Department of Defense Science and Technology Reinvention Laboratory (STRL) Personnel Demonstration (Demo) Project Program, 40500-40509 [2021-16082]
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national security; and (3) the disclosure
made to such agencies, entities, and
persons is reasonably necessary to assist
in connection with the DoD’s efforts to
respond to the suspected or confirmed
breach or to prevent, minimize, or
remedy such harm.
H. To another Federal agency or
Federal entity, when the DoD
determines information from this
system of records is reasonably
necessary to assist the recipient agency
or entity in (1) responding to a
suspected or confirmed breach or (2)
preventing, minimizing, or remedying
the risk of harm to individuals, the
recipient agency or entity (including its
information systems, programs and
operations), the Federal Government, or
national security, resulting from a
suspected or confirmed breach.
I. To such recipients and under such
circumstances and procedures as are
mandated by Federal statute or treaty.
J. To other Federal agencies in order
to support manpower research
sponsored by DoD and those agencies.
POLICIES AND PRACTICES FOR STORAGE OF
RECORDS:
Records may be stored electronically
or on paper in secure facilities in a
locked drawer behind a locked door.
The records may be stored on magnetic
disc, tape, or digital media; in agencyowned cloud environments; or in
vendor Cloud Service Offerings certified
under the Federal Risk and
Authorization Management Program
(FedRAMP). To maintain confidentiality
of survey responses, DoD ID numbers or
other direct identifiers are never stored
in the same database as survey
responses, but are maintained in bridge
files with access only limited to a small
number of Office of People Analytics
staff.
POLICIES AND PRACTICES FOR RETRIEVAL OF
RECORDS:
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Records can be retrieved using an
OPA survey bridge file that contains
DoD ID Number and survey ID number.
Each survey participant is assigned a
survey ID number. Retrievals are only
made in compliance with all privacy,
human subject protections, and
Confidentiality Certificates
requirements.
POLICIES AND PRACTICES FOR RETENTION AND
DISPOSAL OF RECORDS:
A. Master file, system documentation,
codebooks, record layouts, and other
system documentation. Permanent, cut
off on completion of the report for the
DoD office requiring the creation of the
report. Transfer master file and system
documentation to NARA at cutoff in
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accordance with standards of 36 CFR
1228.270 and 36 CFR 1234.
B. Hard copy survey questionnaires
(inputs/source records). Temporary.
Destroy after computer records have
been created and validated.
C. Summary reports (electronic or
paper). Temporary. Delete/destroy when
no longer needed for operational
purposes.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL
SAFEGUARDS:
Records are maintained in controlled
areas accessible only to authorized
personnel. Access to personal
information is further restricted by the
use of Common Access Card and user
ID/passwords. Paper records are
maintained in a controlled facility
where physical entry is restricted by the
use of locks, a card access control
system, staffed reception areas, and
cameras inside and outside which
monitor all doors. Technical controls in
place are user identification and
passwords, Intrusion Detection System,
encryption, firewalls, Virtual Private
Networks, and Public Key Infrastructure
Certificates. Administrative controls in
place are periodic security audits,
ensuring only authorized personnel
have access to PII, encryption of
backups containing sensitive data, and
securing backups off-site. Additionally,
to maintain confidentiality of survey
responses, DoD ID numbers or other
direct identifiers are never stored in the
same database as survey responses, but
are maintained in bridge files with
access only limited to a small number
of Office of People Analytics staff.
RECORD ACCESS PROCEDURES:
Individuals seeking access their
records should follow the procedures in
32 CFR part 310. Individuals should
address written inquiries to the Office of
the Secretary of Defense/Joint Staff,
Freedom of Information Act Requester
Service Center, Office of Freedom of
Information, 1155 Defense Pentagon,
Washington, DC 20301. Signed written
request should contain individual’s full
name, DoD ID Number and current
address and telephone number of the
individual. In addition, the requester
must provide a notarized statement or
an unsworn declaration made in
accordance with 28 U.S.C. 1746, in the
following format:
If executed outside the United States:
‘‘I declare (or certify, verify, or state)
under penalty of perjury under the laws
of the United States of America that the
foregoing is true and correct. Executed
on (date). (Signature).’’
If executed within the United States,
its territories, possessions, or
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commonwealths: ‘‘I declare (or certify,
verify, or state) under penalty of perjury
that the foregoing is true and correct.
Executed on (date). (Signature).’’
CONTESTING RECORD PROCEDURES:
The DoD rules for accessing records,
contesting contents and appealing
initial agency determinations are
contained in 32 CFR part 310.
NOTIFICATION PROCEDURES:
The DoD rules for accessing records,
contesting contents, and appealing
initial Component determinations are
contained in 32 CFR part 310, or may
be obtained from the system manager.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
None.
HISTORY:
October 02, 2007, 72 FR 56062.
[FR Doc. 2021–16054 Filed 7–27–21; 8:45 am]
BILLING CODE 5001–06–P
DEPARTMENT OF DEFENSE
Office of the Secretary
Department of Defense Science and
Technology Reinvention Laboratory
(STRL) Personnel Demonstration
(Demo) Project Program
Office of the Under Secretary of
Defense for Research and Engineering
(OUSD(R&E)), Department of Defense
(DoD).
ACTION: Notice of amendment; STRL
Personnel Demonstration Project
reduction-in-force (RIF) procedures.
AGENCY:
This notice amends STRL
Personnel Demonstration Project
reduction-in-force (RIF) procedures.
STRL RIF procedures will ensure
employees involuntarily separated
through a RIF are separated primarily
based on performance, as determined
under any applicable performancemanagement system.
DATES: This proposal may not be
implemented until a 30-day comment
period is provided, comments
addressed, and a final Federal Register
notice (FRN) published. To be
considered, written comments must be
submitted on or before August 27, 2021.
ADDRESSES: You may submit comments,
identified by docket number and title,
by any of the following methods:
Federal eRulemaking Portal: https://
www.regulations.gov. Follow the
instructions for submitting comments.
Mail: DoD cannot receive written
comments at this time due to the
COVID–19 pandemic. Comments should
be sent electronically to the docket
listed above.
SUMMARY:
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Instructions: All submissions received
must include the agency name, docket
number, and title for this Federal
Register document. The general policy
for comments and other submissions
from members of the public is to make
these submissions available for public
viewing on the internet at https://
www.regulations.gov as they are
received, without change, including any
personal identifiers or contact
information.
FOR FURTHER INFORMATION CONTACT:
Department of the Air Force:
• Air Force Research Laboratory: Ms.
Rosalyn Jones-Byrd, 937–656–9747,
Rosalyn.Jones-Byrd@us.af.mil.
• Joint Warfare Analysis Center: Ms.
Amy Balmaz, 540–653–8598,
Amy.T.Balmaz.civ@mail.mil.
Department of the Army:
• Army Futures Command: Ms.
Johnna Thompson, 830–469–2057,
johnna.i.thompson.civ@mail.mil.
• Army Research Institute for the
Behavioral and Social Sciences: Dr.
Scott Shadrick, 254–288–3800,
Scott.B.Shadrick.civ@mail.mil.
• Combat Capabilities Development
Command Armaments Center: Mr. Mike
Nicotra, 973–724–7764,
Michael.J.Nicotra.civ@mail.mil.
• Combat Capabilities Development
Command Army Research Laboratory:
Mr. Christopher Tahaney, 410–278–
9069, Christopher.S.Tahaney.civ@
mail.mil.
