SUMMARY OF CHANGE CENTER REGULATION LABORATORY PERSONNEL MANAGEMENT DEMONSTRATION PROJECT

Transcription

1 SUMMARY OF CHANGE CENTER REGULATION LABORATORY PERSONNEL MANAGEMENT DEMONSTRATION PROJECT Center Regulation is changed as follows: a. Page 2-2, paragraph 2-2c, first line under Occupational Family and Pay Band and Authorized to Classify. Added Engineers and Scientists; Pay Bands I-VI; ERDC Director. b. Page 5-7, paragraph 5-4a, first sentence is changed to: Supervisory pay adjustments may be used at the discretion of the ERDC Director, to compensate employees in supervisory positions. c. Page 5-8, paragraph 5-5a, added the following after the fourth sentence: Supervisors in pay band DB VI may be eligible for this differential as described in Enclosure 5 to Appendix Q. d. Page 5-9, paragraph 5-6, Pay Ceilings, last sentence changed to: Pay band VI will have pay rates keyed to a minimum of 120 percent of the minimum rate of adjusted basic pay for GS-15 with a maximum of pay established for Executive Level III. e. Appendix A, paragraph A-2a, Engineers and Scientists (DB). Added 0099 series, Student Trainee. f. Appendix A, paragraph A-2c, Administrative (DJ). Added 0201 series, Human Resources Specialist and 0170 series, Historian. g. Appendix C-I, Level Descriptors. All level descriptors were moved to the current ERDC Form 15-E, MAY h. Appendix C. Added Level Descriptor DB VIB for Engineers and Scientists Positions. i. Appendix D. Added Level Descriptors DB VI, and DB VIA for Engineers and Scientists Supervisory Positions. j. Appendix K. Updated throughout. k. Appendix P, Sample of Letter for Completion of Probationary and Trial Period, was deleted. l. Appendix Q, Abbreviations Used, changed to Appendix P. m. Appendices R and S were merged as Appendix Q. n. Administrative changes throughout.

2 o. Appendix Q, paragraph Q-3a(2)(b), second sentence changed 1 percent to 2 percent. p. Appendix Q, Enclosure 5, paragraph 3. The entire paragraph 3 is changed to read as follows: 3. Supervisory Pay Differential. This pay differential is a pay incentive that is not a part of base pay and it is paid on a pay period basis. It must be justified and approved under the conditions identified in CR , paragraph 5-5. a. Section 342 Positions. Employees pay must be at the maximum of the pay band in order to be eligible for a differential. This differential may range up to 10 percent. b. Section 1107 Positions. This differential may range up to 5 percent of base pay. Total pay including base pay, and the differential pay may not exceed the midpoint between the rate of pay of EX-III and EX-II (i.e., $177,750). c. DB VI employees are limited to an aggregate limitation in pay found in 5 USC 5307 and 5 CFR

3 CEERD-ZA DEPARTMENT OF THE ARMY Engineer Research and Development Center, Corps of Engineers Waterways Experiment Station, 3909 Halls Ferry Road Vicksburg, Mississippi *CR Center Regulation No May 2016 Civilian Personnel LABORATORY PERSONNEL MANAGEMENT DEMONSTRATION PROJECT TABLE OF CONTENTS PARAGRAPH PAGE CHAPTER 1 INTRODUCTION Purpose Applicability Distribution Statement References Explanation of Terms Project Coverage Experimentation and Revision CHAPTER 2 CLASSIFICATION SYSTEM General Policy Classification Process Determining Competitive Levels Classification Appeals CHAPTER 3 STAFFING General Policy Actions Covered by Competitive Procedures Actions Exempted from Competitive Procedures Modified Term Appointments Supervisory Positions Minimum Qualifications Link Between Promotion and Performance Voluntary Emeritus Program Distinguished Scholastic Achievement Appointment Competitive Examining Authority Extended Probationary Period * This regulation supersedes CR , 18 August 2011 and Changes 1-4. i

