54604 Federal Register / Vol. 62, No. 203 / Tuesday, October 21, 1997 / Notices

1400 Independence Avenue SW, Room

4162 South Building, Washington, D.C.

20250–2000.

All responses to this notice will be

summarized and included in the request

for OMB approval. All comments will

also become a matter of public record.

Signed at Washington, D.C., October 3,

1997.

Rich Allen,

Acting Administrator, National Agricultural

Statistics Service.

[FR Doc. 97–27748 Filed 10–20–97; 8:45 am]

BILLING CODE 3410–20–P

DEPARTMENT OF COMMERCE

Submission for OMB Review;

Comment Request

DOC has submitted to the Office of

Management and Budget (OMB) for

clearance the following proposal for

collection of information under the

provisions of the Paperwork Reduction

Act (44 U.S.C. chapter 35).

Agency: Bureau of the Census.

Title: Annual Commodity Survey

Test.

Form Number(s): MA25Z, MA28X,

MA28Z.

Agency Approval Number: None.

Type of Request: New collection.

Burden: 4,380 hours.

Number of Respondents: 2,900.

Avg Hours Per Response: 1.5 hours.

Needs and Uses: The proposed

information collection is a test of an

alternate method of collecting

manufacturers’ product shipments data.

Currently, we collect product class

shipments from the establishments in

the Annual Survey of Manufactures

(ASM) and product shipments in the

Census of Manufactures every five

years. We also collect product

shipments for various products from a

combination of companies and

establishments in the Current Industrial

Reports (CIR) series. The data from the

CIR, while quite detailed, do not cover

all manufactured products. The data

from the ASM, while comprehensive,

does not provide sufficient detail for

some users.

The Census Bureau would like to

design a survey that would satisfy the

need for both comprehensive and more

detailed product data. The survey

would collect detailed product

shipments data from a sample of all

manufacturing companies. The survey

would cover all manufacturers’ products

at greater detail than the current ASM

but less detail that is available in the

existing CIR. If it is possible to

successfully design such a survey, we

could reduce the size of the ASM and

eliminate much of the existing CIR

program and divert those resources to

the new survey.

Before we give additional

consideration to implementation, we are

planning to test the concept. We plan to

select a sample of approximately 2,900

companies and ask them to report their

company level product shipments for

data year 1997. We have drafted

questionnaires and developed reporting

instructions. We plan to compare the

results of this test collection to data

from the CIR program and the 1997

Census of Manufactures. Those

comparisons and the results of response

follow-up to the test survey should help

us determine if this type of survey is

feasible and likely to produce the results

our data users need.

Affected Public: Business or other forprofit.

Frequency: One-time.

Respondent’s Obligation: Mandatory.

Legal Authority: Title 13 U.S.C.,

Section 182.

OMB Desk Officer: Jerry Coffey, (202)

395–7314.

Copies of the above information

collection proposal can be obtained by

calling or writing Linda Engelmeier,

DOC Forms Clearance Officer, (202)

482–3272, Department of Commerce,

room 5312, 14th and Constitution

Avenue, NW, Washington, DC 20230.

Written comments and

recommendations for the proposed

information collection should be sent

within 30 days of publication of this

notice to Jerry Coffey, OMB Desk

Officer, room 10201, New Executive

Office Building, Washington, DC 20503.

Dated: October 15, 1997.

W. Dan Haigler,

Acting Departmental Forms Clearance

Officer, Office of Management and

Organization.

[FR Doc. 97–27820 Filed 10–20–97; 8:45 am]

BILLING CODE 3510–07–P

DEPARTMENT OF COMMERCE

National Institute of Standards and

Technology

[Docket No. 970811195–7195–01]

Alternative Personnel Management

System (APMS) at the National

Institute of Standards and Technology

AGENCY: National Institute of Standards

and Technology, Department of

Commerce.

ACTION: Notice of consolidation and

republication of a demonstration project

plan as a permanent system pursuant to

Public Law 104–113.

SUMMARY: This notice (1) consolidates

the original plan and the two

subsequent amendments into a single

document for better understanding and

ease of use; (2) documents the

procedures by which the equivalent of

locality-based comparability payments

are applied at the National Institute of

Standards and Technology (NIST); (3)

specifies how to determine the General

Schedule (GS) grade and rates of pay for

employees who leave the NIST

alternative personnel management

system; (4) allows NIST to remove from

the pay-for-performance system any

positions not filled by career or careerconditional appointment; and (5)

corrects, simplifies, and clarifies the

project plan.

EFFECTIVE DATE: October 21, 1997.

FOR FURTHER INFORMATION CONTACT:

Allen Cassady at NIST on (301) 975–

3031; Gail Redd at OPM on (202) 606–

1521.

SUPPLEMENTARY INFORMATION:

1. Background

In accordance with Public Law 99–

574, the NIST authorization act for

1987, OPM approved a demonstration

project plan, ‘‘Alternative Personnel

Management System at the National

Institute of Standards and Technology,’’

and published the plan in the Federal

Register on October 2, 1987 (52 FR

37082). The project plan has been

modified two times to clarify certain

NIST authorities (54 FR 21331 of May

17, 1989, and 54 FR 33790 of August 16,

1989), and to revise the performance

appraisal and pay administration

systems to better link pay with

performance (55 FR 19688 of May 10,

1990, and 55 FR 39220 of September 25,

1990).

In a letter to NIST dated December 30,

1993, OPM offered two options to NIST

for implementing locality pay beginning

in January 1994. Option 1 would have

required implementation of locality pay

in a manner as close as possible to the

implementation for GS employees.

Locality pay would have been separate

from basic pay and would have counted

as basic pay for the same limited

purposes for which it is basic pay for GS

employees (5 CFR 531.606(b)). Option 2

would allow NIST to incorporate the

equivalent of locality pay into its own

basic pay package.

NIST chose Option 2. Adjustments in

pay band ranges and in eligible

employees’ basic pay rates are made at

the time of GS general and/or locality

pay increases. Pay rates under the NIST

Alternative Personnel Management

System (NIST APMS) will be basic pay
Federal Register / Vol. 62, No. 203 / Tuesday, October 21, 1997 / Notices 54605

for all purposes except those

specifically stated in this notice.

This notice formally changes the

project plan to clarify how locality pay

is applied at NIST. It also documents or

clarifies any administrative change

made by OPM under its authority on

other pay-related matters.

2. Public Law 99–574, National Bureau

of Standards Authorization Act For

Fiscal Year 1987

Because many elements of the NIST

APMS were originally required by

Section 10 of Pub. L. 99–574, the

complete text of Section 10 is presented

here.

Demonstration Project Relating to

Personnel Management

Sec. 10(a)(1) The Office of Personnel

Management and the National Bureau of

Standards shall jointly design a

demonstration project which shall be

conducted by the Director of the

National Bureau of Standards.

(2) The demonstration project shall,

except as otherwise provided in this

section, be conducted in accordance

with section 4703 of title 5, United

States Code, and shall be counted as a

single project for purposes of subsection

(d)(2) of such section.

(3) Subject to subsections (f) and (g)

of section 4703 of title 5, United States

Code, the demonstration project shall

cover any position within the National

Bureau of Standards which would

otherwise be subject to—

(A) subchapter III of chapter 53 of title

5, United States Code, relating to the

General Schedule;

(B) subchapter VIII of chapter 53 of

title 5, United States Code, relating to

the Senior Executive Service; or

(C) chapter 54 of title 5, United States

Code, relating to the Performance

Management and Recognition System.