• Combat Capabilities Development
Command Aviation and Missile Center:
Ms. Nancy Salmon, 256–876–9647,
Nancy.C.Salmon2.civ@mail.mil.
• Combat Capabilities Development
Command Chemical Biological Center:
Ms. Patricia Milwicz, 410–417–2343,
Patricia.L.Milwicz.civ@mail.mil.
• Combat Capabilities Development
Command Command, Control,
Communications, Computers, Cyber,
Intelligence, Surveillance, and
Reconnaissance Center: Ms. Angela
Clybourn, 443–395–2110,
Angela.M.Clyborn.civ@mail.mil.
• Combat Capabilities Development
Command Ground Vehicle Systems
Center: Ms. Jennifer Davis, 586–306–
4166, Jennifer.L.Davis1.civ@mail.mil.
• Combat Capabilities Development
Command Soldier Center: Ms. Joelle
Montecalvo, 508–206–3421,
Joelle.K.Montecalvo.civ@mail.mil.
• Engineer Research and
Development Center: Ms. Patricia
Sullivan, 601–634–3065,
Patricia.M.Sullivan@usace.army.mil.
• Medical Research and Development
Command: Ms. Linda Krout, 301–619–
7276, Linda.J.Krout.civ@mail.mil.
• Technical Center, Space and
Missile Defense Command: Dr. Chad
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Marshall, 256–955–5697,
Chad.J.Marshall.civ@mail.mil.
Department of the Navy:
• Naval Air Warfare Center, Weapons
Division and Aircraft Division: Mr.
Richard Cracraft, 760–939–8115,
Richard.Cracraft@navy.mil.
• Naval Facilities Engineering
Command Engineering and
Expeditionary Warfare Center: Ms. Lori
Leigh, 805–901–5917, Lori.Leigh@
navy.mil.
• Naval Information Warfare Centers:
Æ Naval Information Warfare Center
Atlantic: Mr. Michael Gagnon, 843–218–
3871, Michael.L.Gagnon@navy.mil.
Æ Naval Information Warfare Center
Pacific: Ms. Angela Hanson, 619–553–
0833, Angela.Hanson@navy.mil.
• Naval Medical Research Center: Dr.
Richard Arnold, 937–938–3877,
Richard.Arnold.10@us.af.mil.
• Naval Research Laboratory: Ms.
Ginger Kisamore, 202–767–3792,
Ginger.Kisamore@nrl.navy.mil.
• Naval Sea Systems Command
Warfare Centers: Ms. Diane Brown, 215–
897–1619, Diane.J.Brown@navy.mil.
• Office of Naval Research: Ms.
Margaret J. Mitchell, 703–588–2364,
Margaret.J.Mitchell@navy.mil.
DoD:
• Dr. Jagadeesh Pamulapati, Director,
Laboratories and Personnel Office, 571–
372–6372, Jagadeesh.Pamulapati.civ@
mail.mil.
SUPPLEMENTARY INFORMATION:
1. Background
Section 342(b) of Public Law (Pub. L.)
103–337, as amended by Section 1109 of
the National Defense Authorization Act
(NDAA) for FY 2000, Public Law 106–
65, Section 1114 of the NDAA for FY
2001, Public Law 106–398, and Section
211 of the NDAA for FY 2017, Public
Law 114–328 (10 U.S.C. 2358 note),
authorizes the Secretary of Defense
(SECDEF), through the USD(R&E), to
conduct personnel demonstration
projects at DoD laboratories designated
as STRLs. An STRL implementing these
flexibilities must have an approved
personnel demonstration project plan
published in a FRN and must fulfill any
collective bargaining obligations.
Procedures described herein supersede
and cancel the RIF procedures described
in previously published STRL FRNs
(Appendix B) and establish
performance, also referred to as
‘‘contribution,’’ as the primary basis for
determining which employees will be
separated from employment when
implementing a RIF. STRL internal
operating procedures (IOPs) will
describe the use of discretionary
flexibilities when conducting a RIF.
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The 21 current STRLS are:
Air Force Research Laboratory
Joint Warfare Analysis Center
Army Futures Command
Army Research Institute for the
Behavioral and Social Sciences
Combat Capabilities Development
Command Army Research Laboratory
Combat Capabilities Development
Command Armaments Center
Combat Capabilities Development
Command Aviation and Missile
Center
Combat Capabilities Development
Command Chemical Biological Center
Combat Capabilities Development
Command Command, Control,
Communications, Computers, Cyber,
Intelligence, Surveillance, and
Reconnaissance Center
Combat Capabilities Development
Command Ground Vehicle Systems
Center
Combat Capabilities Development
Command Soldier Center
Engineer Research and Development
Center
Medical Research and Development
Command
Technical Center, U.S. Army Space
and Missile Defense Command
Naval Air Warfare Center
Naval Facilities Engineering
Command Engineering and
Expeditionary Warfare Center
Naval Information Warfare Centers,
Atlantic and Pacific
Naval Medical Research Center
Naval Research Laboratory
Naval Sea Systems Command Warfare
Centers
Office of Naval Research
2. Overview
I. Introduction
A. Purpose
Section 1597 of Title 10, United States
Code (U.S.C.), requires procedures to be
established to ensure that, when
implementing a RIF, all DoD employees
in the competitive or excepted services
are separated from employment
‘‘primarily on the basis of performance,
as determined under any applicable
performance management system.’’ This
notice implements RIF procedures for
the STRLs and is an overarching FRN
applicable to all STRLs.
B. Required Waivers to Law and
Regulations
Waivers and adaptations of certain
Title 5, U.S.C., and Title 5, Code of
Federal Regulations (CFR), provisions
are required only to the extent that these
statutory and regulatory provisions limit
or are inconsistent with the actions
authorized under these demonstration
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projects. Appendix A lists waivers
needed to enact authorities described in
this FRN. Nothing in this plan is
intended to preclude the STRLs from
adopting or incorporating any law or
regulation enacted, adopted, or
amended after the effective date of this
FRN.
C. Participating Organizations and
Employees
All DoD laboratories designated as
STRLs under Section 1105 of the NDAA
for FY 2010, Public Law 111–84, as
amended by Section 1103 of the NDAA
for FY 2015, Public Law 113–291, and
Section 1104 of the NDAA for FY 2018,
Public Law 115–91, including any
newly designated STRLs authorized by
the SECDEF or subsequent legislation,
with approved personnel demonstration
project plans published in FRNs must
use the provisions described in this
FRN.
II. Personnel System Changes
A. Authority
For any RIF of civilian employees in
the competitive and excepted services
in DoD, the determination as to which
employees will be separated from
employment will be primarily based on
performance, also referred to as
‘‘contribution.’’
The STRLs will consider every
reasonably available option to mitigate
the impact of a proposed RIF, including
but not limited to job changes or
retraining, the use of voluntary early
retirement authority or voluntary
separation incentive payments, hiring
freezes, termination of temporary
employees, termination of employees in
tenure group 0, reduction in work
hours, curtailment of discretionary
spending, and other pre-RIF placement
activities for employees eligible for
placement assistance and referral
programs. Use of any such options shall
be consistent with applicable policies
and procedures.
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B. Definitions
Career path—A grouping of
occupations with similar characteristics
composed of pay bands designed to
facilitate career progression. May also be
referred to as career track, occupational
family, or pay plan.
