i DOD CIVILIAN ACQUISITION WORKFORCE PERSONNEL DEMONSTRATION PROJECT OPERATING PROCEDURES TABLE OF CONTENTS EXECUTIVE SUMMARY ------------------------------------------------------------- 1 Chapter 1 - INTRODUCTION 1.2 Personnel Issues Affecting the Workforce -------------------------------- 2 1.1 Federal Register Announcement 1.2 Application of DoD Human Resources Policies to Participating Employees 1.1 Labor-Management Responsibilities 1.5 Reporting Requirements Chapter 2 - DEMONSTRATION PROJECT INITIAL TRANSITION 2.2 Procedures for Transition --------------------------------------------------- 5 2.2 Time Limited Appointments 2.1 Temporary Appointment Not-to-Exceed (NTE) 2.3 Employee Buy-in --------------------------------------------------------------- 6 Chapter 3 - CLASSIFICATION SYSTEM 3.2 Career Paths and Broadband Levels -------------------------------------- 8 3.2 First-Level Supervisors 3.3 Civilian Personnel Specialists 3.5 Position Requirements Document (PRD) 3.6 Fair Labor Standards Act (FLSA) 3.8 Civilian High-Grade Management Program Chapter 4 - HIRING AND APPOINTMENT AUTHORITIES 4.3 Rating of Candidates 4.2 Delegated Examining Authority -------------------------------------------- 13 4.3 Delegated Examining Process 4.3 Scholastic Achievement Authority ----------------------------------------- 14 4.1 Candidate Responses and Referral 4.3 Conversion to Career-Conditional Appointment 4.2 New Probationary Period 4.3 Extended Probationary Period 4.6 Internal Placement Procedures --------------------------------------------- 17 4.2 Reassignment Within the Demonstration Project 4.7 Priority Placement Program (PPP) ---------------------------------------- 17 4.1 Reorganization/Realignment Procedures 4.2 Support for Participating Acquisition Workforce Employees Subject to Geographic Mobility Chapter 5 - PAY ADMINISTRATION 5.1 New Hires and Employees Entering the Demonstration Project After Initial Implementation ------------------------------------------------ 18 5.2 CCAS Annual Adjustment -------------------------------------------------- 18 5.3 Movement Between Broadband Levels ----------------------------------- 19 5.4 Providing a Rating of Record Under Special Circumstances ------ 19 5.5 Change in Assignment -------------------------------------------------------- 20 5.1 Salary Adjustment Guidelines for Temporarily Promoted Employees 5.2 Competitive Selection for a Position with Higher Potential Salary ii 5.3 Non-competitive Actions 5.4 Voluntary Change to Lower Broadband Level/Change in Career Path (Except RIF) 5.5 Involuntary Change to a Lower Broadband Level Without Reduction in Pay Due to Contribution-Based Action 5.6 Involuntary Reduction in Pay/Change to Lower Broadband Level/Change in Career Path Due to Adverse Action 5.7 Involuntary Change to Lower Broadband Level/Change in Career Path Other than Adverse or Contribution-Based Action 5.8 Reduction-in-Force (RIF) Action (Including Employees Who are Offered and Accept a Vacancy at a Lower Broadband Level or in a Different Career Path) 5.9 Return to Limited or Light Duty from a Disability as a Result of Occupational Injury to a Position in a Lower Broadband Level or to a Career Path with Lower Salary Potential than Held Prior to the Injury 5.10 Pay Retention Chapter 6 - CONTRIBUTION BASED COMPENSATION AND APPRAISAL SYSTEM (CCAS) 6.2 Normal Pay Range (NPR) ---------------------------------------------------- 24 6.3 Factors/Discriminators/Descriptors --------------------------------------- 25 6.4 Annual Contribution-based Compensation and Appraisal System Process (CCAS) ---------------------------------------------------------------- 27 6.1 Communicating CCAS Requirements at the Beginning of the Appraisal Cycle 6.2 Feedback During the Appraisal Cycle 6.3 Evaluation at the End of the Appraisal Cycle 6.4 Salary Adjustment Guidelines via Relative Score 6.1 Traditional Pay Plan and Grade 6.6 CCAS Grievance Procedures ----------------------------------------------- 35 6.2 Official Personnel File 6.3 CCAS Program Data 6.2 Interface with Defense Civilian Personnel Data System (DCPDS) 6.3 Determination of Rails 6.4 Release of CCAS Assessment Information 6.5 CCAS Software Description iii Chapter 7 - CONTRIBUTION-BASED ACTIONS 7.1 Notice to Employee and Initiation of Contribution Improvement Plan 7.2 Action Upon Completion of Reasonable Opportunity to Demonstrate Adequate Contribution 7.4 Decision to Take Contribution-based Action ---------------------------- 40 7.6 Appeals --------------------------------------------------------------------------- 41 Chapter 8 - REALIGNMENT INITIATIVE [Note: This item is reserved 42 for final evaluation at this time.] Chapter 9 - ACADEMIC DEGREE AND CERTIFICATE TRAINING 9.3 Implementation ---------------------------------------------------------------- 43 Chapter 10 - SABBATICALS 10.3 Constraints -------------------------------------------------------------------- 44 Chapter 11 - VOLUNTARY EMERITUS PROGRAM 11.1 Application to Participate 