit, organization fill rates, 

current, near- and mid-term workload 

requirements, budget, and employee 

performance scores. 

(1) Sabbatical. The ARI Director has 

the authority to grant paid or unpaid 

sabbaticals to all career employees. The 

purpose of a sabbatical will be to permit 

employees to engage in study or 

uncompensated work experience that 

will benefit the organization and 

contribute to the employee’s 

development and effectiveness. Each 

sabbatical must result in a product, 

service, report, or study that will benefit 

the ARI mission as well as increase the 

employee’s individual effectiveness. 

Various learning or developmental 

experiences may be considered, such as 

research, self-directed or guided study, 

and on-the-job work experience. 

Limitations and eligibility requirements 

for sabbaticals will be published in the 

IOP. Employees approved for a paid 

sabbatical must sign a service obligation 

agreement to continue in service in ARI 

for a period of three times the length of 

the sabbatical. If an employee 

voluntarily leaves ARI before the service 

obligation is completed he/she is liable 

for repayment of expenses incurred by 

ARI that are associated with the 

sabbatical. Expenses do not include 

salary costs. The ARI Director has the 

authority to waive this requirement. 

Criteria for such waivers will be 

addressed in the operating procedures. 

Specific procedures will be developed 

for processing sabbatical applications 

upon implementation of the 

demonstration project. 


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(2) Critical Skills Training. The ARI 

Director has the authority to approve 

academic degree training where 

consistent with a current employee’s 

current line of work, and where it 

provides a clear benefit to the 

organization. Training is an essential 

component of an organization that 

requires continuous acquisition of 

advanced and specialized knowledge. 

Degree training is also a tool for 

maintaining required knowledge and 

skills critical to the present and future 

requirements of the organization. Degree 

or certificate payment may not be 

authorized where it would result in a 

tax liability for the employee without 

the employee’s express and written 

consent. Any variance from this policy 

must be rigorously determined and 

documented. Guidelines will be 

developed to ensure a fully competitive 

approval process for expanded critical 

skills training. Employees approved for 

degree training must sign a service 

obligation agreement to continue service 

in the ARI for a period three times the 

length of the training period 

commencing after the completion of the 

entire degree program. If an employee 

voluntarily leaves ARI before the service 

obligation is completed, he/she is liable 

for repayment of expenses incurred by 

ARI that are related to the critical skills 

training. Expenses do not include salary 

costs. The ARI Director has the 

authority to waive this requirement. 

Criteria for such waivers will be 

addressed in the operating procedures. 

IV. Implementation Training 

Critical to the success of the 

demonstration project is the training 

developed to promote understanding of 

the broad concepts and finer details 

needed to implement and successfully 

execute this project. Training will be 

tailored to address employee concerns 

and to encourage comprehensive 

understanding of the demonstration 

project. Training will be required both 

prior to implementation and at various 

times during the life of the 

demonstration project. 

A training program will begin prior to 

implementation and will include 

modules tailored for employees, 

supervisors, and administrative staff. 

Typical modules are: 

(1) An overview of the demonstration 

project personnel system. 

(2) How employees are converted into 

and out of the system. 

(3) Pay banding. 

(4) The pay-for-performance system. 

(5) Defining performance objectives. 

(6) How to assign weights to 

performance elements. 

(7) Assessing performance and giving 

feedback. 

(8) New position descriptions. 

(9) Demonstration project 

administration and formal evaluation. 

Various types of training are being 

considered, including videos, videoteleconference tutorials, and train-thetrainer concepts. To the extent possible, 

materials already developed from other 

STRLs will be utilized when 

appropriate to reduce implementation 

cost and to maintain consistency in 

application of similar procedures across 

laboratories. 

V. Conversion 

A. Conversion to the Demonstration 

Project 

Conversion from current GS grade and 

pay into the new pay band system will 

be accomplished during implementation 

of the demonstration project. Initial 

entry into the demonstration project 

will be accomplished through a full 

employee-protection approach that 

ensures each employee an initial place 

in the appropriate pay band without 

loss of pay on conversion. 

Under the GS pay structure, 

employees progress through their 

assigned grade in step increments. Since 

this system is being replaced under the 

demonstration project, employees will 

be awarded that portion of the next 

higher step they have completed up 

until the effective date of conversion. As 

under the current system, supervisors 

will be able to withhold these partial 

step increases if the employee’s 

performance is below an acceptable 

level of competence. 