Displace/Displacement—The
assignment of an employee to a
continuing position that is held by
another employee with a lower
retention standing (i.e., ‘‘bumping’’
another employee). Displacement may
be at the same band or the next lower
band below the employee’s existing
band as documented in STRL IOPs. A
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preference-eligible employee with a
compensable service-connected
disability of 30 percent or more (veteran
preference category AD) may displace to
positions two bands (or equivalent to
five grades) below his/her current band.
A released employee may have
displacement rights to a position
without regard to whether the employee
previously held the position of the
employee with lower retention standing.
Flexible and renewable term technical
appointment—An appointment that
affords eligibility for employee
programs and benefits comparable to
those provided to similar employees
with permanent appointments, to
include opportunities for professional
development and eligibility for award
programs, as described in Section 1109
of the NDAA for FY 2016, as amended
by Section 1112 of the NDAA for FY
2019 and in 82 FR 43339, as amended.
Appointments may be made in six-year
increments and extended without limit
in up to six-year increments.
Fully qualified—Employee meets the
Office of Personnel Management
qualification standards, or standardlevel descriptors as described in STRL
IOPs, and has the capacity, adaptability,
and special skills needed to
satisfactorily perform the duties of the
position without undue interruption,
e.g., within 90 days. Determination as to
whether an impacted employee is fully
qualified for RIF placement will be
made by an STRL subject matter expert.
Modified term appointment—An
appointment used to fill a position for
a period of more than one year but not
more than five years when the need for
an employee’s services is not
permanent. The modified term
appointment differs from the term
employment as described in 5 CFR part
316 in that it may be made for up to five
years, compared to four years for the
term appointment, and may be extended
for an additional year. An employee
hired under this appointment authority
may be eligible for conversion to a
career or career-conditional
appointment. It may also be referred to
as a contingent term appointment.
Non-rated employee—Employee with
no rating of record, who is not eligible
for a modal or presumptive rating. A
non-rated (NR) designation will be used
when an employee has not fulfilled the
time period, as required by the STRL
performance-management system, to
receive a rating and has no assessed
rating from any DoD-recognized
performance-management system
within the four-year period preceding
the ‘‘cutoff date’’ established for the RIF.
Performance—For the purposes of a
RIF in the STRLs, performance is
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determined by each STRL performancemanagement system, including
contribution-based or performancebased systems, as recorded in the rating
of record.
Period of performance—STRL
performance-management plans may
specify a minimum number of months
to receive a performance assessment.
Such periods will be at least 90 days
and generally allow all employees to
receive at least one performance
assessment prior to implementation of a
RIF.
Retreat—The assignment of an
employee released from their
competitive level to a position held by
another employee lower in retention
standing if the position is the same
position or an essentially identical
position formerly held by the released
employee. This assignment may be to an
essentially identical position in the
released employee’s current band or to
the next lower band, regardless of career
path as documented in STRL IOPs.
Unacceptable rating—Documented
ratings of record of unacceptable,
unsuccessful, failure, or unsatisfactory
are used synonymously and reflect
summary level 1 as described in 5 CFR
430.208.
C. Provisions
(1) Identification of Positions Being
Abolished. Positions may be identified
to be abolished based on budget,
research area, project funding, lack of
work, reorganization, or other elements
identified by the STRL.
(2) Scope of Competition. STRLs will
determine the retention standing of each
employee competing in the RIF based
on any factors outlined in this FRN, as
long as performance, as documented in
the rating of record, is the primary
consideration.
a. Competitive Areas. The STRL may
determine the competitive area by
career path (pay plan), occupational
group, line of business, product line,
organizational unit, funding line,
occupational series, functional area,
competency area, technology
directorate, or geographical location, or
a combination of these elements, and
must include all demonstration project
employees within the defined
competitive area. The competitive area
must be defined at least 90 days prior
to the effective date of the RIF and
descriptions of all competitive areas
must be made readily available for
review.
b. Competitive Levels. Competitive
levels may or may not be used, as
documented in STRL IOPs. If
competitive levels are used, they are
assigned at the time the position
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description is classified and may be
based on demonstration project criteria,
such as specialty areas or functional
codes, so long as these criteria serve to
define those positions that are similar
enough in duties and qualification
requirements such that an incumbent of
one position may be reassigned to
another in the competitive level without
causing an undue interruption in work.
When competitive levels are used and
established, employees will be released
as described in II.C.(7)b and II.C.(7)c.2.
If competitive levels are not used,
employees will be released as described
in II.C.(7)c.1.
(3) Retention Standing. Competitiveservice employees and excepted-service
employees are placed on separate
retention registers, with performance as
the first factor as documented in ratings
of record. Sample retention registers are
in Appendix C.
(4) Periods of Assessed Performance.
Because the primary consideration is
performance, STRL employees with no
performance assessment under a DoDrecognized performance system
(annotated as ‘‘NR’’) may not be placed
above those with an assessed rating of
less than fully successful/acceptable.
STRLs may, but are not required to,
group employees based on periods of
assessed performance (e.g., those with a
period of assessed performance of at
least 90 days, those with a period of
assessed performance of a least 180
days, etc.), as documented in STRL
IOPs.
(5) Retention Factors. Competing
employees will first be listed on a
retention register based on rating of
record (as documented in the personnel
data system). If meaningful distinctions
do not exist in the rating of record, each
STRL may, as secondary criteria,
differentiate based on average score or
other performance-related factor. Each
STRL may further differentiate based on
any of the following retention factors:
Tenure group; average score or other
performance-related factor as
determined by the STRL (where not
previously utilized); veterans’
preference; DoD service computation
date-RIF (DoD SCD–RIF); SCD–RIF
adjusted by additional service credit for
performance; or period of performance.
a. Rating of Record. Rating of record
is documented by each STRL in
accordance with its designated
performance or contribution
management cycle. Additionally, STRL
procedures may provide that a single
rating of record or multiple ratings of
record will be used and averaged, as
described in its IOPs. When multiple
ratings of record are used, they will be
drawn from the ratings within the four
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year period preceding the ‘‘cutoff date’’
established for the RIF. However, when
the most recent rating of record is
‘‘unacceptable,’’ only that rating of
record will be considered for purposes
of a RIF. STRL procedures will provide
a method for converting an employee’s
rating pattern from another system
when it does not align with the STRL
performance-management system, as
documented in STRL IOPs.
1. Presumptive Ratings. A
presumptive rating will be used as the
current rating of record for purposes of
a RIF when an employee did not receive
a performance appraisal due to an
absence resulting from: Uniformed
military service; performance of duties
under the expeditionary civilian
deployment program; extended leave or
sabbatical; a work-related injury
approved for compensation pursuant to
an Office of Workers’ Compensation
Program; or other similar absence. The
presumptive rating of record will be the
employee’s last performance appraisal
of record prior to the period of absence
or as specified in STRL IOPs.
2. Modal Ratings. A modal rating will
be used as the rating of record for those
employees who do not have any
previous performance appraisals under
any DoD-recognized performancemanagement system within the fouryear period preceding the cutoff date
established for the RIF and have an
absence resulting from: Uniformed
military service; performance of duties
under the expeditionary civilian
deployment program; extended leave or
sabbatical; a work-related injury
approved for compensation pursuant to
an Office of Workers’ Compensation
Program; or other similar absence. The
modal rating is the rating of record most
frequently used among the actual ratings
of record given to employees within the
same competitive area for the
appropriate rating cycle or cycles.