(b) Under the demonstration project,

the Director of the National Bureau of

Standards shall provide that—

(1) the rate of basic pay for a position

may not be less than the minimum rate

of basic pay, nor more than the

maximum rate of basic pay, payable for

the pay band (as referred to in paragraph

(3)) within which such position has

been placed;

(2) the minimum and maximum rates

of basic pay for each pay band shall be

adjusted at the times, and by the

amounts, provided for under subsection

(c);

(3) positions shall be classified under

a system using pay bands which shall be

established by combining or otherwise

modifying the classes, grades, or other

units which would otherwise be used in

classifying the positions involved;

(4) employees shall be evaluated

under a performance appraisal system

which—

(A) uses peer comparison and ranking

wherever appropriate; and

(B) affords appeal rights comparable

to those afforded under chapter 43 of

title 5, United States Code;

(5) the rate of basic pay of each

participating employee will be reviewed

annually, and shall be adjusted on the

basis of the appraised performance of

the employee; and

(B) subject to subsection (c)(4)(A)(i),

the adjustment under subparagraph (A)

in any year in the case of any employee

whose performance is rated at the fully

successful level or higher shall be at

least the percentage adjustment taking

effect under subsection (c)(3) in such

year;

(6) appropriate supervisory and

managerial pay differentials (which

shall be considered a part of basic pay)

shall be provided;

(7) performance-recognition bonuses,

and recruitment and retention

allowances, shall be awarded in

appropriate circumstances, (but shall

not be considered a part of basic pay);

(8) there shall be an employee

development program which includes

provisions under which employees may,

in appropriate circumstances, be

granted sabbaticals, the terms and

conditions of which shall be consistent

with those applicable for members of

the Senior Executive Service under

section 3396(c) of title 5, United States

Code (excluding paragraph (2)(B)

thereof);

(9) payment of travel expenses shall

be provided for personnel to their first

post of duty in the same manner as is

authorized for members of the Senior

Executive Service under section 5723 of

title 5, United States Code, at the

discretion of the Director; and

(10) the methods of establishing

qualification requirements for,

recruitment for, and appointment to

positions shall, at the discretion of the

Director, include methods involving

direct examination and hiring.

(c)(1) For the purpose of this

subsection, the term ‘‘compensation’’

means the total value of the various

forms of compensation provided,

including—

(A) basic pay;

(B) bonuses;

(C) allowances;

(D) retirement benefits;

(E) health insurance benefits;

(F) life insurance benefits; and

(G) leave benefits.

(2) The Director of the National

Bureau of Standards shall, by contract

or otherwise, provide for the

preparation of reports which, based on

appropriate surveys—

(A) shall include findings as to—

(i) the extent to which, as of the

commencement of the demonstration

project, the overall average level of

compensation provided with respect to

positions under the demonstration

project is deficient in comparison to the

overall average level of compensation

generally provided with respect to

positions involving the same types and

levels of work in the private sector; and

(ii) with respect to each year

thereafter, any net increase occurring

during such year in the extent of the

deficiency in the overall average level of

compensation provided with respect to

positions under the demonstration

project, as compared to the overall

average level of compensation generally

provided with respect to positions

involving the same types and levels of

work in the private sector; and

(B) shall recommend a single

percentage by which basic pay for all

positions under the demonstration

project must be increased so that, when

considered in conjunction with the

other forms of compensation generally

provided, any net increase determined

under subparagraph (A)(ii) will be

eliminated.

(3) Whenever the Director of the

National Bureau of Standards receives a

recommendation under paragraph

(2)(B), the Director—

(A) shall increase the minimum and

maximum rates of basic pay for each

such pay band by the lesser of—

(i) the percentage recommended; or

(ii) the overall average percentage of

the adjustment in the rates of pay under

the General Schedule under section

5305 of title 5, United States Code, for

the period involved; and

(B) if and to the extent that funds are

available for that purpose, may further

increase those minimum and maximum

rates—

(i) to make up for any part of the

difference between the respective

percentages under subparagraph (A), if

the percentage under subparagraph

(A)(ii) is the lesser; and

(ii) after making up for the entirety of

any difference determined under clause

(i) (including from any previous year),

to eliminate any part of any remaining

deficiency as originally determined

under paragraph (2)(A)(i).

(4)(A) Notwithstanding any other

provision of this section—

(i) the maximum rate of basic pay

payable under any pay band may not

exceed the rate of basic pay payable for

level IV of the Executive Schedule; and

(ii) the amount of basic pay, bonuses,

and allowances paid during any fiscal
54606 Federal Register / Vol. 62, No. 203 / Tuesday, October 21, 1997 / Notices

year to any employee participating in

the demonstration project may not, in

the aggregate, exceed the annual rate of

basic pay payable for level I of the

Executive Schedule.

(B)(i) Any amount which is not paid

to an employee during a fiscal year

because of the limitation under

subparagraph (A)(ii) shall be paid in a

lump sum at the beginning of the

following fiscal year.

(ii) Any amount paid under this

subparagraph during a fiscal year shall

be taken into account for purposes of

applying the limitation under

subparagraph (A)(ii) with respect to

such fiscal year.

(5) Notwithstanding any other

provision of this section, the

demonstration project shall be

conducted in such a way so that, with

respect to the 12-month period

beginning on October 1, 1986, the total

cost to the Government relating to

providing compensation to participating

employees shall not exceed the total

cost which would have resulted if this

section has not been enacted.

(6)(A) If the minimum rate of basic

pay for a pay band, after an increase

under paragraph (3)(A), exceeds the rate

of basic pay payable to an employee

whose position would otherwise be

within such pay band, the employees’s

position may, notwithstanding

subsection (b)(1), be placed in the next

lower pay band.

(B) Placement of a position in a lower

pay band under subparagraph (A) shall

not be considered a reduction in grade

or pay for purposes of subchapter II of

chapter 75 of title 5, United States Code,

or a comparable provision under the

project.

(d)(1) The rate of basic pay for an

employee serving in a position at the

time it is converted to a position

covered by the demonstration project

may not be reduced by reason of the

establishment of such project.

(2)(A) Each employee referred to in

paragraph (1) shall be paid—

(i) in the case of an employee serving

in a position under the General

Schedule on the date the position

becomes covered by the demonstration

project, a lump-sum pro rata share of the

equivalent of any within-grade increase

which would have been due the

employee under section 5335 of title 5,

United States Code, computed as

provided in subparagraph (B), and

(ii) in the case of an employee serving

in a position subject to chapter 54 of

title 5, United States Code, on such date,

a lump sum pro rata share of the

equivalent of the employee’s merit

increase which would have been due

under such chapter, computed as

provided in subparagraph (B), taking

into account the performance

requirements applicable to such

increase.

(B) For purposes of subparagraph (A),

the pro rata share of an equivalent

increase referred to in such

subparagraph shall be computed

through the day before the date referred

to in such subparagraph.

(e)(1)(A) In carrying out section

4703(h) of title 5, United States Code,

with respect to the demonstration

project, the Office of Personnel

Management shall provide that such

project will be evaluated on an annual

basis by a contractor. Such contractor

shall be especially qualified to perform

the evaluation based on its expertise in

matters relating to personnel

management and compensation.

(B) The contractor shall report its

findings to the Office in writing. After

considering the report, the Office shall

transmit a copy of the report, together

with any comments of the Office and

any comments submitted by the

National Bureau of Standards, to—

(i) the Committee on Post Office and

Civil Service, and the Committee on

Science and Technology, of the House

of Representatives; and

(ii) the Committee on Governmental

Affairs, and the Committee on

Commerce, Science, and Transportation,

of the Senate.

(2) The Comptroller General shall, not

later than 4 years after the date on

which the demonstration project

commences, submit to each of the

committees referred to in paragraph

(1)(B) a final report concerning such

project. Such report shall include any

recommendations for legislation or

other action which the Comptroller

General considers appropriate.

(f) The authority to enter into any

contract under this section may be

exercised only to such extent or in such

amounts as are provided in advance in

appropriated Acts.

(g) The demonstration project shall

commence not later than January 1,

1988.

After the initial five years of the

project, OPM twice extended the project

administratively. The first extension

extended the project from December 30,

1992 through September 30, 1995. The

second extension would have extended

the project until September 30, 1998.