Rules governing WGIs will continue 

in effect until conversion. Adjustments 

to the employee’s base salary for WGI 

equity will be computed as of the 

effective date of conversion. WGI equity 

will be acknowledged by increasing 

base pay by a prorated share based upon 

the number of full weeks an employee 

has completed toward the next higher 

step. Payment will equal the value of 

the employee’s next WGI times the 

proportion of the waiting period 

completed (weeks completed in waiting 

period/weeks in the waiting period) at 

the time of conversion. Employees at 

step 10, or receiving retained rates, on 

the day of implementation will not be 

eligible for WGI equity adjustments 

since they are already at or above the 

top of the step scale. Employees serving 

on retained grade will receive WGI 

equity adjustments provided they are 

not at step 10 or receiving a retained 

rate. 

Employees who enter the 

demonstration project after initial 

implementation by lateral transfer, 

reassignment, or realignment will be 

subject to the same pay conversion rules 

as above. If conversion into the 

demonstration project is accompanied 

by a geographic move, the employee’s 

GS pay entitlements in the new 

geographic area must be determined 

before performing the pay conversion. 

B. Conversion or Movement From a 

Project Position to a General Schedule 

Position 

If a demonstration project employee is 

moving to a GS position not under the 

demonstration project, or if the project 

ends and each project employee must be 

converted back to the GS system, the 

following procedures will be used to 

convert the employee’s project pay band 

to a GS-equivalent grade and the 

employee’s project rate of pay to GS 

equivalent rate of pay. 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. For 

conversions upon termination of the 

project and for lateral reassignments, the 

converted GS grade and rate will 

become the employee’s actual GS grade 

and rate after leaving the demonstration 

project (before any other action). For 

employee movement from within DoD 

(transfers), promotions, and other 

actions, the converted GS grade and rate 

will be used in applying any GS pay 

administration rules applicable in 

connection with the employee’s 

movement out of the project (e.g., 

promotion rules, highest previous rate 

rules, pay retention rules), as if the GS 

converted grade and rate were actually 

in effect immediately before the 

employee left the demonstration project. 

1. Grade-Setting Provisions 

An employee in a pay band 

corresponding to a single GS grade is 

converted to that grade. An employee in 

a pay band corresponding to two or 

more grades is converted to one of those 

grades according to the following rules: 

(1) The employee’s adjusted rate of 

basic pay under the demonstration 

project (including any locality payment 

or staffing supplement) is compared 

with step four rates on the highest 

applicable GS rate range. (For this 

purpose, a ‘‘GS rate range’’ includes a 

rate in (1) the GS base schedule, (2) the 

locality rate schedule for the locality 

pay area in which the position is 

located, or (3) the appropriate special 

rate schedule for the employee’s 

occupational series, as applicable.) If the 

series is a two-grade interval series, only 


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odd-numbered grades are considered 

below GS–11. 

(2) If the employee’s adjusted project 

rate equals or exceeds the applicable 

step four rate of the highest GS grade in 

the band, the employee is converted to 

that grade. 

(3) If the employee’s adjusted project 

rate is lower than the applicable step 

four rate of the highest grade, the 

adjusted rate is compared with the step 

four rate of the second highest grade in 

the employee’s pay band. If the 

employee’s adjusted rate equals or 

exceeds step four rate of the second 

highest grade, the employee is 

converted to that grade. 

(4) This process is repeated for each 

successively lower grade in the band 

until a grade is found in which the 

employee’s adjusted project rate equals 

or exceeds the applicable step four rate 

of the grade. The employee is then 

converted at that grade. If the 

employee’s adjusted rate is below the 

step four rate of the lowest grade in the 

band, the employee is converted to the 

lowest grade. 

(5) Exception: An employee will not 

be converted to a lower grade than the 

grade held by the employee 

immediately preceding a conversion, 

lateral reassignment, or transfer from 

within DoD into the project, unless 

since that time the employee has 

undergone a reduction in band or 

accepted a lower grade/band position. 

2. Pay-Setting Provisions 

An employee’s pay within the 

converted GS grade is set by converting 

the employee’s demonstration project 

rate of pay to GS rate of pay in 

accordance with the following rules: 

(1) The pay conversion is done before 

any geographic movement or other payrelated action that coincides with the 

employee’s movement or conversion out 

of the demonstration project. 