3. Non-Rated. An NR designation will
be used when an employee has not met
the time period, as specified in the
STRL performance-management plan, to
receive a rating and has no assessed
rating from any DoD-recognized
performance-management system
within the four-year period preceding
the cutoff date established for the RIF.
b. Average Score or Other
Performance-Related Factor as
Determined by the STRL. STRLs may
assign numeric values to other aspects
of their performance-management
systems that further differentiate levels
of performance or contribution. For
example, if an STRL utilizes a
contribution-based system, the delta
overall contribution score or assessment
category score may be used; in a
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performance-based system, the assigned
decimal score may be used, as
documented in STRL IOPs. STRLs using
Pass/Fail as the rating of record must
use average score or other performancerelated factor as the second retention
factor.
c. Tenure Group.
1. Tenure groups are defined in 5 CFR
351.501(b) for competitive service and 5
CFR 351.502(b) for excepted service, or
in an STRL’s FRN. In addition, STRLs
may consider tenure group 1 and 2
employees as tenure group 1 for RIF
purposes and employees on modified
term appointments as tenure group 0 or
tenure group 3, as documented in STRL
IOPs.
2. Employees on modified term or
flexible-length and renewable term
appointments who were previously
selected through competitive
procedures, and who otherwise meet
conditions required for such conversion,
may be converted to permanent
appointments (tenure group 1 or tenure
group 2, as appropriate), provided such
conversions are effective not less than
90 days prior to the effective date of the
RIF.
3. Employees on flexible-length and
renewable term appointments who have
completed three years of service may be
treated as permanent employees (tenure
group 1) and those with less than three
years may be treated as tenure group 2,
as documented in STRL IOPs.
4. Employees treated as tenure group
3 are ranked below any tenure group 1
or 2 employees, notwithstanding any
other retention factor.
d. Veterans’ Preference. Competing
employees are placed in a veterans’
preference category as described in 5
CFR 351.501(c).
e. DoD SCD–RIF. The SCD–RIF
includes all creditable service
authorized by 5 CFR 351.503(a) and (b).
The STRLs may further differentiate an
employee’s retention standing by
utilizing the retention service credit for
performance as described in 5 CFR
351.504. If used, this is referred to as
DoD SCD–RIF adjusted.
(6) Creation of the Retention Register.
STRLs will determine and document the
order of retention in a manner that
ensures retention decisions are based
primarily on performance, as
documented in the rating of record.
Other factors which may receive
secondary consideration are tenure
group, veterans’ preference, SCD RIF,
SCD RIF adjusted, and period of
performance. Factors will be weighted
in a manner that generally ensures that
high-performing employees are not
displaced.
(7) Order of Release.
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a. Employees to be Released First.
1. STRLs can release Tenure 0
employees prior to RIF competition
based on mission needs.
2. STRLs will release employees from
the competitive level (if used) with a
written decision of removal under 5
CFR 432 or 752 before releasing any
employee competing in the RIF.
3. Employees demoted for
unacceptable performance who have not
received a rating on their current
position will have ratings of record
drawn from within the four-year period
preceding the cutoff date established for
the RIF (to include any rating of record
of ‘‘unacceptable’’), if the STRL uses
multiple ratings in its retention factors.
b. If competitive levels are utilized by
an STRL, employees will be released
beginning with the employee with the
lowest retention standing on the
retention register for that competitive
level. An STRL may provide for
intervening displacement within the
competitive level before final release of
the employee with the lowest retention
standing from the competitive level.
c. STRL employees have assignment
rights under RIF procedures if the
current performance appraisal reflects a
rating of record of at least minimally
successful/minimally acceptable.
d. STRLs may apply assignment rights
described in 5 CFR 351.701 or other
assignment rights as described below.
1. Single Round. When a specific
position is to be abolished, the
incumbent of that position may displace
an employee within the band or at the
next lower band, as documented in
STRL IOPs, when the incumbent has a
higher retention standing and is fully
qualified for a position occupied by an
employee with a lower retention
standing among those competing in the
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RIF. A preference-eligible employee
with a compensable service-connected
disability of 30 percent or more
(veterans’ preference category AD) may
displace to positions two bands (or
equivalent to five grades) below his/her
current band. If there is no position in
which an employee can be placed using
this process or through assignment to a
vacant position, that employee will be
separated.
2. Two Round. When reducing
positions in the same occupational
series and pay band, competitive
levels—consisting of such positions that
are similar enough in duties,
qualification requirements, and working
conditions that the incumbent of one
position can successfully perform the
duties of any other position in the
competitive level without unduly
interrupting the work program—will be
established. In round one, STRLs
identify employees for release beginning
with the employees with the lowest
retention standing in the competitive
level. In round two, within each
competitive area, an employee
identified for release in round one may
displace an employee within the band
or at the next lower band, as
documented in STRL IOPs, when the
released employee has a higher
retention standing and is fully qualified
for a position occupied by an employee
with a lower standing among those
competing in the RIF. A preferenceeligible employee with a compensable
service-connected disability of 30
percent or more (veterans’ preference
category AD) may displace to positions
two bands (or equivalent to five grades)
below the band of the position from
which he/she is released. If there is no
position in which an employee can be
placed using this process or through
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assignment to a vacant position, that
employee will be separated.
3. Retreat during RIF. STRLs may
establish procedures permitting an
employee identified for release to
displace an employee within the band
or at the next lower band when the
released employee has a higher
retention standing than the displaced
employee and previously served in the
displaced employee’s position, or an
essentially identical position, regardless
of career path.
4. Offers of Vacant Position. When an
STRL chooses to utilize vacancies for
which released employees qualify, the
STRL must consider the relative
retention standing of all released
employees and must offer the position
to the released employee with the
highest retention standing.
e. Exceptions. STRLs must comply
with protections afforded employees
pursuant to 5 CFR 351.606, including
protections under the Uniformed
Services Employment and
Reemployment Rights Act.
III. Required Waivers to Law and
Regulations
The following waivers and
adaptations of certain Title 5, U.S.C.,
and Title 5, CFR, provisions are
required only to the extent to which
these statutory and regulatory
provisions limit or are inconsistent with
the actions contemplated under these
STRL demonstration project RIF
procedures. Nothing in this plan is
intended to preclude the demonstration
projects from adopting or incorporating
any law or regulation enacted, adopted,
or amended after the effective date of
this notice.
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40505
Appendix A. Waivers to Law and Regulations
Title 5, United States Code
Title 5, Code of Federal Regulations
5 U.S.C. 3502 - Order of Retention is waived
5 CFR 351 Subparts B, D, E, F, and Gare
to allow STRLs to determine the appropriate
waived to the extent necessary to allow the
order of retention as described in this FRN.
provisions of reduction in force as described
in this FRN.