However, the NIST personnel

management demonstration project was

extended indefinitely by Section 10 of

the National Technology Transfer and

Advancement Act of 1995 (Public Law

104–113, March 7, 1996):

Section 10. PERSONNEL

The personnel management

demonstration project established under

section 10 of the National Bureau of

Standards Authorization Act for Fiscal

Year 1987 (15 U.S.C. 275 note) is

extended indefinitely.

National Institute of Standards and

Technology.

Robert E. Hebner,

Acting Director.

System Plan

The NIST alternative personnel

management system plan reads as

follows.

An Alternative Personnel Management

System To Improve the Ability of the

National Institute of Standards and

Technology to Attract Highly Qualified

Candidates, Motivate Employees, and

Retain Successful Performers

Introduction

Executive Summary

The NIST APMS was designed by the

National Institute of Standards and

Technology, in cooperation with the

U.S. Department of Commerce (DoC)

and the Office of Personnel Management

(OPM). The NIST APMS was built on

the concepts of: (1) Market sensitivity;

(2) performance; (3) administrative

simplicity; (4) management flexibility

and accountability; and (5) Broad

applicability.

The NIST APMS system was designed

to (1) improve hiring and allow NIST to

compete more effectively for highquality researchers, through direct

hiring, selective use of higher entry

salaries, and selective use of recruiting

allowances; (2) motivate and retain staff,

through higher pay potential, pay-forperformance, more responsive

personnel systems, and selective use of

retention allowances; (3) strengthen the

manager’s role in personnel

management, through delegation of

personnel authorities; and (4) increase

the efficiency of personnel systems,

through installation of a simpler and

more flexible classification system

based on pay banding, through

reduction of guidelines, steps, and

paperwork in classification, hiring, and

other personnel systems, and through

automation.

Participating Organizations

All sites of the National Institute of

Standards and Technology participate

in the NIST APMS. The two main sites

are located at Gaithersburg, Maryland,

which is also the headquarters of NIST,

and at Boulder, Colorado. The two main

sites are similar in employment profiles,
Federal Register / Vol. 62, No. 203 / Tuesday, October 21, 1997 / Notices 54607

with the following exceptions: (1) about

85 percent of employees covered by the

NIST APMS are located at the

Gaithersburg site; and (2) all Operating

Unit (OU) Directors are located in

Gaithersburg. A small number of

covered employees may from time to

time work at sites other than

Gaithersburg or Boulder.

Types and Numbers of Participating

Employees

The NIST APMS covers

approximately 3150 NIST employees.

Labor Participation

A few General Schedule employees at

the Gaithersburg site are represented by

the International Association of

Firefighters (IAFF) and the International

Association of Machinists and

Aerospace Workers, AFL–CIO; and at

the Boulder site by the American

Federation of Government Employees

(AFGE). NIST consults and negotiates

with these unions, as appropriate, in

accordance with 5 U.S.C. 4703(f).

Senior Executive Service (SES) and ST–

3104 Positions

The personnel systems for SES

positions (see 5 U.S.C. 3131–3136 and 5

U.S.C. 5381–5385) did not change for

the NIST APMS. SES classification,

staffing, compensation, performance

appraisal, awards, and reduction in

force are based on standard SES

methods. The personnel systems for ST–

3104 positions (see 5 U.S.C. 3104 and

5376) changed only to the extent that

ST–3104 positions are in the same

performance appraisal, awards, and

reduction in force systems as General

Schedule positions. Classification,

staffing, and compensation, however,

did not change. Neither SES nor ST–

3104 employees were subject to the pro

rata share payouts upon conversion to

the NIST APMS system. Pay

adjustments for their positions under

the NIST APMS are carried out in

accordance with existing Federal rules

pertaining to SES and ST–3104 pay

adjustments.

General Schedule (GS) Positions

The GS category no longer exists as an

identified category under the NIST

APMS. It is incorporated in the new

career-path/pay-band system. The step

increases of the General Schedule are

replaced by the annual performance pay

increases. Except as otherwise provided

in the NIST APMS plan, laws and

regulations pertaining to GS employees

(e.g., overtime pay provisions) continue

in force for all NIST APMS employees

in the same way as they do for GS

employees.

Position Classification

Introduction

The objectives of the NIST

classification system are to simplify the

classification process, make the process

more serviceable and understandable,

and delegate decision-making authority

and accountability to line managers.

Coverage

All former General Schedule positions

at NIST are included in the NIST APMS.

Career Paths

A career path aggregates comparable

occupations that have parallel career

patterns and are suitable for similar

treatment in staffing, classification, pay,

and other personnel functions.

There are four career paths at NIST:

(a) Scientific and Engineering (ZP):

research, policy, staff, and managerial

positions in science, engineering,

computing, and mathematics. Examples

of occupational series in this career path

are 401—Biologist, 801—General

Engineer, 830—Mechanical Engineer,

855—Electronics Engineer, 1301—

General Physical Scientist, 1310—

Physicist, 1320—Chemist, 1520—

Mathematician, and 1530—Statistician.

(b) Scientific and Engineering

Technician (ZT): science and

engineering support positions.

Examples of occupational services in

this career path are 332—Computer

Operator, 802—Engineering Technician,

856—Electronics Technician, 1311—

Physical Science Technician, and

1521—Mathemathics Technician.

(c) Administrative (ZA): specialist

positions in such fields as finance,

procurement, human resources

management, public information,

technical information, accounting, and

management analysis. Examples of

occupational series in this career path

are 080—Security Officer, 201—

Personnel Management Specialist,

340—Program Manager, 341—

Administrative Officer, 510—

Accountant, 560—Budget Analyst,

1082—Writer-Editor, and 1410—

Librarian.

(d) Support (ZS): clerical, assistant,

secretarial, police, firefighter, and other

support positions not fitting the

definition of any of the other career

paths. Examples of occupational series

in this career path are 081—Firefighter,

203—Personnel Clerk/Assistant, 305—

Mail and File clerk, 318—Secretary,

525—Accounting Technician, 1105—

Purchasing Agent, 1106—Procurement

Clerk/Assistant, 1141—Library

Technician, and 2102—Transportation

Clerk/Assistant.

Pay Bands

Each career path is divided into five

pay bands, which replace GS grades.

The maximum rate of a pay band is step

10 of the highest GS grade in the band,

including locality rates. When a special

rate for one or more of the occupations

in the band is higher than the applicable

locality rate, NIST has the option of

using the maximum applicable special

rate to set the maximum rate of the

band.

For each regular pay band, there is a

corresponding supervisory pay band for

employees who receive supervisory pay

differentials. The supervisory pay band

has the same minimum rate as the nonsupervisory band, but has a maximum

rate 6 percent higher than the maximum

rate of the non-supervisory band.

Positions in the supervisory pay bands

include positions with formal

supervisory authority over at least three

positions and other positions approved

by the Personnel Management Board

(PMB) on a case-by-case basis.

The chart below shows the four NIST

APMS career paths, the pay bands in

each career path, and the relationship

between pay bands and General

Schedule grades.

NIST CAREER PATHS AND PAY BANDS

GS Grades 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15

CAREER PATHS BANDS

Scientific and Engineering .............................................. I II III IV V

Scientific and Engineering .............................................. I II III IV V

Administrative (ZA) ......................................................... I II III IV V

Support (ZS) ................................................................... I II III IV V
54608 Federal Register / Vol. 62, No. 203 / Tuesday, October 21, 1997 / Notices

Occupational Series

The General Schedule occupational

series are retained. New occupational

series may be added or deleted in

response to programmatic needs. New

or revised series may also be

established.

NIST Classification Standards

Each NIST classification standard

describes each pay band in two factors:

(1) general duties and responsibilities,

and (2) knowledges, skills, and abilities.