(2) An employee’s adjusted rate of 

basic pay under the project (including 

any locality payment or staffing 

supplement) is converted to the GS 

adjusted rate on the highest applicable 

rate range for the converted GS grade. 

(For this purpose, a ‘‘GS rate range’’ 

includes a rate range in (1) the GS base 

schedule, (2) an applicable locality rate 

schedule, or (3) an applicable special 

rate schedule.) 

(3) If the highest applicable GS rate 

range is a locality pay rate range, the 

employee’s adjusted project rate is 

converted to a GS locality rate of pay. 

If this rate falls between two steps in the 

locality-adjusted schedule, the rate must 

be set at the higher step. The converted 

GS unadjusted rate of basic pay would 

be the GS base rate corresponding to the 

converted GS locality rate (i.e., same 

step position). (If this employee is also 

covered by a special rate schedule as a 

GS employee, the converted special rate 

will be determined based on the GS step 

position. This underlying special rate 

will be basic pay for certain purposes 

for which the employee’s higher locality 

rate is not basic pay.) 

(4) If the highest applicable GS rate 

range is a special rate range, the 

employee’s adjusted project rate is 

converted to a special rate. If this rate 

falls between two steps in the special 

rate schedule, the rates must be set at 

the higher step. The converted GS 

unadjusted rate of basic pay will be the 

GS rate corresponding to the converted 

special rate (i.e., same step position). 

3. E&S Pay Band III Employees 

An employee in Pay band III of the 

E&S Occupational family will convert 

out of the demonstration project at no 

higher than the GS–13, step 10 level. 

ARI, in consultation with the CPAC, 

will develop a procedure to ensure that 

employees entering E&S Pay band III 

understand that if they leave the 

demonstration project and their 

adjusted pay exceeds the GS–13, step 10 

rate, there is no entitlement to retained 

pay; their GS-equivalent rate will be 

deemed to be the rate for GS–13, step 

10. These procedures will be 

documented in IOPs. 

4. E&S Pay Band VI Employees 

E&S Pay Band VI Employees: An 

employee in Pay Band VI of the E&S 

occupational family will convert out of 

the demonstration project at the GS–15 

level. Procedures will be documented in 

IOPs to ensure that employees entering 

Pay Band VI understand that if they 

leave the demonstration project and 

their adjusted base pay under the 

demonstration project exceeds the 

highest applicable GS–15, step 10 rate, 

there is no entitlement to retained pay. 

However, consistent with 79 FR 43722, 

July 28, 2014, pay retention may be 

provided to SSTM members under 

criteria established by the PMB (and 

approved by the Director) who are 

impacted by a reduction in force, work 

realignment, or other planned 

management action that would 

necessitate moving the incumbent to a 

position in a lower pay band within the 

STRL. Pay retention may also be 

provided under criteria established 

when an SES or ST employee is placed 

in a SSTM position as a result of 

reduction in force or other management 

action. SSTM positions not entitled to 

pay retention above the GS–15, step 10 

rate will be deemed to be the rate for 

GS–15, step 10. For those Pay Band VI 

employees paid below the adjusted GS– 

15, step 10 rate, the converted rates will 

be set in accordance with paragraph 2. 

5. Employees With Band or Pay 

Retention 

(1) If an employee is retaining a band 

level under the demonstration project, 

apply the procedures in paragraphs 1.a. 

and 1.b. (Grade-Setting Provisions) 

above, using the grades encompassed in 

the employee’s retained band to 

determine the employee’s GS-equivalent 

retained grade and pay rate. The time in 

a retained band under the 

demonstration project counts toward the 

2-year limit on grade retention in 5 

U.S.C. 5382. 

(2) If an employee is retaining rate 

under the demonstration project, the 

employee’s GS-equivalent grade is the 

highest grade encompassed in his or her 

band level. ARI will coordinate with 

DoD to prescribe a procedure for 

determining the GS-equivalent pay rate 

for an employee retaining a rate under 

the demonstration project. 