Appendix B. Authorized STRLs and Federal Register Notices
STRL
Federal Register Notice
Air Force Research Laboratory
61 FR 60400 amended by 7 5 FR
53076
Joint Warfare Analysis Center
85 FR 29414
Not yet published
Army Futures Command,
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85 FR 76038
76 FR 3744
63 FR 10680
62 FR 34906 and 62 FR 34876
amended by 65 FR 53142 (AVRDEC
and AMRDEC merged together)
74 FR 68936
66 FR 54872
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Army Research Institute for the
Behavioral and Social Sciences
Combat Capabilities Development
Command Armaments Center
Combat Capabilities Development
Command Army Research Laboratory
Combat Capabilities Development
Command Aviation and Missile
Center
Combat Capabilities Development
Command Chemical Biological
Center
Combat Capabilities Development
Command Command, Control,
Communications, Cyber, Intelligence,
Surveillance, and Reconnaissance
Center
Federal Register / Vol. 86, No. 142 / Wednesday, July 28, 2021 / Notices
Combat Capabilities Development
Command Ground Vehicle Systems
Center
Combat Capabilities Development
Command Soldier Center
Engineer Research and Development
Center
Medical Research and Development
Command
Technical Center, U.S. Army Space
and Missile Defense Command
Naval Air Systems Command Warfare
Centers
Naval Facilities Engineering
Command Engineering and
Expeditionary Warfare Center
Naval Information Warfare Centers,
Atlantic and Pacific
76 FR 12508
74 FR 68448
63 FR 14580 amended by 65 FR
32135
63 FR 10440
85 FR 3339
76 FR 8530
86 FR 14084
76 FR 1924
Not yet published
Naval Medical Research Center
64 FR 33970
Naval Research Laboratory
62 FR 64050
Naval Sea Systems Command
Warfare Centers
75 FR 77380
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Office of Naval Research
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40507
Appendix C. Sample Retention Registers
Sample 1: Based on Rating of Record, Tenure, Average Score Calculation, Veterans'
Preference, and DoD SCD-RIF Retention Factors, as Determined by the STRL
Average
Rating Tenure
of
Record
Name
Average Score
Calculation
Veterans'
Preference
DoD SCD-RIF
Maddie
5
I
4.8
AD
17-Dec-1979
Eleanor
Ian
5
I
4.8
A
3-Nov-1990
5
I
4.5
B
6-May-2013
5
II
4.8
B
28-Feb-2015
Rich
Thomas
5
II
4.3
A
10-Jul-2012
5
II
4.3
A
18-Jun-2015
Susan
4
I
4.2
B
12-June-1995
Valerie
Sherri
4
I
3.5
A
9-Jul-1995
4
I
3.5
B
6-Aug-1996
Peter
4
II
4.3
B
5-Sep-2015
Paul
Paula
4
II
3.5
B
12-Dec-2015
3
I
4.2
B
25-Mar-1987
Jason
3
I
3.9
A
13-Aug-2013
Regina
Garrett
3
I
3.8
A
19-Aug-1984
3
I
3
B
5-Sep-2011
Vicki
3
II
3.7
B
27-Mar-2015
Brandon
Justin
3
II
3
A
3-Jan-2015
2
1
NR
I
2
0
NR
AD
10-Jan-2010
AD
AD
11-Jan-2010
11-Jan-2010
Dylan
i
Joe
Sally
I
I
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Joe has an unacceptable rating. Sally has no rating and is therefore at the bottom of the retention
register.
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Sample 2: Based on Average Rating of Record, Veterans' Preference, Tenure, DoD
SCD-RIF Retention Factors, as Determined by the STRL
(STRL Does Not Use an Average Score Calculation)
Average Veterans'
Rating Preference Tenure
of
Record
Name
Maddie
5
5
5
5
5
Eleanor
Rich
Thomas
Ian
Dylan
Valerie
Susan
Sherri
Peter
Paul
Jason
Regina
Brandon
Paula
Garrett
Vicki
Justin
Joe
Sally
5
4
4
4
4
4
3
3
3
3
3
3
2
1
NR
AD
I
I
II
II
I
A
A
A
B
B
II
A
B
B
B
B
A
A
A
B
B
B
AD
AD
AD
I
I
I
II
II
I
I
II
I
I
II
I
I
I
DoD SCD-RIF
17-Dec-1979
3-Nov-1990
10-Jul-2012
18-Jun-2015
6-May-2013
28-Feb-2015
9-Jul-1995
I 2-June-1995
6-Aug-1996
5-Sep-2015
12-Dec-2015
13-Aug-2013
19-Aug-1984
3-Jan-2015
25-Mar-1987
5-Sep-2011
27-Mar-2015
10-Jan-2010
11-Jan-2010
11-Jan-2010
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Joe has an unacceptable rating. Sally has no rating and is therefore at the bottom of the retention
register.
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Sample 3: Based on Pass/Fail Rating of Record, Average Score, Veterans' Preference,
Tenure, and DoD SCD RIF Retention Factors, as Determined by the STRL
Rating
of
Record
(Pass or
Fail)
Name
Maddie
Average
Score
4.8
p
p
Eleanor
Rich
Veterans'
Preference
p
4.8
4.5
p
4.3
i
I
p
Dylan
4.3
4.2
p
Valerie
Susan
Sherri
Peter
Paul
Jason
DoD SCDRIF
17-Dec-1979
I
AD
'"·«
Thomas
Ian
Tenure
I
A
A
II
A
II
B
I
3-Nov-1990
10-Jul-2012
18-Jun-2015
~"'"
II
B
""""""''
6-May-2013
28-Feb-2015
p
4.2
A
I
9-Jul-1995
p
B
I
12-June-1995
p
3.9
3.8
B
I
p
3.7
B
II
6-Aug-1996
5-Sep-2015
p
B
II
p
A
I
p
A
I
p
A
II
'
"'Regina __
Brandon
Paula
Garrett
Vicki
Justin
Joe
Sally
""""-""""
"'"
""''~""'"'""'
12-Dec-2015
13-Aug-2013
-'-'~19-Aug-1984
""'"""""''""'"
~~
---"'
p
2
B
I
3-Jan-2015
25-Mar-1987
p
2
B
I
5-Sep-2011
p
2
2
0
NR
B
II
AD
AD
AD
I
27-Mar-2015
10-Jan-2010
p
F
NR
11-Jan-2010
11-Jan-2010
I
I
Dated: July 23, 2021.
Aaron T. Siegel,
Alternate OSD Federal Register Liaison
Officer, Department of Defense.
[FR Doc. 2021–16082 Filed 7–27–21; 8:45 am]
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TIME AND DATE:
DEPARTMENT OF DEFENSE
Army Corps of Engineers
On board MISSISSIPPI V at
Caruthersville City Front,
Caruthersville, Missouri.
PLACE:
Sunshine Act Meetings
AGENCY HOLDING THE MEETINGS:
Mississippi River Commission.
Jkt 253001
9:00 a.m., August 23,
2021.
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STATUS:
Open to the public.
(1)
Summary report by President of the
MATTERS TO BE CONSIDERED:
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Ian was released from his competitive level in the first round ofRIF. Ian does not qualify for
any position encumbered by an employee with a lower retention standing than Paul, but formerly
held the identical position currently occupied by Paul. Ian will retreat to the position held by
Paul because Paul is lower in retention standing than Ian. RIF placement will then be sought for
Paul.
]]>Agencies
[Federal Register Volume 86, Number 142 (Wednesday, July 28, 2021)]
[Notices]
[Pages 40500-40509]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2021-16082]
-----------------------------------------------------------------------
DEPARTMENT OF DEFENSE
Office of the Secretary
Department of Defense Science and Technology Reinvention
Laboratory (STRL) Personnel Demonstration (Demo) Project Program
AGENCY: Office of the Under Secretary of Defense for Research and
Engineering (OUSD(R&E)), Department of Defense (DoD).
ACTION: Notice of amendment; STRL Personnel Demonstration Project
reduction-in-force (RIF) procedures.