These two factors complement each

other at each pay band in a career path

and may not be separated in classifying

a position. OPM classification standards

are not used.

Position Descriptions

Line managers follow an automated

menu-driven process to classify

positions and produce position

descriptions.

Delegation of Classification Authority

The NIST Personnel Management

Board (PMB) oversees the delegation of

classification authority to line managers.

NIST will establish a plan to review the

accuracy of classification decisions

made by line managers and make

periodic reports to the NIST Director.

The Government-wide system of

approval of SES and ST–3104 positions

will be maintained.

Staffing

Introduction

NIST uses a variety of staffing options

to fill positions. Under all options, the

recruiting and examining efforts are

based at NIST. OPM registers are not

used. These options include Direct

Examination and Hiring, Agency-Based

Staffing, Merit Assignment, and various

noncompetitive placements. The NIST

Office of Human Resources Management

(OHRM) oversees all examining and

hiring activity. Line managers

participate actively in the process.

Direct Examination and Hiring

NIST uses two direct examination and

hiring authorities: Direct Hire Critical

Shortage Occupations and Direct Hire

Critical-Shortage Highly-Qualified

Candidates. These vacancies are

normally filled through direct recruiting

by selecting officials, supplemented by

a required search of the NIST Applicant

Supply File.

Direct Hire: Critical Shortage

Occupations

NIST uses direct-hire procedures for

categories of occupations which require

skills that are in short supply. All

occupations for which there is a special

rate under the General Schedule pay

system constitute a shortage category;

all occupations at Band III and above in

the ZP Career Path constitute a shortage

category; and Nuclear Reactor Operator

positions at Pay Band III and above in

the ZT Career Path constitute a shortage

category. Any position in these three

shortage categories may be filled

through direct-hire procedures.

Direct Hire: Critical Shortage Highly

Qualified Candidates

NIST uses direct-hire procedures for

additional positions for which there is

a shortage of highly qualified

candidates. Candidates for positions at

Band I or II of the ZP Career Path who

have a bachelor’s degree with at least a

2.9 GPA (on a 4.0 scale) or a master’s

degree constitute a shortage category;

candidates for positions at Band I of the

ZT Career Path who have at least a 2.9

GPA in a course of study of at least 2

years in an accredited college, junior

college, or technical institute constitute

a shortage category; and candidates for

positions at Band II of the ZT Career

Path who have at least a 2.9 GPA in 4

years of college study constitute a

shortage category.

Agency-Based Staffing

NIST uses agency-based staffing

procedures to fill vacancies not covered

by direct-hire or the NIST Merit

Assignment Plan (MAP). Vacancies

filled by agency-based procedures are

advertised at a minimum through the

automated nationwide OPM posting

system.

Merit Assignment Plan (MAP)

NIST uses its MAP to fill positions

restricted to current or former Federal

employees with competitive status. This

plan is amended to include any NIST

APMS flexibilities.

NIST Applicant Supply File

NIST advertises the availability of job

opportunities in direct-hire occupations

by continuous posting of the NIST

Applicant Supply Bulletin on the OPM

electronic job opportunity listing. NIST

accepts applications for this file on an

open-continuous bases for all direct-hire

authorities. NIST selecting officials may

recruit directly for applicants, but any

applicants they find must compete with

applicants who apply through the

Applicant Supply Bulletin and other

applicants whose applications are

stored in the Applicant Supply File.

Referral Procedures for Direct

Examination and Hiring and AgencyBased Staffing Authorities

NIST uses either direct referral or

rating and ranking to refer applicants

for vacancies under direct-hire and

agency-based staffing authorities.

1. Direct Referral

A qualified candidate may be referred

directly without rating and ranking:

a. when there are no more than three

qualified candidates and no preference

eligibles; or

b. if the candidate is a preference

eligible with a compensable serviceconnected disability of 10 percent or

more (these preference eligibles are

given absolute preference except when

the position is at Band III or above in

the Scientific and Engineering Career

Path). Selecting officials may choose

any of these preference eligibles when

more than one are referred.

2. Rating and Ranking

Rating and ranking (including veteran

preference and ‘‘rule-of-three’’

procedures) are used when the list of

qualified candidates contains:

a. more than three candidates; or

b. two or more candidates including

at least one preference eligible (except

when direct referral of a 10-point

veteran is made under 1b above).

Priority Placement

NIST follows all Department of

Commerce and OPM priority placement

programs.

Paid Advertising

NIST may use paid advertising as one

of the first steps in recruitment without

having to first try unpaid methods.

Private Sector Temporaries

NIST uses private sector temporary

help services as appropriate.

Probationary Period

Probation under the NIST APMS

follows current law and regulations,

except when an employee in the ZP

Career Path is required to serve a

probationary period. The ZP

probationary period is three years,

except that a supervisor may end the

probationary period of a subordinate ZP

employee anytime after one year.

Qualification Standards

The qualifications required for

placement within a pay band and

within a career path are based on the

OPM Qualification Standards for

General Schedule Positions, except that

testing requirements are not used and

the Superior Academic Criterion is
Federal Register / Vol. 62, No. 203 / Tuesday, October 21, 1997 / Notices 54609

defined as a 2.9 GPA (on a 4.0 scale).

The minimum qualifications for the

occupation and for the GS grade

corresponding to the lowest grade in the

pay band apply. NIST may develop its

own qualification standards based on

current practices in the scientific,

engineering, and computer science

fields and to reflect modern curricula in

recognized degree programs.

Recruitment and Retention Allowances

NIST may grant recruiting and

retention allowances in appropriate

circumstances, not to exceed $10,000 or

25 percent of basic pay, whichever is

greater. Decisions on allowances are

based on market factors such as salary

comparability and salary offer issues;

relocation and dislocation issues;

programmatic urgency; emerging

technologies; turnover rates; special

qualifications; and shortage categories

or scarcity positions unique to NIST. All

scientific, engineering, and other hardto-fill positions are eligible. Recruitment

and Retention Allowances are not

considered part of basic pay.

Travel Expenses

Travel and transportation expenses,

advancement of funds, per diem

expenses incident to travel, and/or

relocation expenses may be provided to

new hires in the same manner as is

authorized in sections 5723, 5724,

5724a, 5724b, and 5724c of title 5, U.S.

Code. Recipients must sign service

agreements indicating commitment to at

least 12 months continued service.

Promotion

A promotion is a change of an

employee to (1) a higher pay band in the

same career path, or (2) a pay band in

another career path in combination with

an increase in pay. To be eligible for

promotion, an employee must have a

current performance rating of Eligible.

The time-in-pay-band requirement for

promotion eligibility is 52 weeks, with

two exceptions: (1) an employee may be

promoted from Band I and Band II in

the Support Career Path without time

restriction; and (2) an employee may be

promoted from Band II to Band III in the

Support Career Path without time

restriction if the employee was not

promoted from a Band I to a Band II

position during the previous 52 weeks.

(For pay provisions related to

promotion, see ‘‘Pay Administration.’’)

Reduction In Force

Introduction

NIST follows reduction-in-force

procedures contained in law and

regulation, with the following

differences.

Link Between Performance and

Retention

An employee with an overall

performance score in the top 10 percent

of scores within a peer group (see

‘‘Performance Evaluation and Rewards’’

below) is credited with 10 additional

years of service for retention purposes.

The total credit is based on the

employee’s three most recent annual

performance ratings of record received

during the 4-year period prior to an

established cutoff date, for a potential

total credit of 30 years. No reduction-inforce credit converts to this system from

any other performance appraisal system.

Competitive Areas

Each of the four career paths in each

NIST local commuting areas is a

separate competitive area—separate

from the other career paths and separate

from the competitive areas of other

NIST employees.