6. Within-Grade Increase 

Equivalent Increase Determinations: 

Service under the demonstration project 

is creditable for within-grade increase 

purposes upon conversion back to the 

GS pay system. Performance pay 

increases (including a zero increase) 

under the demonstration project are 

equivalent increases for the purpose of 

determining the commencement of a 

within-grade increase waiting period 

under 5 CFR 531.405(b). 

C. Personnel Administration 

All personnel laws, regulations, and 

guidelines not waived by this plan will 

remain in effect. Basic employee rights 

will be safeguarded and Merit System 

Principles will be maintained. Servicing 

CPAC(s) will continue to process 

personnel-related actions and provide 

consultative and other appropriate 

services. 

D. Automation 

ARI will use the DoD approved 

automated personnel system for the 

processing of personnel-related data. 

Payroll servicing will continue from the 

respective payroll offices. 

An automated tool or other 

appropriate procedures will be used to 

support computation of performance 

related pay increases and awards and 

other personnel processes and systems 

associated with this project. 

E. Revision 

Constant assessment and refinement 

is needed to maximize the effectiveness 

of the system. Modifications may be 


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made from time to time as experience is 

gained, results are analyzed, and 

conclusions are reached on how the 

new system is working. Modifications 

will be made in accordance with the 

provisions of DoDI 1400.37, or 

applicable superseding instructions. 

VI. Project Duration 

Public Law 103–337 removed any 

mandatory expiration date for this 

demonstration project. ARI, DA, and 

DoD will ensure this project is evaluated 

for the first five years after 

implementation in accordance with 5 

U.S.C. 4703. Modifications to the 

original evaluation plan or any new 

evaluation will ensure the project is 

evaluated for its effectiveness, its impact 

on mission, and any potential adverse 

impact on any employee groups. 

VII. Evaluation Plan 

A. Overview 

Chapter 47 of 5 U.S.C. requires that an 

evaluation be performed to measure the 

effectiveness of the demonstration 

project, and its impact on improving 

public management. A comprehensive 

evaluation plan for the entire 

demonstration program, originally 

covering 24 DoD laboratories, was 

developed by a joint OPM/DoD 

Evaluation Committee in 1995. This 

plan was submitted to the Office of 

Defense Research & Engineering and 

was subsequently approved. The main 

purpose of the evaluation is to 

determine whether the waivers granted 

result in a more effective personnel 

system and improvements in ultimate 

outcomes (i.e., organizational 

effectiveness, mission accomplishment, 

and customer satisfaction). That plan, 

while useful, is dated and does not fully 

afford the laboratories the ability to 

evaluate all aspects of the 

demonstration project in a way that 

fully facilitates assessment and effective 

modification based on actionable data. 

Therefore, in conducting the evaluation 

ARI will ensure USD(R&E) evaluation 

requirements are met in addition to 

applying knowledge gained from other 

DoD laboratories and their evaluations 

to ensure a timely, useful evaluation of 

the demonstration project. 

B. Method of Data Collection 

Data from a variety of different 

sources will be used in the evaluation. 

Information from existing management 

information systems supplemented with 

perceptual survey data from employees 

will be used to assess variables related 

to effectiveness. Multiple methods 

provide more than one perspective on 

how the demonstration project is 

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. The following types 

of qualitative and/or quantitative data 

will be collected as part of the 

evaluation: (1) Workforce data; (2) 

personnel office data; (3) employee 

attitudes and feedback using surveys, 

structured interviews, and focus groups; 

(4) local activity histories; and, (5) core 

measures of laboratory effectiveness. 

VIII. Demonstration Project Costs 

A. Cost Discipline 

An objective of the demonstration 

project is to ensure in-house cost 

discipline. A baseline will be 

established at the start of the project and 

labor expenditures will be tracked 

yearly. Implementation costs (including 

project development, automation costs, 

step buy-in costs, and evaluation costs) 

are considered one-time costs and will 

not be included in the cost discipline. 

The Personnel Management Board 

will track personnel cost changes and 

recommend adjustments if required to 

achieve the objective of cost discipline. 

B. Developmental Costs 

Costs associated with the 

development of the personnel 

demonstration project include software 

automation, training, and project 

evaluation. All funding will be provided 

through the organization’s budget. The 

projected annual expenses are 

summarized in Table 1. Project 

evaluation costs are not expected to 

continue beyond the first five years 

unless the results warrant further 

evaluation. Additional cost may be 

incurred as a part of the implementation 

and operation of the project. 