11.3 Authorization Chapter 12 - REVISED REDUCTION-IN-FORCE (RIF) PROCEDURES 12.4 Adjusted Service Computation Date ------------------------------------- 47 12.5 Master Retention List ------------------------------------------------------- 47 12.6 Order of Retention ----------------------------------------------------------- 48 12.7 Reduction-in-Force Placement Process ---------------------------------- 48 12.8 Displacement Rights --------------------------------------------------------- 48 iv 12.10 Reduction-in-Force Appeals ---------------------------------------------- 48 12.11 Vacant Positions ------------------------------------------------------------ 48 Chapter 13 - MOVEMENT OUT OF THE DEMONSTRATION PROJECT 13.2 Grade-Setting Provisions --------------------------------------------------- 51 13.3 Pay-Setting Provisions ------------------------------------------------------ 52 13.4 Within-Grade Increase -- Equivalent Increase Determination ---- 53 13.5 Retention Service Credit Associated with Appraisal Results ------ 53 Chapter 14 - TRAINING 14.3 Training Aids ----------------------------------------------------------------- 54 Chapter 15 - EVALUATION 15.5 Site Historian ------------------------------------------------------------------ 56 FIGURES Figure 1 Career Paths and Broadband Levels ---------------------------- 9 Figure 2 Normal Pay Range -------------------------------------------------- 24 Figure 3 CCAS Process -------------------------------------------------------- 27 Figure 4 Notional Larger Pay Pool Example ----------------------------- 30 Figure 5 Compensation Regions Defined by NPR ----------------------- 31 v TABLES Table 1 Compensation Eligibility Chart ------------------------------------------- 18,32 Table 2 Business Management and Technical Management Professional Factor Example (Communication) --------------------------------------- 25 Table 3 Sample Contribution Matrix for Business Management and Technical Management Professional ------------------------------------ 28 Table 4 Point Ranges ------------------------------------------------------------------ 29 Table 5 Example of RIF Process ---------------------------------------------------- 49 Table 6 Retention Service Credit Associated with Appraisal Results ------- 52 Table 7 Translation of Retention Service Credit --------------------------------- 53 APPENDICES Appendix A Occupational Series Covered Under Demonstration Project A-1 Appendix B Definitions of Career Paths and Career Broadband Levels B-1 Appendix C Broadband Level Descriptors ------------------------------------ C-1 Appendix D CCAS Salary Appraisal Form ------------------------------------ D-1 Appendix E Opportunities for Increased Contribution (Flow Chart) --- E-1 Appendix F Relative Score Example -------------------------------------------- F-1 Appendix G Nature of Action Codes (NOAC) --------------------------------- G-1 Appendix H COREDOC Operating Procedures ------------------------------ H-1 Appendix I CCAS Software ------------------------------------------------------ I-1 Appendix J Voluntary Emeritus Work Agreement ------------------------- J-1 Appendix K Training Plan --------------------------------------------------------- K-1 Appendix L Evaluation Plan ----------------------------------------------------- L-1 Appendix M Glossary of Terms --------------------------------------------------- M-1 vi Civilian Acquisition Workforce Personnel Demonstration Project Department of Defense (DoD) EXECUTIVE SUMMARY Title VI of the Civil Service Reform Act, 5 U. 4703, authorizes the Office of Personnel Management (OPM) to conduct demonstration projects that experiment with new and different personnel management concepts to determine whether such changes in personnel policy or procedures would result in improved Federal personnel management. Section 4308 of the National Defense Authorization Act for Fiscal Year 1996 (Pub. § 1701 note), as amended by section 845 of the National Defense Authorization Act for Fiscal Year 1998 (Pub.
105-85), permits the Department of Defense (DoD), with the approval of OPM, to conduct a personnel demonstration project within the Department’s civilian acquisition workforce and those supporting personnel assigned to work directly with the acquisition workforce. This demonstration covers the civilian acquisition workforce and teams of personnel, more than half of which consist of members of the acquisition workforce and the remainder of which consist of supporting personnel assigned to work directly with the acquisition workforce, throughout DoD. The total number of participants is limited to 95,000. The purpose of the DoD Civilian Acquisition Workforce Personnel Demonstration Project is to demonstrate that the effectiveness of DoD acquisition can be enhanced by allowing greater managerial control over personnel processes and functions and, at the same time, expand the opportunities available to employees through a more responsive and flexible personnel system.