Link Between Pay Bands and Grades

OPM reduction in force regulations on

assignments rights (5 CFR 351.701) are

applied to the NIST APMS by

substituting ‘‘one band’’ for ‘‘three

grades’’ and ‘‘two bands’’ for ‘‘five

grades.’’ OPM severance pay regulations

(5 CFR 550.703) are applied to the NIST

APMS by substituting ‘‘one band’’ for

‘‘two grades’’ and for ‘‘two grade or pay

levels.’’

Pay Administration

Introduction

The NIST APMS pay administration

system provides NIST with the ability to

attract and retain quality employees

through pay setting flexibilities and pay

for performance.

Pay for Performance

Pay for performance has three

components: (a) the NIST annual

adjustment to basic pay; (b) annual

performance pay increases; and (c)

bonuses. The first component, the

annual adjustment to basic pay, is set

according to the subsections below

referring to general and locality

increases. The second component,

performance pay increases, is set

according to the procedures under

‘‘Performance Evaluation and Rewards.’’

The third component, bonuses, is

composed of former cash awards.

Placement in a Lower Pay Band

An employee whose performance

rating is unsatisfactory does not receive

the NIST annual adjustment to basic

pay. Because the minimum pay rate for

each pay band is increased each year by

the amount of the NIST annual

adjustment to basic pay, it is possible

that the new minimum rate of a pay

band will exceed the basic pay of an

employee in that pay band who does not

receive the NIST annual adjustment to

basic pay due to unsatisfactory

performance. When this happens, the

employee is placed in the next lower

pay band. This placement shall not be

considered an adverse action under 5

U.S.C. 7512, nor shall grade (i.e., pay

band) retention under 5 U.S.C. 5362 be

applicable.

Supervisory Pay Differentials

The original legislation authorizing

the NIST demonstration project

provided that ‘‘appropriate supervisory

and managerial pay differentials (which

shall be considered a part of basic pay)

shall be provided.’’ The differential does

not apply to SES and ST–3104

positions.

Supervisors who formally supervise

three or more subordinates and others

approved on a case-by-case basis by the

PMB receive supervisory differentials.

The amounts of the differentials are up

to 6 percent of base salary (see ‘‘Pay

Bands’’ above for a description of the

supervisory pay bands and their

maximum rates).

Upon conversion of NIST supervisors

to the NIST APMS, all eligible positions

are placed in the supervisory pay bands.

The incumbents of these positions are

converted at their basic pay (including

special rates or locality pay) at the time

of conversion, except for ZP

supervisors, who begin receiving the

added differential upon conversion.

There are two types of supervisory

differentials. The first type applies to

new supervisors in the Scientific and

Engineering (ZP) Career Path only. The

amount of this type of differential is

fixed at 3 percent for supervisors below

division chief and 6 percent for division

chiefs and equivalent. The second type

applies to all bands in all career paths

where there are supervisors. Supervisors

in these bands may be eligible for higher

band ceilings (up to 3 or 6 percent

higher than the normal pay band

ceiling) which they may reach through

pay for performance.

The granting of a differential is not

considered a promotion or a competitive

action. The differential is canceled

when an employee’s supervisory

responsibilities are discontinued. The

cancellation of a supervisory differential

does not constitute an adverse action

and there is no right of appeal under 5

U.S.C. Chapter 75.

Pay and Compensation Ceilings

The maximum rate for a pay band

(excluding special pay bands
54610 Federal Register / Vol. 62, No. 203 / Tuesday, October 21, 1997 / Notices

established to allow for the supervisory

pay differential) is equal to the

maximum rate—GS rate, locality rate, or

special rate, as applicable—payable to

GS employees for the grades

corresponding to the pay band. An

employee’s basic pay may not exceed

the maximum rate of the employee’s pay

band (including a supervisory pay

band), except for employees receiving

retained rates of pay.

An employee’s rate of basic pay

payable under any pay band may not

exceed the rate of basic pay payable for

Level IV of the Executive Schedule. An

employee’s aggregate monetary

compensation for a calendar year may

not exceed the basic rate of pay for

Level I of the Executive Schedule, as

required by 5 U.S.C. 5307 and OPM

regulations in subpart B of 5 CFR 530.

Locality Pay Options

On December 30, 1993, OPM

approved the extension of locality pay

to the NIST demonstration project. Two

options were made available.

Option 1 would have required

implementation of locality pay in a

manner as consistent as possible with

implementation for GS employees.

Locality pay would have been separate

from basic pay and would have counted

as basic pay for the same limited

purposes for which it is basic pay for GS

employees (5 CFR 531.606(b)). All

employees would have been eligible for

locality pay adjustments regardless of

performance rating. Employees in pay

bands affected by special rates would

have received full locality adjustments

if their pay were no higher than the GS

step 10 rate of the highest GS grade

within the band, but if their pay were

higher than that step 10 rate, they would

have received an adjustment that would

have increased their pay to no higher

than the GS locality rate for step 10 (i.e.,

GS step 10 rate plus applicable locality

payment).

Option 2 allows implementation of

locality pay as basic pay, as an increase

to the bonus pool, or a combination of

the two. If applied as basic pay, the

locality adjustment would be basic pay

for all purposes except as otherwise

provided in this plan. The locality

adjustment would be applied to the

minimum and maximum rates of each

pay band. For pay bands affected by

special rates, the maximum rate would

be the higher of the special rate and the

locality rate. A locality adjustment may

be applied to an eligible employee’s

basic pay only to the extent that it does

not cause the employee’s basic pay to

exceed the maximum rate of the pay

band.

NIST selected option 2 and has

implemented locality pay as basic pay.

However, NIST may change its selection

after sufficient internal notice

toemployees.

Effect of General and Locality Pay

Increases on Pay Bands

The minimum and maximum rates of

each pay band will be increased at the

time of a general pay increase under 5

U.S.C. 5303 and/or a locality pay

increase under 5 U.S.C. 5304 or 5304a

so that they equal the new localityadjusted minimum and maximum rates

of the grades corresponding to the pay

band. The maximum rates of bands set

according to special rates, however, may

exceed this amount to the extent

necessary to equal the 10th step of the

appropriate special rate scale if that rate

is higher.

Effect of General and Locality Pay

Increases on Individual Pay

Only employees with a current

performance rating of ‘‘eligible’’ may

receive an increase in their basic pay at

the time of pay band adjustments. This

increase in basic pay will reflect any

applicable general and/or locality pay

increase for General Schedule

employees. The increase in basic pay for

eligible employees whose basic pay is at

the ceiling of their pay band will equal

the increase in the ceiling.

The basic pay increase for eligible

employees whose basic pay is below the

ceiling of their band will be calculated

by applying two factors to the

employee’s rate of pay. One factor is the

general increase factor representing the

increase in General Schedule rates

under 5 U.S.C. 5303 (e.g., 1.02 if the

general increase is 2 percent). The

second factor is the locality pay increase

factor, which is derived by dividing the

newly applicable locality pay

percentage factor by the formerly

applicable locality pay percentage

factor. (For example, if the locality

payment percentage for an area

increased from 4.23 percent to 5.48

percent, the locality pay increase factor

would be 1.0548 divided by 1.0423, or

approximately 1.012.) Thus, the new

rate of basic pay would be calculated

using the following formula:

new pay ra form te = general increase factor 1+ newly applicable locality pay percentage

1+ formerly applicable locality pay percentage

× × er pay rate 

However, a basic pay increase will be

applied only to the extent that it does

not cause an employee’s basic pay to

exceed the ceiling of the applicable pay

band.

Basic Pay

Employees covered by the NIST

APMS do not have separate basic pay

rates and locality pay rates, as do

General Schedule employees. They have

a basic pay rate only, which reflects any

general increases and/or locality

adjustments calculated by the above

formula. NIST APMS basic pay rates are

basic pay for all purposes, except as

specifically provided in the NIST APMS

plan.