IX. Required Waivers to Law and 

Regulation 

Public Law 106–398 gave the DoD the 

authority to experiment with several 

personnel management innovations. In 

addition to the authorities granted by 

the law, the following are waivers of law 

and regulation that will be necessary for 

implementation of the demonstration 

project. In due course, additional laws 

and regulations may be identified for 

waiver request. 

The following waivers and 

adaptations of certain Title 5 U.S.C. 

provisions are required only to the 

extent that these statutory provisions 

limit or are inconsistent with the actions 

contemplated under this demonstration 


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project. Nothing in this plan is intended 

to preclude the demonstration project 

from adopting or incorporating any law 

or regulation enacted, adopted, or 

amended after the effective date of this 

demonstration project. 

A. Waivers to Title 5, United States 

Code 

Chapter 5, section 552a: Records 

maintained on individuals. This section 

is waived only to the extent required to 

clarify that volunteers under the 

Volunteer Emeritus Corps are 

considered employees of the Federal 

government for purposes of this section. 

Chapter 31, section 3104: 

Employment of specially qualified 

scientific and professional personnel. 

Waived to allow SSTMs. 

Chapter 31, section 3132: The Senior 

Executive Service: Definitions and 

exclusions. Waived as necessary to 

allow for the Pay Band VI of the E&S 

Occupational Family. 

Chapter 33, section 3317(a): 

Competitive Service; certification from 

registers. Waived insofar as ‘‘rule of 

three’’ is eliminated under the 

demonstration projects. 

Chapter 33, section 3318(a): 

Competitive Service, selection from 

certificate. Waived to the extent 

necessary to eliminate the requirement 

for selection using the ‘‘Rule of Three’’ 

and other limitations on recruitment 

list. 

Chapter 33, section 3321: Competitive 

service; probationary period. This 

section waived only to the extent 

necessary to replace grade with ‘‘pay 

band.’’ 

Chapter 33, section 3324 and section 

3325: Appointments to positions 

classified above GS–15. Waived in 

entirety to fully allow for positions 

above GS–15. 

Chapter 33, section 3341: Details. 

Waived as necessary to extend the time 

limits for details. 

Chapter 41, section 4107(a) (1), (2), (b) 

(1), (3): Pay for Degrees. Waived to the 

extent required to allow ARI to pay for 

all courses related to a degree program 

approved by the ARI Director. 

Chapter 41, section 4108(a)–(c): 

Employee agreements; service after 

training. Waived to the extent necessary 

to require the employee to continue in 

the service of ARI for the period of the 

required service and to the extent 

necessary to permit the Director, ARI, to 

waive in whole or in part a right of 

recovery. 

Chapter 43, sections 4301–4305: 

Related to performance appraisal. These 

sections are waived to the extent 

necessary to allow provisions of the 

performance management system as 

described in this FRN. 

Chapter 51, sections 5101–5112: 

Classification. Waived as necessary to 

allow for the demonstration project pay 

banding system. 

Chapter 53, sections 5301–5307: 

Related to pay comparability system and 

GS pay rates. Waived to the extent 

necessary to allow demonstration 

project employees, including SSTM 

employees, to be treated as GS 

employees, and to allow basic rates of 

pay under the demonstration project to 

be treated as scheduled rates of pay. 

SSTM pay will not exceed EX–IV and 

locality adjusted SSTM rates will not 

exceed EX III. 

Chapter 53, sections 5331–5336: GS 

pay rates. Waived in its entirety to allow 

for the demonstration project’s pay 

banding system and pay provisions. 

Chapter 53, sections 5361–5366: 

Grade and pay retention. Waived to the 

extent necessary to allow pay retention 

provisions described in this FR notice 

and to allow SSTMs to receive pay 

retention as described in 79 FR 43722. 

Chapter 55, section 5545(d): 

Hazardous duty differential. Waived to 

the extent necessary to allow 

demonstration project employees to be 

treated as GS employees. This waiver 

does not apply to employees in Pay 

Band VI of the E&S occupational family. 