-----------------------------------------------------------------------
SUMMARY: This notice amends STRL Personnel Demonstration Project
reduction-in-force (RIF) procedures. STRL RIF procedures will ensure
employees involuntarily separated through a RIF are separated primarily
based on performance, as determined under any applicable performance-
management system.
DATES: This proposal may not be implemented until a 30-day comment
period is provided, comments addressed, and a final Federal Register
notice (FRN) published. To be considered, written comments must be
submitted on or before August 27, 2021.
ADDRESSES: You may submit comments, identified by docket number and
title, by any of the following methods:
Federal eRulemaking Portal: https://www.regulations.gov. Follow the
instructions for submitting comments.
Mail: DoD cannot receive written comments at this time due to the
COVID-19 pandemic. Comments should be sent electronically to the docket
listed above.
[[Page 40501]]
Instructions: All submissions received must include the agency
name, docket number, and title for this Federal Register document. The
general policy for comments and other submissions from members of the
public is to make these submissions available for public viewing on the
internet at https://www.regulations.gov as they are received, without
change, including any personal identifiers or contact information.
FOR FURTHER INFORMATION CONTACT:
Department of the Air Force:
Air Force Research Laboratory: Ms. Rosalyn Jones-Byrd,
937-656-9747, [email protected].
Joint Warfare Analysis Center: Ms. Amy Balmaz, 540-653-
8598, mail.mil">[email protected]mail.mil.
Department of the Army:
Army Futures Command: Ms. Johnna Thompson, 830-469-2057,
mail.mil">[email protected]mail.mil.
Army Research Institute for the Behavioral and Social
Sciences: Dr. Scott Shadrick, 254-288-3800,
mail.mil">[email protected]mail.mil.
Combat Capabilities Development Command Armaments Center:
Mr. Mike Nicotra, 973-724-7764, mail.mil">[email protected]mail.mil.
Combat Capabilities Development Command Army Research
Laboratory: Mr. Christopher Tahaney, 410-278-9069,
[email protected]mail.mil.
Combat Capabilities Development Command Aviation and
Missile Center: Ms. Nancy Salmon, 256-876-9647,
mail.mil">[email protected]mail.mil.
Combat Capabilities Development Command Chemical
Biological Center: Ms. Patricia Milwicz, 410-417-2343,
mail.mil">[email protected]mail.mil.
Combat Capabilities Development Command Command, Control,
Communications, Computers, Cyber, Intelligence, Surveillance, and
Reconnaissance Center: Ms. Angela Clybourn, 443-395-2110,
mail.mil">[email protected]mail.mil.
Combat Capabilities Development Command Ground Vehicle
Systems Center: Ms. Jennifer Davis, 586-306-4166,
mail.mil">[email protected]mail.mil.
Combat Capabilities Development Command Soldier Center:
Ms. Joelle Montecalvo, 508-206-3421, mail.mil">[email protected]mail.mil.
Engineer Research and Development Center: Ms. Patricia
Sullivan, 601-634-3065, [email protected].
Medical Research and Development Command: Ms. Linda Krout,
301-619-7276, mail.mil">[email protected]mail.mil.
Technical Center, Space and Missile Defense Command: Dr.
Chad Marshall, 256-955-5697, mail.mil">[email protected]mail.mil.
Department of the Navy:
Naval Air Warfare Center, Weapons Division and Aircraft
Division: Mr. Richard Cracraft, 760-939-8115,
[email protected].
Naval Facilities Engineering Command Engineering and
Expeditionary Warfare Center: Ms. Lori Leigh, 805-901-5917,
[email protected].
Naval Information Warfare Centers:
[cir] Naval Information Warfare Center Atlantic: Mr. Michael
Gagnon, 843-218-3871, [email protected].
[cir] Naval Information Warfare Center Pacific: Ms. Angela Hanson,
619-553-0833, [email protected].
Naval Medical Research Center: Dr. Richard Arnold, 937-
938-3877, [email protected].
Naval Research Laboratory: Ms. Ginger Kisamore, 202-767-
3792, [email protected].
Naval Sea Systems Command Warfare Centers: Ms. Diane
Brown, 215-897-1619, [email protected].
Office of Naval Research: Ms. Margaret J. Mitchell, 703-
588-2364, [email protected].
DoD:
Dr. Jagadeesh Pamulapati, Director, Laboratories and
Personnel Office, 571-372-6372, mail.mil">[email protected]mail.mil.
SUPPLEMENTARY INFORMATION:
1. Background
Section 342(b) of Public Law (Pub. L.) 103-337, as amended by
Section 1109 of the National Defense Authorization Act (NDAA) for FY
2000, Public Law 106-65, Section 1114 of the NDAA for FY 2001, Public
Law 106-398, and Section 211 of the NDAA for FY 2017, Public Law 114-
328 (10 U.S.C. 2358 note), authorizes the Secretary of Defense
(SECDEF), through the USD(R&E), to conduct personnel demonstration
projects at DoD laboratories designated as STRLs. An STRL implementing
these flexibilities must have an approved personnel demonstration
project plan published in a FRN and must fulfill any collective
bargaining obligations. Procedures described herein supersede and
cancel the RIF procedures described in previously published STRL FRNs
(Appendix B) and establish performance, also referred to as
``contribution,'' as the primary basis for determining which employees
will be separated from employment when implementing a RIF. STRL
internal operating procedures (IOPs) will describe the use of
discretionary flexibilities when conducting a RIF.
The 21 current STRLS are:
Air Force Research Laboratory
Joint Warfare Analysis Center
Army Futures Command
Army Research Institute for the Behavioral and Social Sciences
Combat Capabilities Development Command Army Research
Laboratory
Combat Capabilities Development Command Armaments Center
Combat Capabilities Development Command Aviation and Missile
Center
Combat Capabilities Development Command Chemical Biological
Center
Combat Capabilities Development Command Command, Control,
Communications, Computers, Cyber, Intelligence, Surveillance, and
Reconnaissance Center
Combat Capabilities Development Command Ground Vehicle Systems
Center
Combat Capabilities Development Command Soldier Center
Engineer Research and Development Center
Medical Research and Development Command
Technical Center, U.S. Army Space and Missile Defense Command
Naval Air Warfare Center
Naval Facilities Engineering Command Engineering and
Expeditionary Warfare Center
Naval Information Warfare Centers, Atlantic and Pacific
Naval Medical Research Center
Naval Research Laboratory
Naval Sea Systems Command Warfare Centers
Office of Naval Research
2. Overview
I. Introduction
A. Purpose
Section 1597 of Title 10, United States Code (U.S.C.), requires
procedures to be established to ensure that, when implementing a RIF,
all DoD employees in the competitive or excepted services are separated
from employment ``primarily on the basis of performance, as determined
under any applicable performance management system.'' This notice
implements RIF procedures for the STRLs and is an overarching FRN
applicable to all STRLs.
B. Required Waivers to Law and Regulations
Waivers and adaptations of certain Title 5, U.S.C., and Title 5,
Code of Federal Regulations (CFR), provisions are required only to the
extent that these statutory and regulatory provisions limit or are
inconsistent with the actions authorized under these demonstration
[[Page 40502]]
projects. Appendix A lists waivers needed to enact authorities
described in this FRN. Nothing in this plan is intended to preclude the
STRLs from adopting or incorporating any law or regulation enacted,
adopted, or amended after the effective date of this FRN.