Pay Setting Upon Promotion

The new basic pay rate upon

promotion may be set at any level in the

new pay band (if the move is to a

different career path, any pay band in

the new career path would be

considered a ‘‘new pay band’’), except

that the minimum pay increase upon

promotion is 6 percent.

Pay Setting for New Hires

The setting of initial salaries within

pay bands for new appointees will be

flexible, particularly for hard-to-fill

positions in the scientific and

engineering career path.

Private Sector Compensation Reports

The Institute will arrange for the

preparation of reports that include

findings on compensation for private

sector positions. NIST will consider

these findings when making NIST pay

decisions.

Conversion of NIST Employees From the

General Schedule to the NIST APMS

System

For NIST employees being converted

from the GS pay system to the NIST

APMS, GS grades will translate directly

to the NIST APMS’s career-path and

pay-band structure. NIST employees

will be converted at their current

highest rate under the GS pay system

(i.e., highest of locality rate or special

rate or similar rate) at the time of

conversion, except for supervisors in the

Scientific and Engineering Career Path

who qualify for a supervisory/
Federal Register / Vol. 62, No. 203 / Tuesday, October 21, 1997 / Notices 54611

managerial pay differential upon

conversion. No one’s salary will be

reduced as a result of the conversion.

When conversion of a NIST employee

into the NIST APMS is accompanied by

a geographic move, the employee’s GS

pay entitlements (including any locality

rate or special rate) in the new area will

be determined before converting the

employee’s pay to the NIST APMS pay

system.

At the time of conversion, each

converted NIST employee will be given

a lump-sum cash payment for the time

credited to the employee toward what

would have been the employee’s next

within-grade increase. The payment for

a General Schedule employee will be

computed by (1) calculating the ratio of

(a) the number of days the employee

will have spent in the employee’s

current rate through the day prior to the

day of conversion, to (b) the total

number of days in the employee’s

current waiting period for a regular

within-grade increase (364, 728, or 1092

days), and (2) multiplying that ratio by

the dollar value of the employee’s next

within-grade increase, as in effect at the

time of conversion.

Movements of GS Employees From

Other Organizations to the NIST APMS

System

GS employees can move into the NIST

APMS from other organizations through

transfer, reassignment, promotion, or

new appointment. When the movement

is by lateral transfer or lateral

reassignment, the employee’s GS grade

will translate directly to the NIST

APMS’s career-path/pay-band structure

and the employee’s rate of basic pay

under the NIST APMS will equal his or

her current highest rate under the GS

pay system (i.e., highest of locality rate

or special rate or similar rate), except for

the addition of a supervisory differential

if the position is a supervisory position

in the Scientific and Engineering Career

Path. When a lateral transfer or lateral

reassignment is accompanied by a

geographic move, the employee’s GS

pay entitlements (including any locality

rate or special rate) in the new area will

be determined before converting the

employee’s pay to the NIST APMS pay

system. When the movement is by new

appointment, promotion, reassignment

with pay adjustment (through merit

assignment plan competition), or

transfer to ‘‘higher grade’’ (i.e., to a band

higher than the band that corresponds to

the employee’s current GS grade) the

new pay rate is set according to NIST

APMS pay setting flexibilities for new

hires and promotions.

Pay Setting Upon Movement of a NIST

Employee to a Different Pay Area

NIST employees who move

(voluntarily or involuntarily) from one

geographic area to another within NIST

will have their pay adjusted to account

for any change in the pay band

maximum rates between the two areas.

This adjustment ensures that the

employee’s relative position in the pay

band (measured as a percentage of the

pay band maximum rate) will be

maintained upon movement. The pay

rate in the new area will be derived

using the following formula:

new pay rate = former pay rate pay band maximum rate after movement

pay band maximum rate before movement

×

The new pay rate is calculated before

any other simultaneous pay action (e.g.,

general pay adjustment or promotion

effective on the same date).

Any reduction in pay solely

attributable to a movement from one pay

area to a lower-paying area shall not be

considered a reduction in basic pay

under the adverse action provisions of

5 U.S.C. 7512(4) or under the pay

retention provisions of 5 U.S.C. 5363.

Nor shall such action be considered a

reduction in basic pay under the pay

retention provisions of 5 U.S.C. 5363.

(The employee retains the right to grieve

or file a complaint regarding a

geographic reassignment if there is an

allegation of a violation of

nondiscrimination statutes or a

prohibited personnel practice.)

Grade and Pay Retention

Grade and pay retention follow

current law and regulations, except as

allowed by specific waiver (e.g.,

substitute ‘‘career path and band’’ for

‘‘grade’’). Specific waivers are listed in

the section below, titled, ‘‘Authorities

and Waiver of Laws and Regulations

Required’’.

Severance Pay

OPM severance pay regulations (5

CFR 550.703) are applied to the NIST

APMS by substituting ‘‘one band’’ for

‘‘two grades’’ and for ‘‘two grade or pay

levels.’’

Performance Evaluation and Rewards

Introduction

The performance evaluation system

provides the basis for decisions on

performance ratings, performance pay

increases, bonuses, and other

performance related actions. The

performance year beings October 1 and

ends September 30. However, an

employee’s performance overall or on a

single element may be evaluated at any

time that adequate information for an

evaluation exists.

Coverage

All employees covered by the NIST

APMS are covered by the APMS

performance evaluation and rewards

system, except the NIST may remove

from the system any position not filled

by career or career conditional

appointment. ST–3104 employees have

their performance evaluated under the

structure of the performance evaluation

system and may receive bonuses, but do

not receive performance pay increases.

Members of the Senior Executive

Service remain under the DoC–NIST

SES performance appraisal, pay, and

bonus system.

Performance Plans

Performance plans are developed each

year by supervisors with input from

employees. Critical performance

elements are established for each

position (all elements are critical). The

supervisor weights each element so that

the total weight of all elements is 100

points. Benchmark performance

standards define the range of

performance. A supervisor may add

supplemental standards to a

performance plan to further elaborate

the benchmark performance standards.

Mid-Year Review

A required mid-year review addresses

mid-year accomplishments,

performance successes and deficiencies,

and any need for performance plan

modifications. Additional reviews may

be held as needed.

Performance Appraisal

Performance appraisals bring

supervisors and employees together to

discuss performance and

accomplishments during the

performance year. The appraisals lead to

decisions by supervisors and pay pool

managers on performance scores,

performance ratings, performance pay

increases, and bonuses. Performance

appraisal is scheduled for the final
54612 Federal Register / Vol. 62, No. 203 / Tuesday, October 21, 1997 / Notices

weeks of the performance year, though

at any time of the year a supervisor may

place an employee on a performance

improvement plan, assign an

unsatisfactory rating if performance is

still unsatisfactory, and take appropriate

action.

Performance Ratings

The NIST ARMS performance ratings

are Eligible (for performance pay

increase, bonus, and annual adjustment

to basic pay) and Unsatisfactory.

Eligible covers the same performance

range as the former ratings of Marginal,

Minimally Successful, Fully Successful.

Commendable, and Outstanding.

Unsatisfactory covers the same

performance as the former ratings of

Unsatisfactory and Unacceptable. An

employee whose performance is

unsatisfactory is placed on a

performance improvement plan and

give an opportunity to improve before a

final rating is assigned.

Performance Scores

Each element is evaluated

individually against the benchmark

performance standards and any

supplemental standards. If a single

element in an employee’s plan is rated

Unsatisfactory, the overall rating is

Unsatisfactory and there is no

performance score. If all elements meet

at least the minimally acceptable

benchmark, the overall rating is Eligible.

Rating Officials score the performance

of employees rated Eligible on a 100-

point scale, which corresponds to the

100-point element weight scale. An

individual element score may be as high

as the weight of that element. The total

performance score is the sum of the

element scores. A perfect score on each

element would produce a total score of

100 points.

Performance Ranking

Employees are ranked, by

performance score, within a peer group.