Chapter 57, section 5753, 5754, and 

5755: Recruitment and relocation, 

bonuses, retention allowances and 

supervisory differentials. Waived to the 

extent necessary to allow (1) employees 

and positions under the demonstration 

project to be treated as employees and 

positions under the GS, (2) employees 

in Pay Band VI of the E&S occupational 

family to be treated as ST and/or GS 

employees as appropriate, (3) previsions 

of the retention counteroffer and 

incentives as described in this FRN, and 

(4) to allow SSTMs to receive 

supervisory pay differentials as 

described in 79 FR 43722. 

Chapter 59, section 5941: Allowances 

based on living costs and conditions of 

environment; employees stationed 

outside continental U.S. or Alaska. 

Waived to the extent necessary to 

provide that cost-of-living allowances 

paid to employees under the 

demonstration project are paid in 

accordance with regulations prescribed 

by the President (as delegated to OPM). 

Chapter 75, sections 7501(1), 

7511(a)(1)(A)(ii), and 7511(a)(1)(C)(ii): 

Adverse actions—definitions. Waived to 

the extent necessary to allow for up to 

a three-year probationary period and to 

permit termination during the extended 

probationary period without using 

adverse action procedures for those 

employees serving a probationary 

period under an initial appointment 

except for those with veterans’ 

preference. Waived to the extent 

necessary to allow for two-year 

supervisory probationary periods and to 

permit re-assignment of supervisors 

during the probationary period without 

adverse action procedures for those 

employees serving in a supervisory 

probationary period. 

Chapter 75, section 7512(3): Adverse 

actions. Waived to the extent necessary 

to replace ‘‘grade’’ with ‘‘pay band.’’ 

Chapter 75, section 7512(4): Adverse 

actions. Waived to the extent necessary 

to provide that adverse action 

provisions do not apply to (1) 

reductions in pay due to the removal of 

a supervisory or team leader pay 

adjustment/differential upon voluntary 

movement to a non-supervisory or nonteam leader position or (2) decreases in 

the amount of a supervisory or team 

leader pay adjustment/differential 

during the annual review process. 

B. Waivers to Title 5, Code of Federal 

Regulations 

Part 300–330: Employment (general) 

other than subpart G of 300. Waived to 

the extent necessary to allow provisions 

of the direct hire authorities as 

described in 79 FR 43722 and 82 FR 

29280. 

Part 300, sections 300.601 through 

605: Time-in-grade restrictions. Waived 

to eliminate time-in-grade restrictions in 

the demonstration project. 

Part 315, section 315.801(a), 

315.801(b)(1), (c), and (e) and 315.802(a) 

and (b)(1): Probationary period and 

length of probationary period. Waived 

to the extent necessary to (1) allow for 

up to a three-year probationary period 

and to permit termination during the 

extended probationary period without 

using adverse action procedures for 

those employees serving a probationary 

period under an initial appointment 

except for those with veterans’ 

preference and (2) to the extent 

necessary to allow for supervisory 

probationary periods to permit 

reassignment during the supervisory 

probationary period without using 

adverse action procedures for 

employees serving a probationary 

period. 

Part 315, section 315.804: 

Termination of probationers for 

unsatisfactory performance or conduct. 

Waived to the extent necessary to 

reduce a supervisor who fails to 

successfully complete a supervisory 

probationary period to a lower grade/ 

band. 

Part 315, section 315.805: 

Termination of probationers for 


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conditions arising before appointment. 

Waived to the extent necessary to 

permit termination during the extended 

probationary period without using 

adverse procedures. 

Part 315, section 315.901–315.909: 

Statutory requirement. Waived to the 

extent necessary to (1) replace ‘‘grade’’ 

with ‘‘pay band;’’ (2) establish a twoyear supervisory probationary period; 

and (3) allow the movement of a newly 

hired supervisor who fails to meet 

requirements to a lower grade/band. 

Part 316, sections 316.301, 316.303, 

and 316.304: Term employment. 

Waived to the extent necessary to allow 

modified term appointments and 

Flexible Length and Renewable Term 

Technical Appointments as described in 

this FRN and in 82 FR 43339. 

Part 332, section 332.401, 332. 402 

and 332.404: Order of selection from 

certificates. Waived to the extent 

necessary to eliminate the requirement 

for selection using the ‘‘Rule of Three’’ 

or other procedures to limit recruitment 

lists. 

Part 335, section 335.103: Agency 

promotion programs. Waived to the 

extent necessary to extend the length of 

details and temporary promotions 

without requiring competitive 

procedures. 