C. Participating Organizations and Employees
All DoD laboratories designated as STRLs under Section 1105 of the
NDAA for FY 2010, Public Law 111-84, as amended by Section 1103 of the
NDAA for FY 2015, Public Law 113-291, and Section 1104 of the NDAA for
FY 2018, Public Law 115-91, including any newly designated STRLs
authorized by the SECDEF or subsequent legislation, with approved
personnel demonstration project plans published in FRNs must use the
provisions described in this FRN.
II. Personnel System Changes
A. Authority
For any RIF of civilian employees in the competitive and excepted
services in DoD, the determination as to which employees will be
separated from employment will be primarily based on performance, also
referred to as ``contribution.''
The STRLs will consider every reasonably available option to
mitigate the impact of a proposed RIF, including but not limited to job
changes or retraining, the use of voluntary early retirement authority
or voluntary separation incentive payments, hiring freezes, termination
of temporary employees, termination of employees in tenure group 0,
reduction in work hours, curtailment of discretionary spending, and
other pre-RIF placement activities for employees eligible for placement
assistance and referral programs. Use of any such options shall be
consistent with applicable policies and procedures.
B. Definitions
Career path--A grouping of occupations with similar characteristics
composed of pay bands designed to facilitate career progression. May
also be referred to as career track, occupational family, or pay plan.
Displace/Displacement--The assignment of an employee to a
continuing position that is held by another employee with a lower
retention standing (i.e., ``bumping'' another employee). Displacement
may be at the same band or the next lower band below the employee's
existing band as documented in STRL IOPs. A preference-eligible
employee with a compensable service-connected disability of 30 percent
or more (veteran preference category AD) may displace to positions two
bands (or equivalent to five grades) below his/her current band. A
released employee may have displacement rights to a position without
regard to whether the employee previously held the position of the
employee with lower retention standing.
Flexible and renewable term technical appointment--An appointment
that affords eligibility for employee programs and benefits comparable
to those provided to similar employees with permanent appointments, to
include opportunities for professional development and eligibility for
award programs, as described in Section 1109 of the NDAA for FY 2016,
as amended by Section 1112 of the NDAA for FY 2019 and in 82 FR 43339,
as amended. Appointments may be made in six-year increments and
extended without limit in up to six-year increments.
Fully qualified--Employee meets the Office of Personnel Management
qualification standards, or standard-level descriptors as described in
STRL IOPs, and has the capacity, adaptability, and special skills
needed to satisfactorily perform the duties of the position without
undue interruption, e.g., within 90 days. Determination as to whether
an impacted employee is fully qualified for RIF placement will be made
by an STRL subject matter expert.
Modified term appointment--An appointment used to fill a position
for a period of more than one year but not more than five years when
the need for an employee's services is not permanent. The modified term
appointment differs from the term employment as described in 5 CFR part
316 in that it may be made for up to five years, compared to four years
for the term appointment, and may be extended for an additional year.
An employee hired under this appointment authority may be eligible for
conversion to a career or career-conditional appointment. It may also
be referred to as a contingent term appointment.
Non-rated employee--Employee with no rating of record, who is not
eligible for a modal or presumptive rating. A non-rated (NR)
designation will be used when an employee has not fulfilled the time
period, as required by the STRL performance-management system, to
receive a rating and has no assessed rating from any DoD-recognized
performance-management system within the four-year period preceding the
``cutoff date'' established for the RIF.
Performance--For the purposes of a RIF in the STRLs, performance is
determined by each STRL performance-management system, including
contribution-based or performance-based systems, as recorded in the
rating of record.
Period of performance--STRL performance-management plans may
specify a minimum number of months to receive a performance assessment.
Such periods will be at least 90 days and generally allow all employees
to receive at least one performance assessment prior to implementation
of a RIF.
Retreat--The assignment of an employee released from their
competitive level to a position held by another employee lower in
retention standing if the position is the same position or an
essentially identical position formerly held by the released employee.
This assignment may be to an essentially identical position in the
released employee's current band or to the next lower band, regardless
of career path as documented in STRL IOPs.
Unacceptable rating--Documented ratings of record of unacceptable,
unsuccessful, failure, or unsatisfactory are used synonymously and
reflect summary level 1 as described in 5 CFR 430.208.
C. Provisions
(1) Identification of Positions Being Abolished. Positions may be
identified to be abolished based on budget, research area, project
funding, lack of work, reorganization, or other elements identified by
the STRL.
(2) Scope of Competition. STRLs will determine the retention
standing of each employee competing in the RIF based on any factors
outlined in this FRN, as long as performance, as documented in the
rating of record, is the primary consideration.
a. Competitive Areas. The STRL may determine the competitive area
by career path (pay plan), occupational group, line of business,
product line, organizational unit, funding line, occupational series,
functional area, competency area, technology directorate, or
geographical location, or a combination of these elements, and must
include all demonstration project employees within the defined
competitive area. The competitive area must be defined at least 90 days
prior to the effective date of the RIF and descriptions of all
competitive areas must be made readily available for review.
b. Competitive Levels. Competitive levels may or may not be used,
as documented in STRL IOPs. If competitive levels are used, they are
assigned at the time the position
[[Page 40503]]
description is classified and may be based on demonstration project
criteria, such as specialty areas or functional codes, so long as these
criteria serve to define those positions that are similar enough in
duties and qualification requirements such that an incumbent of one
position may be reassigned to another in the competitive level without
causing an undue interruption in work. When competitive levels are used
and established, employees will be released as described in II.C.(7)b
and II.C.(7)c.2. If competitive levels are not used, employees will be
released as described in II.C.(7)c.1.
(3) Retention Standing. Competitive-service employees and excepted-
service employees are placed on separate retention registers, with
performance as the first factor as documented in ratings of record.
Sample retention registers are in Appendix C.
(4) Periods of Assessed Performance. Because the primary
consideration is performance, STRL employees with no performance
assessment under a DoD-recognized performance system (annotated as
``NR'') may not be placed above those with an assessed rating of less
than fully successful/acceptable. STRLs may, but are not required to,
group employees based on periods of assessed performance (e.g., those
with a period of assessed performance of at least 90 days, those with a
period of assessed performance of a least 180 days, etc.), as
documented in STRL IOPs.
(5) Retention Factors. Competing employees will first be listed on
a retention register based on rating of record (as documented in the
personnel data system). If meaningful distinctions do not exist in the
rating of record, each STRL may, as secondary criteria, differentiate
based on average score or other performance-related factor. Each STRL
may further differentiate based on any of the following retention
factors: Tenure group; average score or other performance-related
factor as determined by the STRL (where not previously utilized);
veterans' preference; DoD service computation date-RIF (DoD SCD-RIF);
SCD-RIF adjusted by additional service credit for performance; or
period of performance.
a. Rating of Record. Rating of record is documented by each STRL in
accordance with its designated performance or contribution management
cycle. Additionally, STRL procedures may provide that a single rating
of record or multiple ratings of record will be used and averaged, as
described in its IOPs. When multiple ratings of record are used, they
will be drawn from the ratings within the four year period preceding
the ``cutoff date'' established for the RIF. However, when the most
recent rating of record is ``unacceptable,'' only that rating of record
will be considered for purposes of a RIF. STRL procedures will provide
a method for converting an employee's rating pattern from another
system when it does not align with the STRL performance-management
system, as documented in STRL IOPs.