4 PARAGRAPH PAGE CHAPTER 4 PAY FOR PERFORMANCE MANAGEMENT SYSTEM Section I General Provisions Purpose Responsibilities Section II Performance Evaluation Written Performance Plans Performance Elements and Standards Written Performance Ratings Minimum Rating Period Rating Periods Official Rating Chain Special Requirements for Performance Plans and Ratings Conversion to Standardized Patterns Section III Performance Linkage Performance Scores Planning for Professional Development Performance Recognition Promotion Probationary or Trial Periods Unacceptable Performance Placement in a Lower Pay Band Performance Appraisal Grievance Rights Section IV Pay for Performance Pay General Schedule Increase Performance-Based Pay Increases Performance Awards The Performance-Based Pay Increase CHAPTER 5 PAY SETTING PROVISIONS Purpose Procedures Promotions Supervisory Pay Adjustments Supervisory Pay Differentials Pay Ceilings Staffing Supplements ii

5 PARAGRAPH PAGE CHAPTER 6 EMPLOYEE DEVELOPMENT Purpose... Intent.... Degree Training... Sabbaticals CHAPTER 7 REDUCTION-IN-FORCE (RIF) Purpose... Procedures... Scope of Competition... Performance Score... Assignment Rights... Appeal Rights APPENDIX A: Laboratory Personnel Management Demonstration Project A-1 A-2 Occupational Family Coverage... Occupational Series by Occupational Family... A-1 A-2 APPENDIX B: Occupational Families and Pay Bands... APPENDIX C: Level Descriptors for Engineers and Scientists Positions... APPENDIX D: Level Descriptors for Engineers and Scientists Supervisory Positions... APPENDIX E: Level Descriptors for Engineer and Scientists Technicians Positions... APPENDIX F: Level Descriptors for Engineer and Scientists Technicians Supervisory Positions... APPENDIX G: Level Descriptors for Administrative Positions... APPENDIX H: Level Descriptors for Administrative Supervisory Positions... APPENDIX I: Level Descriptors for General Support Positions... APPENDIX J: Level Descriptors for General Support Supervisory Positions... APPENDIX K: Specialty Codes and Definitions for Engineers, Scientists, and Technicians... APPENDIX L: Specialty Codes and Definitions for Clerical Positions... APPENDIX M: Functional Classification Codes, Categories, and Category Definitions for Engineers and Scientists Positions... APPENDIX N: Instructions for Completing Level Descriptors (LD)... APPENDIX O: Instructions for Completion, Distribution, and Submission of ERDC Form 14-E... APPENDIX P: Abbreviations Used... iii B-1 C-1 D-1 E-1 F-1 G-1 H-1 I-1 J-1 K-1 L-1 M-1 N-1 O-1 P-1

6 PARAGRAPH APPENDIX Q: Pay Band VI Positions in the Science & Technology (S&T) Personnel Management Demonstration Project... PAGE Q-1 TABLE 5-1: Grade Setting Provisions TABLE 5-2: Pay-Setting Provisions GLOSSARY... Glossary-1 iv

7 CHAPTER 1 INTRODUCTION 1-1. Purpose. This regulation establishes policies, procedures, and proponent responsibilities for the implementation of the Laboratory Personnel Management Demonstration Project, hereafter referred to as the demonstration project or the project. This regulation is to be used in conjunction with the references listed below, though some frequently used portions of the references have been included as appendices to the regulation to assist managers in their day-to-day responsibilities. Also, those provisions of references 1-4j, 1-4k, 1-4l, 1-4m, and 1-4n most relevant to day-to-day operations have been incorporated into the appropriate chapters and sections of this regulation. Other personnel management laws and regulations which are not specifically waived by references 1-4j, 1-4k, 1-4l, 1-4m, and 1-4n revisions nor addressed specifically herein remain applicable to employees in the demonstration project. For bargaining unit employees, for conditions of employment not covered by this regulation, the Labor-Management Agreement will be followed Applicability. This regulation is applicable to the U.S. Army Engineer Research and Development Center (ERDC), the servicing Civilian Personnel Advisory Center (CPAC), and the servicing Civilian Personnel Operations Center (CPOC) Distribution Statement. This regulation is available in electronic media only and is intended for use by personnel in paragraph 1-2 above References. a. National Defense Authorization Act, Public Law , 5 October b. National Defense Authorization Act, Public Law , 14 October c. National Defense Authorization Act, Public Law , 28 October d. National Defense Authorization Act, Public Law , 7 January e. National Defense Authorization Act, Public Law , 31 December f. National Defense Authorization Act, Public Law , 26 December g. National Defense Authorization Act, Public Law , 19 December h. Title 5, United States Code (5 USC). i. Title 5, Code of Federal Regulations (5 CFR). 1-1