Part 337, section 337.101(a): Rating 

applicants. Waived to the extent 

necessary to allow referral without 

rating when there are 15 or fewer 

qualified candidates and no qualified 

preference eligibles. 

Part 340, subpart A, subpart B, and 

subpart C: Other than full-time career 

employment. These subparts are waived 

to the extent necessary to allow a 

Volunteer Emeritus Corps. 

Part 359, section 359.705: Pay. 

Waived to allow demonstration project 

rules governing pay retention to apply 

to a former SES or ST placed on an 

SSTM position. 

Part 410, section 410.308(a–e): 

Training to obtain an academic degree. 

Waived to the extent necessary to allow 

provisions described in this FR. 

Part 410, section 410.309: Agreements 

to continue in service. Waived to the 

extent necessary to allow the ARI 

Director to determine requirements 

related to continued service agreements. 

Part 430, subpart B: Performance 

appraisal for GS, prevailing rate, and 

certain other employees. Waived to the 

extent necessary to be consistent with 

the demonstration project’s pay-forperformance system. 

Part 432, section 432.102–432.106: 

Performance based reduction in grade 

and removal actions. Waived to the 

extent necessary to allow provisions 

described in the FRN. 

Part 511: Classification under the 

general schedule. Waived to the extent 

necessary to allow classification 

provisions outlined in this FR to 

include the list of issues that are neither 

appealable nor reviewable, the 

assignment of series under the project 

plan to appropriate occupational 

families; and to allow appeals to be 

decided by the ARI Director. If the 

employee is not satisfied with the ARI 

Director’s response to the appeal, he/she 

may then appeal to the DoD appellate 

level. 

Part 530, subpart C: Special rate 

schedules for recruitment and retention. 

Waived in its entirety to allow for 

staffing supplements, if applicable. 

Part 531, subpart B: Determining rate 

of basic pay. Waived to the extent 

necessary to allow for pay setting and 

pay-for-performance under the 

provisions of the demonstration project. 

Part 531, subparts D and E: Withingrade increases and quality step 

increases. Waived in its entirety. 

Part 531, subpart F: Locality-based 

comparability payments. Waived to the 

extent necessary to allow (1) 

demonstration project employees, 

except employees in Pay Band VI of the 

E&S occupational family, to be treated 

as GS employees; and (2) base rates of 

pay under the demonstration project to 

be treated as scheduled annual rates of 

pay. 

Part 536: Grade and pay retention. 

Waived to the extent necessary to (1) 

replace ‘‘grade’’ with ‘‘pay band;’’ (2) 

provide that pay retention provisions do 

not apply to conversions from GS 

special rates to demonstration project 

pay, as long as total pay is not reduced, 

and to reductions in pay due solely to 

the removal of a supervisory pay 

adjustment upon voluntarily leaving a 

supervisory position; (3) allow 

demonstration project employees to be 

treated as GS employees; (4) provide 

that pay retention provisions do not 

apply to movements to a lower pay band 

as a result of not receiving the general 

increase due to an annual performance 

rating of ‘‘Unacceptable;’’ (5) provide 

that an employee on pay retention 

whose rating of record is 

‘‘Unacceptable’’ is not entitled to 50 

percent of the amount of the increase in 

the maximum rate of base pay payable 

for the pay band of the employee’s 

position; (6) ensure that for employees 

of Pay Band VI in the E&S occupational 

family, pay retention provisions are 

modified so that no rate established 

under these provisions may exceed the 

rate of base pay for GS–15, step 10 (i.e., 

there is no entitlement to retained rate); 

and (7) provide that pay retention does 

not apply to reduction in base pay due 

solely to the reallocation of 

demonstration project pay rates in the 

implementation of a staffing 

supplement. This waiver applies to ST 

employees only if they move to a GSequivalent position within the 

demonstration project under conditions 

that trigger entitlement to pay retention. 

Part 536, section 536.306(a): 

Limitation on retained rates. Waived to 

the extent necessary to allow SSTMs to 

receive pay retention as described in 79 

FR 43727. 

Part 550, section 550.703: Definitions. 

Waived to the extent necessary to 

modify the definition of ‘‘reasonable 

offer’’ by replacing ‘‘two grade or pay 

levels’’ with ‘‘one band level’’ and 

‘‘grade or pay level’’ with ‘‘band level.’’ 