1. Presumptive Ratings. A presumptive rating will be used as the
current rating of record for purposes of a RIF when an employee did not
receive a performance appraisal due to an absence resulting from:
Uniformed military service; performance of duties under the
expeditionary civilian deployment program; extended leave or
sabbatical; a work-related injury approved for compensation pursuant to
an Office of Workers' Compensation Program; or other similar absence.
The presumptive rating of record will be the employee's last
performance appraisal of record prior to the period of absence or as
specified in STRL IOPs.
2. Modal Ratings. A modal rating will be used as the rating of
record for those employees who do not have any previous performance
appraisals under any DoD-recognized performance-management system
within the four-year period preceding the cutoff date established for
the RIF and have an absence resulting from: Uniformed military service;
performance of duties under the expeditionary civilian deployment
program; extended leave or sabbatical; a work-related injury approved
for compensation pursuant to an Office of Workers' Compensation
Program; or other similar absence. The modal rating is the rating of
record most frequently used among the actual ratings of record given to
employees within the same competitive area for the appropriate rating
cycle or cycles.
3. Non-Rated. An NR designation will be used when an employee has
not met the time period, as specified in the STRL performance-
management plan, to receive a rating and has no assessed rating from
any DoD-recognized performance-management system within the four-year
period preceding the cutoff date established for the RIF.
b. Average Score or Other Performance-Related Factor as Determined
by the STRL. STRLs may assign numeric values to other aspects of their
performance-management systems that further differentiate levels of
performance or contribution. For example, if an STRL utilizes a
contribution-based system, the delta overall contribution score or
assessment category score may be used; in a performance-based system,
the assigned decimal score may be used, as documented in STRL IOPs.
STRLs using Pass/Fail as the rating of record must use average score or
other performance-related factor as the second retention factor.
c. Tenure Group.
1. Tenure groups are defined in 5 CFR 351.501(b) for competitive
service and 5 CFR 351.502(b) for excepted service, or in an STRL's FRN.
In addition, STRLs may consider tenure group 1 and 2 employees as
tenure group 1 for RIF purposes and employees on modified term
appointments as tenure group 0 or tenure group 3, as documented in STRL
IOPs.
2. Employees on modified term or flexible-length and renewable term
appointments who were previously selected through competitive
procedures, and who otherwise meet conditions required for such
conversion, may be converted to permanent appointments (tenure group 1
or tenure group 2, as appropriate), provided such conversions are
effective not less than 90 days prior to the effective date of the RIF.
3. Employees on flexible-length and renewable term appointments who
have completed three years of service may be treated as permanent
employees (tenure group 1) and those with less than three years may be
treated as tenure group 2, as documented in STRL IOPs.
4. Employees treated as tenure group 3 are ranked below any tenure
group 1 or 2 employees, notwithstanding any other retention factor.
d. Veterans' Preference. Competing employees are placed in a
veterans' preference category as described in 5 CFR 351.501(c).
e. DoD SCD-RIF. The SCD-RIF includes all creditable service
authorized by 5 CFR 351.503(a) and (b). The STRLs may further
differentiate an employee's retention standing by utilizing the
retention service credit for performance as described in 5 CFR 351.504.
If used, this is referred to as DoD SCD-RIF adjusted.
(6) Creation of the Retention Register. STRLs will determine and
document the order of retention in a manner that ensures retention
decisions are based primarily on performance, as documented in the
rating of record. Other factors which may receive secondary
consideration are tenure group, veterans' preference, SCD RIF, SCD RIF
adjusted, and period of performance. Factors will be weighted in a
manner that generally ensures that high-performing employees are not
displaced.
(7) Order of Release.
[[Page 40504]]
a. Employees to be Released First.
1. STRLs can release Tenure 0 employees prior to RIF competition
based on mission needs.
2. STRLs will release employees from the competitive level (if
used) with a written decision of removal under 5 CFR 432 or 752 before
releasing any employee competing in the RIF.
3. Employees demoted for unacceptable performance who have not
received a rating on their current position will have ratings of record
drawn from within the four-year period preceding the cutoff date
established for the RIF (to include any rating of record of
``unacceptable''), if the STRL uses multiple ratings in its retention
factors.
b. If competitive levels are utilized by an STRL, employees will be
released beginning with the employee with the lowest retention standing
on the retention register for that competitive level. An STRL may
provide for intervening displacement within the competitive level
before final release of the employee with the lowest retention standing
from the competitive level.
c. STRL employees have assignment rights under RIF procedures if
the current performance appraisal reflects a rating of record of at
least minimally successful/minimally acceptable.
d. STRLs may apply assignment rights described in 5 CFR 351.701 or
other assignment rights as described below.
1. Single Round. When a specific position is to be abolished, the
incumbent of that position may displace an employee within the band or
at the next lower band, as documented in STRL IOPs, when the incumbent
has a higher retention standing and is fully qualified for a position
occupied by an employee with a lower retention standing among those
competing in the RIF. A preference-eligible employee with a compensable
service-connected disability of 30 percent or more (veterans'
preference category AD) may displace to positions two bands (or
equivalent to five grades) below his/her current band. If there is no
position in which an employee can be placed using this process or
through assignment to a vacant position, that employee will be
separated.
2. Two Round. When reducing positions in the same occupational
series and pay band, competitive levels--consisting of such positions
that are similar enough in duties, qualification requirements, and
working conditions that the incumbent of one position can successfully
perform the duties of any other position in the competitive level
without unduly interrupting the work program--will be established. In
round one, STRLs identify employees for release beginning with the
employees with the lowest retention standing in the competitive level.
In round two, within each competitive area, an employee identified for
release in round one may displace an employee within the band or at the
next lower band, as documented in STRL IOPs, when the released employee
has a higher retention standing and is fully qualified for a position
occupied by an employee with a lower standing among those competing in
the RIF. A preference-eligible employee with a compensable service-
connected disability of 30 percent or more (veterans' preference
category AD) may displace to positions two bands (or equivalent to five
grades) below the band of the position from which he/she is released.
If there is no position in which an employee can be placed using this
process or through assignment to a vacant position, that employee will
be separated.
3. Retreat during RIF. STRLs may establish procedures permitting an
employee identified for release to displace an employee within the band
or at the next lower band when the released employee has a higher
retention standing than the displaced employee and previously served in
the displaced employee's position, or an essentially identical
position, regardless of career path.
4. Offers of Vacant Position. When an STRL chooses to utilize
vacancies for which released employees qualify, the STRL must consider
the relative retention standing of all released employees and must
offer the position to the released employee with the highest retention
standing.
e. Exceptions. STRLs must comply with protections afforded
employees pursuant to 5 CFR 351.606, including protections under the
Uniformed Services Employment and Reemployment Rights Act.
III. Required Waivers to Law and Regulations
The following waivers and adaptations of certain Title 5, U.S.C.,
and Title 5, CFR, provisions are required only to the extent to which
these statutory and regulatory provisions limit or are inconsistent
with the actions contemplated under these STRL demonstration project
RIF procedures. Nothing in this plan is intended to preclude the
demonstration projects from adopting or incorporating any law or
regulation enacted, adopted, or amended after the effective date of
this notice.
BILLING CODE 5001-06-P
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Dated: July 23, 2021.
Aaron T. Siegel,
Alternate OSD Federal Register Liaison Officer, Department of Defense.
[FR Doc. 2021-16082 Filed 7-27-21; 8:45 am]
BILLING CODE 5001-06-C