To this end, the proposed project involves: (1) simplified job classification; (2) broadbanding; (3) streamlined hiring processes; (4) modified application of the DoD Priority Placement Program (PPP); (5) a contribution-based compensation and appraisal system; (6) expanded training opportunities; (7) sabbaticals; (8) a voluntary emeritus program; and (9) revised reduction-in-force procedures. The demonstration is the first personnel demonstration that crosses DoD component lines, and the first demonstration to be designed along functional lines instead of organizational lines. This demonstration project does not waive civil service laws in the areas of employee leave, employee benefits, equal employment opportunity, political activity, merit system principles, or prohibited personnel practices. Over the last several years, the way Government does business has fundamentally changed.
In particular, the Department of Defense (DoD) has redesigned itself and some of the functions it performs. It has developed from a cold war/large war strategy to a peace keeping/small war strategy. DoD’s budget has been drastically cut, as well as associated personnel. The acquisition community has taken on the challenge to reform and modernize itself in order to perform efficiently in the present environment.
The acquisition community has attempted to adopt many new practices from private industry, as well as streamline existing practices. In general, the community has tried to break old paradigms and build new processes that will be more efficient and effective. The concept of “value added” has become integral to all endeavors. To implement this concept and these new processes fully, DoD must reinvent not only the tools of acquisition, but also the personnel management system that governs the acquisition workforce.2 Personnel Issues Affecting the Workforce.
The Defense Acquisition Workforce Improvement Act (DAWIA) recognized the unique characteristics of the workforce and issued broad guidelines for advanced degrees, specialized training, rotation of personnel, and experience. Criteria were established for levels of certification and expertise. But no new personnel management system was enacted at the time of DAWIA’s passage to facilitate acquisition employees’ careers or reward them for their contributions. The DoD Civilian Acquisition Workforce Personnel Demonstration Project does not change the provisions of DAWIA.
The Components and Activities will modify their policy and procedures to the degree necessary to permit organizations participating in this project to implement its initiatives. The purpose of this project is to demonstrate that effectiveness of DoD acquisition can be enhanced by allowing greater managerial control over personnel processes and functions and, at the same time, expand the opportunities available to employees through a more responsive and flexible personnel system. The following initiatives require waivers of civil service law and/or Governmentwide regulations, and accordingly are contained in the demonstration project plan published in the Federal Register on January 8, 1999: (1) simplified job classification; (2) broadbanding; (3) streamlined hiring processes; (4) a contribution-based compensation and appraisal system; (5) expanded training opportunities; (6) sabbaticals; (7) a voluntary emeritus program; and (8) revised reduction-in-force procedures. There is also an initiative that does not require such waivers: modified application of the DoD Priority Placement Program.
This initiative does not require publication in the Federal Register but is contained instead in these Operating Procedures. In September 1996 a Process Action Team (PAT) was formed by the Secretary of Defense in response to Section 4308 of the National Defense Authorization Act for Fiscal Year 1996. The PAT was chartered to take full opportunity of this legislation and to develop solutions for many DoD acquisition workforce personnel issues. The team included managers from each of the Military Services and DoD Components, as well as subject-matter experts from civilian personnel and manpower.
This team developed initiatives that, together, represent sweeping changes to the entire spectrum of human resource management for the DoD acquisition workforce. Several initiatives were designed to assist DoD acquisition activities in hiring and placing the best people to fulfill mission requirements. Others focused on developing, 2 motivating, and equitably compensating employees based on their contribution to the mission. Initiatives to manage workforce realignment effectively and maintain organizational excellence were also developed.
These initiatives were endorsed and accepted in total by the acquisition leadership. These Operating Procedures are designed to outline the demonstration project processes, including detailed information on specific procedures. The Operating Procedures detail the changes to the existing human resources management system and how to implement those changes as part of a unified demonstration. The appendices contain details of the new procedures, required data, new forms, implementing software, and other pertinent information.
This demonstration project does not waive civil service laws in the areas of employee leave, employee benefits, equal employment opportunity, political activity, merit system principles, or prohibited personnel practices.1 Federal Register Announcement. The first Federal Register notice, published March 24, 1998, establishes the intent to conduct a personnel demonstration for acquisition workforce personnel and describes the title 5 initiatives. The second Federal Register notice, dated January 8, 1999, describes personnel initiatives to be implemented under this demonstration project.2 Application of DoD Human Resources Policies to Participating Employees. Two initiatives under this demonstration project do not require waivers of civil service law (title 5, United States Code) or Governmentwide regulations, but do entail modified application of DoD human resources policies to employees participating in the demonstration project.