Part 550, section 550.902: Definitions. 

Waived to the extent necessary to allow 

demonstration project employees to be 

treated as GS employees. This waiver 

does not apply to employees in Pay 

Band VI of the E&S occupational family. 

Part 575, subparts A, B, C, and D: 

Recruitment incentives, relocation 

incentives, retention incentives and 

supervisory differentials. Waived to the 

extent necessary to allow (1) employees 

and positions under the demonstration 

project covered by pay banding to be 

treated as employees and positions 

under the GS system, (2) to allow 

SSTMs to receive supervisory pay 

differentials as described in 73 FR 

43727, and (3) to allow the Director to 

pay an offer up to 50 percent of basic 

pay of either a base pay and/or a cash 

payment to retain quality employees; 

and to the extent necessary to allow 

SSTMs to receive supervisory pay 

differentials. Criteria for retention 

determination and preparing written 

service agreements will be as prescribed 

in 5 U.S.C. 5754 and as waived herein. 

Part 591, subpart B: Cost-of-living 

allowance and post differential—Nonforeign Areas. Waived to the extent 

necessary to allow demonstration 

project employees to be treated as 

employees under the GS system. 

Part 752, sections 752.101, 752.201, 

752.301 and 752.401: Principal statutory 

requirements and coverage. Waived to 

the extent necessary to (1) allow for up 

to a three-year probationary period; (2) 

permit termination during the extended 

probationary period without using 

adverse action procedures for those 

employees serving a probationary 

period under an initial appointment 

except for those with veterans’ 

preference; (3) allow for supervisory 

probationary periods and to permit 

reassignment during the supervisory 

probationary period without use of 

adverse action procedures for those 

employees serving a probationary 


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period under a supervisory probationary 

period; (4) replace ‘‘grade’’ with ‘‘pay 

band;’’ and (5) provide that a reduction 

in pay band level is not an adverse 

action if it results from the employee’s 

rate of base pay being exceeded by the 

minimum rate of base pay for his/her 

pay band. Waived to the extent 

necessary to provide that adverse action 

provisions do not apply to (1) 

conversions from GS special rates to 

demonstration project pay, as long as 

total pay is not reduced and (2) 

reductions in pay due to the removal of 

a supervisory or team leader pay 

adjustment/differential upon voluntary 

movement to a non-supervisory or nonteam leader position or decreases in the 

amount of a supervisory or team leader 

pay adjustment based on the annual 

review. 


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Federal Register / Vol. 85, No. 229 / Friday, November 27, 2020 / Notices 76067 

Dated: November 20, 2020. 

Aaron T. Siegel, 

Alternate OSD Federal Register Liaison 

Officer, Department of Defense. 

[FR Doc. 2020–26165 Filed 11–25–20; 8:45 am] 

BILLING CODE 5001–06–C 

DEPARTMENT OF DEFENSE 

Office of the Secretary 

[Docket ID: DoD–2020–OS–0096] 

Proposed Collection; Comment 

Request 

AGENCY: Pentagon Force Protection 

Agency, Department of Defense (DoD). 

ACTION: Information collection notice. 

SUMMARY: In compliance with the 

Paperwork Reduction Act of 1995, the 

Office of the Assistant Secretary of 

Defense for Health Affairs announces a 

proposed public information collection 

and seeks public comment on the 

provisions thereof. Comments are 

invited on: Whether the proposed 

collection of information is necessary 

for the proper performance of the 

functions of the agency, including 

whether the information shall have 

practical utility; the accuracy of the 

agency’s estimate of the burden of the 

proposed information collection; ways 

to enhance the quality, utility, and 

clarity of the information to be 

collected; and ways to minimize the 

burden of the information collection on 

respondents, including through the use 

of automated collection techniques or 

other forms of information technology. 

DATES: Consideration will be given to all 

comments received by January 26, 2021. 

ADDRESSES: You may submit comments, 

identified by docket number and title, 

by any of the following methods: 

• Federal eRulemaking Portal: http:// 

www.regulations.gov. Follow the 

instructions for submitting comments. 

• Mail: The DoD cannot receive 

written comments at this time due to the 

COVID–19 pandemic. Comments should 


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