A peer group may involve no more than

one career path, but may be otherwise

organized by any combination of

organization, occupation, pay band, or

appointment type. Rating Officials rank

their own employees, then Pay Pool

Managers interleave the rankings of

subordinate Rating Officials to produce

peer group rankings at the pay pool

level. A Pay Pool Manager is a line

manager who manages his or her

organization’s pay increase and bonus

fund and has final decision authority

over the performance scores,

performance pay increase, and bonuses

of subordinate employees.

Performance Pay Decisions

The Performance Pay Table divides

each pay band into three segments of

intervals. Each interval is linked to a

range of potential percentage pay

increases beginning at zero and

progressing to a maximum percentage

pay increase. The maximum

performance pay increase an employee

may receive, therefore, depends on the

interval into which the employee’s

salary falls. The Pay Pool Manager

maker a performance pay decision for

each employee in a peer group, based on

the Pay Pool Manager’s ranking and the

pay increase ranges in the Performance

Pay Table. Within a peer group, an

employee may not receive a higher

proportion-of-range than a higherranking employee or a lower proportionor-range than a lower-ranking employee.

Performance Bonuses

Bonuses are the only cash awards

directly linked to the NIST APMS

performance appraisal system, and are

awarded at the ended of the

performance year in conjunction with

decisions on performance pay increases.

A pay Poll Manager may award a bonus

to any employee with an Eligible rating.

Actions Based on Unsatisfactory

Performance

When an employee’s final rating or

performance on a single element is

Unsatisfactory (after an opportunity to

improve performance), NIST may take

action to reassign or remove the

employee, or place the employee in a

lower band, in accordance with

performance action provisions in law

and regulation.

Employee Development

The objective of NIST’s Employee

Development Program is to develop the

competence of employees for maximum

achievement of Institute goals and

objectives. The NIST APMS legislation

mandates the continuation of an

employee development program

including, in appropriate circumstances,

a sabbatical program. The NIST APMS

sabbatical program is consistent with

the terms and conditions of the SES

sabbatical program. It covers all career

appointees under the NIST APMS have

a least seven years of Federal service

and a current performance rating of

Eligible.

Evaluation

Periodic evaluations focus on human

resource management issues. Evaluation

criteria are derived from NIST APMS

objectives, such as the objective to

compete more effectively for highquality staff. Evaluations are based on

personnel records, collected data, and

the results of employee surveys.

Costs

Although the NIST APMS legislation

does not require budget neutrality, NIST

has set for itself an objective to control

total compensation costs associated

with the NIST APMS. NIST maintains

total compensation during the NIST

APMS at the level it would have

reached under the current Governmentwide system. The procedure permits

changes in NIST expenditures which

result from legislatively mandated

program changes and changes in Federal

pay and benefits. NIST may offset

selected salary increases with savings by

reducing turnover, eliminating

unnecessary overhead, and cutting other

personnel costs. NIST measures its

adherence to cost control by preparing

budget estimates based on prescribed

Federal Budget processes and

monitoring actual spending under the

NIST APMS against this budget

estimate.

Conversion or Movement From a NIST

APMS Position to a General Schedule

Position

If a NIST APMS employee is moving

to a General Schedule (GS) position, the

following procedures will be used to

convert the employee’s APMS pay band

to an equivalent GS grade and the

employee’s APMS rate of pay to

equivalent GS rates of pay. The

converted GS grade and rates of pay

must be determined before movement

out of the APMS and any accompanying

geographic movement, promotion, or

other simultaneous action. For lateral

reassignments and lateral transfers, the

converted GS grade and rates of pay will

become the employee’s actual GS grade

and rates of pay, unless immediately

affected by a simultaneous geographic

movement or another pay action. For

non-lateral transfers, promotions, and

other actions, the converted GS grade

and rates of pay will be deemed to be

the employee’s grade and rates of pay at

the time of movement out of the APMS

and will be used in applying applicable

pay setting rules (e.g., promotion rules).

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:

a. The employee’s NIST APMS basic

rate of pay is compared with step 4 rates

in the highest applicable GS rate range

(including a rate range in the GS base

schedule, a rate range in the applicable

locality rate schedule, or a rate range in
Federal Register / Vol. 62, No. 203 / Tuesday, October 21, 1997 / Notices 54613

a special rate schedule for the

employee’s occupation). If the series is

a two-grade interval series, only oddnumbered grades are considered below

GS–11.

b. If the employee’s pay rate equals or

exceeds the applicable step 4 rate of the

highest GS grade in the band, the

employee is converted to that grade.

c. If the employee’s pay rate is lower

than the applicable step 4 rate of the

highest grade, the pay rate is compared

with the step 4 rate of the second

highest grade in the employee’s pay

band. If the employee’s pay rate equals

or exceeds step 4 of the second highest

grade, the employee is converted to that

grade.

d. This process is repeated for each

successively lower grade in the band

until a grade is found in which the

employee’s rate of basic pay equals or

exceeds the applicable step 4 of the

grade. The employee is then converted

at that grade. If the employee’s rate of

pay is below the step 4 rate of the lowest

grade in the band, the employee is

converted to the lowest grade.

e. Exceptions: (1) If the employee’s

pay rate exceeds the maximum rate of

the grade assigned under the abovedescribed ‘‘step 4’’ rule but fits in the

rate range for the next higher applicable

grade in the band (i.e., between step 1

and step 4), then the employee shall be

converted to that next higher applicable

grade; (2) An employee will not be

converted to a lower grade than the

grade held by the employee

immediately preceding a conversion,

lateral reassignment, or lateral transfer

into the NIST APMS, unless since that

time the employee has undergone a

reduction in band; (3) In Band I of the

ZP and ZA Career Paths, students

without a bachelor’s degree or

comparable experience are converted no

higher than GS–4.

2. Pay-Setting Provisions: An

employee’s pay within the converted GS

grade is set by converting the NIST

APMS rate to GS rates of pay in

accordance with the following rules:

a. The pay conversion is done before

any geographic movement or other payrelated action that coincides with the

employee’s movement out of the NIST

APMS.

b. An employee’s NIST APMS rate is

converted to a rate in the highest

applicable rate range for the converted

GS grade (including a rate range in the

GS base schedule, a rate range in the

applicable locality rate schedule, or a

rate range in a special rate schedule for

the employee’s occupation).

c. If the highest applicable rate range

is a locality pay rate range, the NIST

APMS 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 rate of basic pay is

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.)

d. If the highest applicable rate range

is a special rate range, the NIST APMS

rate is converted to a special rate. If this

rate falls between two steps in the

special rate schedule, the rate must be

set at the higher step. The converted GS

rate of basic pay will be the GS rate

corresponding to the converted special

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

e. Exception: If an employee’s NIST

APMS of rate exceeds the maximum rate

of the highest applicable rate range

upon conversion to the General

Schedule the affected employee’s NIST

APMS rate will be converted to a

retained rate under 5 U.S.C. 5363. If an

employee is entitled to a special rate

under the General Schedule, the NIST

APMS is converted directly to a retained

rate. If an employee is only entitled to

locality pay under the General

Schedule, this retained rate is derived

by dividing the NIST APMS rate by the

applicable locality pay factor (i.e., 1

plus the locality payment percentage).

Thus, the locality-adjusted retained rate

will equal the NIST APMS rate the

employee had been receiving before

conversion. Since the employee’s total

rate of pay is not reduced upon

conversion, this change to converted

rates under the General Schedule will

not be considered a reduction in basic

pay under 5 U.S.C. 5363 or 7512.

NIST APMS Revisions

Modifications must be made from

time to time as experience is gained,

results are analyzed, and conclusions

are reached on how the system is

working. Minor procedural

modifications of this published NIST

APMS plan within already existing

waivers may be made by the NIST

Director with appropriate notice (e.g.,

employee, OPM and/or Federal Register

notice). No new waivers from law or

regulation may be added.

NIST APMS Management and

Oversight

In accordance with the original NIST

project legislation, the project is

‘‘conducted by the Director of the

National Bureau of Standards’’ (now

NIST). The Director has delegated

management and oversight of the NIST

APMS to the Personnel Management

Board (PMB), whose members and staff

are appointed by the Director. The PMB

is the NIST body to manage, evaluate,

and make policy and procedural

changes to NIST APMS systems when

needed. When necessary, the PMB

interprets and clarifies NIST APMS

policy. The PMB establishes the

management and administrative

structures for running and evaluating

the NIST APMS and oversees the

delegations of authorities to managers,

supervisors, and management bodies,

including the withdrawal of authority

when warranted. The PMB has the

authority to make exceptions to normal

NIST APMS procedures on a case-bycase basis when it believes an exception

is warranted. The PMB also has the

authority to establish itself as the

approving body for any type of NIST

APMS personnel action for which NIST

has authority.

Authorities and Waiver of Laws and

Regulations Required

Public Law 99–574 gave the National

Institute of Standards and Technology

(NIST) the authority to experiment with

several specific personnel system

innovations which are otherwise

prohibited by law and regulations. In

addition to the authorities granted by

the original NIST project legislation, the

following waivers of law and regulation

are included:

Title 5, U.S. Code

Section 5304, Locality-based

comparability payments.

Section 5333, Minimum rate for new

appointments.

Section 5753–5754 except that

relocation bonuses under section 5753

continue to apply.

Subchapter VI of Chapter 53 Grade

and Pay Retention, (To the extent

necessary to allow the following

modifications: (1) Pay retention does not

apply to reductions in pay caused solely

by geographic movement; and (2) pay

retention does not apply to conversions

to the General Schedule as long as the

employee’s total rate of pay is not

reduced.)

Section 7512(4), Adverse actions, (To

the extent necessary to allow the

following modifications: (1) Exclude

reductions in pay that are solely due to

recomputation upon geographic

movement; and (2) exclude conversions

to the General Schedule that do not

result in a reduction in the employee’s

total rate of pay.)
54614 Federal Register / Vol. 62, No. 203 / Tuesday, October 21, 1997 / Notices

Title 5, Code of Federal Regulations

Sections 315.801 Probationary period;

when required, (waived only for

positions in the Scientific and

Engineering Career path)

Section 315.802 Length of

probationary period, (waived only for

positions in the Scientific and

Engineering Career path)

Section 351.401 Determining

Retention Standing.

Section 351.402 Competitive area in

RIF.

Section 351.403 Competitive level in

RIF.

Section 351.504 (a) and (d) Credit for

Performance.

Section 351.701 Assignment

involving displacement.

Section 531.203 Minimum rate for

new appointments.

Part 575, Subpart A Recruitment

Bonuses.

Part 575, Subpart C Retention

Allowances.

[FR Doc. 97–27796 Filed 10–20–97; 8:45 am]

BILLING CODE 3510–13–M

DEPARTMENT OF COMMERCE

National Institute of Standards and

Technology

Government Owned Invention

Available for Licensing

AGENCY: National Institute of Standards

and Technology Commerce; Commerce.

ACTION: Notice of a government owned

invention available for licensing.

SUMMARY: The invention listed below is

owned by the U.S. Government, as

represented by the Department of

Commerce, and is available for licensing

in accordance with 35 U.S.C. 207 and 37

CFR part 404 to achieve expeditious

commercialization of results of federally

funded research and development.

FOR FURTHER INFORMATION CONTACT:

Technical and licensing information on

this invention may be obtained by

writing to: National Institute of

Standards and Technology, Industrial

Partnerships Program, Building 820,

Room 213, Gaithersburg, MD 20899; Fax

301–869–2751. Any request for

information should include the NIST

Docket No. and Title for the relevant

invention as indicated below.

SUPPLEMENTARY INFORMATION: NIST may

enter into a Cooperative Research and

Development Agreement (‘‘CRADA’’)

with the licensee to perform further

research on the invention for purposes

of commercialization. The invention

available for licensing is:

NIST Docket Number: 96–035.

Title: Mechanical Support For A Two

Pill Adiabatic Demagnetization

Refrigerator.

Abstract: The invention uses two

paramagnetic cooling materials, called

pills, supported on only one side of a

magnet. The design simplifies the

support and provides more active pill

area in the bore of the magnet. Also

described is a support design in which

all of the support strings are placed on

a compact support assembly that

provides for stable tensioning.

Dated: October 15, 1997.

Elaine Bunten-Mines,

Director, Program Office.

[FR Doc. 97–27797 Filed 10–20–97; 8:45 am]

BILLING CODE 3510–13–M

DEPARTMENT OF COMMERCE

National Institute of Standards and

Technology

Jointly Owned Invention Available for

Licensing

AGENCY: National Institute of Standards

and Technology Commerce; Commerce.

ACTION: Notice of a jointly owned

invention available for licensing.

SUMMARY: The invention listed below is

jointly owned by the U.S. Government,

as represented by the Department of

Commerce and Cornell University. The

Department of Commerce’s ownership

interest in this invention is available for

non-exclusive licensing in accordance

with 35 U.S.C. 207 and 37 CFR part 404

to achieve expeditious

commercialization of results of federally

funded research and development.

FOR FURTHER INFORMATION CONTACT:

Technical and licensing information on

this invention may be obtained by

writing to: National Institute of

Standards and Technology, Industrial

Partnerships Program, Building 820,

Room 213, Gaithersburg, MD 20899; Fax

301–869–2751. Any request for

information should include the NIST

Docket No. and Title for the relevant

invention as indicated below.

The invention available for nonexclusive licensing is:

NIST Docket Number: 96–019.

Title: Fabrication Of Structures By

Metastable-Atom Impact Desorption Of

A Passivating Layer.

Description: This invention consists

of a new process for fabricating

microstructures on a surface. It utilizes

the energy contained in neutral

metastable rare gas atoms to remove

passivating atoms from selected areas of

a surface, allowing further chemical

processing to add or remove material to

the exposed areas. Some of the

advantages of this process are realized

by the introduction of atom optical

techniques, which allow structures to be

fabricated with significantly higher

resolution than can be achieved with

optical lithography, and with a greater

amount of parallelism than can be

achieved with electron or ion beam

techniques.

Dated: October 15, 1997.

Elaine Bunten-Mines,

Director, Program Office.

[FR Doc. 97–27798 Filed 10–20–97; 8:45 am]

BILLING CODE 3510–13–M

DEPARTMENT OF COMMERCE

National Institute of Standards and

Technology

Owned Invention Available for

Licensing

AGENCY: National Institute of Standards

and Technology Commerce; Commerce.

ACTION: Notice of a jointly owned

invention available for licensing.

SUMMARY: The invention listed below is

jointly owned by the U.S. Government,

as represented by the Department of

Commerce and X-Ray Optical. The

Department of Commerce’s ownership

interest in this invention is available for

non-exclusive licensing in accordance

with 35 U.S.C. 207 and 37 CFR part 404

to achieve expeditious

commercialization of results of federally

funded research and development.

FOR FURTHER INFORMATION CONTACT:

Technical and licensing information on

this invention may be obtained by

writing to: National Institute of

Standards and Technology, Industrial

Partnerships Program, Building 820,

Room 213, Gaithersburg, MD 20899;

FAX 301–869–2751. Any request for

information should include the NIST

Docket No. and Title for the relevant

invention as indicated below.

The invention available for nonexclusive licensing is:

NIST Docket No: 96–034.

Title: Microcalorimeter X-Ray

Detectors With X-Ray Lens.

Description: The invention uses an xray polycapillary lens to collect x-rays

from a point source over a large solid

angle and focus them onto an x-ray

microcalorimeter detector. The x-ray

lens enhances the capabilities of present

detectors and allows for the detector to

be placed farther from the source.