8 j. Federal Register Vol. 63, No. 57, Part IV, 25 March k. Federal Register Vol. 63, No. 200, Part V, 6 October l. Federal Register Vol. 64, No. 7, Part II, 11 March m. Federal Register Vol. 65, No. 99, 22 May n. Federal Register Vol. 67, No. 25, 6 February o. Federal Register Vol. 70, No. 144, 28 July p. DOD Directive R, Standards of Conduct. q. DOD M, Acquisition Career Development Program. r. AR , Incentive Awards. s. Office of Personnel Management (OPM) Handbook of Occupational Groups and Series. t. OPM Position Classification Standards. u. OPM Qualification Standards Handbook for General Schedule Positions. v. Science and Technology (S&T) Reinvention Laboratory Policy 97-1, Classification, Recruitment and Pay Policy for Positions that Exceed GS-15 Classification Equivalency. w. ERDC Policy Memorandum #36, CEERD-ZA, 11 Sep 14, subject: ERDC Policy on Hiring Using Direct Hire Authority Explanation of Terms. Special terms used in the regulation are explained in the Glossary Project Coverage. The project includes all Title 5 General Schedule (GS) employees assigned to the ERDC. Federal Wage System (FWS) employees, Civilian Intelligence Personnel Management System (CIPMS) employees covered by Title 10, and 5 USC 3105 Scientific and Technical (ST) employees are not covered; however, these employees will follow the same employee development provisions of this regulation, except, in the case of CIPMS employees, where the provisions are found to be in conflict with CIPMS. Other employees may not be included if the labor organization representing the employees chooses not to participate in the project. Personnel added to the ERDC in like positions covered by the project (either through appointment, promotion, reassignment, change to a lower grade or where their functions and positions have been transferred into the ERDC) will be converted to the project. 1-2

9 1-7. Experimentation and Revision. Many aspects of this demonstration project are experimental. Modifications to this regulation may be made at any time as experience is gained, results analyzed, and conclusions are reached on how the personnel system is working. The ERDC will make modifications, such as changes in the occupational series in an occupational family, without Federal Register notice. Major changes, such as a change in the number of occupational families, will be published in the Federal Register. Modifications to the Personnel Management Demonstration Project that affect conditions of employment of bargaining unit employees who are covered by this project will be negotiated with the appropriate union in accordance with the Collective Bargaining Agreements and the Statute. 1-3

10 CHAPTER 2 CLASSIFICATION SYSTEM 2-1. General Policy. a. The ERDC classification system features an abbreviated benchmark job description approach. From hereon these benchmark job descriptions will be referred to as level descriptors and represent threshold criteria (i.e., classification at lowest grade covered by the pay band). Actual duties and responsibilities may exceed the stated criteria but not warrant classification at a higher level. To be credited at a higher pay band, a position must meet the minimum criteria established for the higher pay band. b. The basic concept involves combining former GS pay/classification levels to encompass one or more former grades in broader pay bands, classification by line management, and standard benchmark level descriptors. Appendices C through J provide level descriptors (generic threshold job descriptions), K through L provide specialty codes, and M provides functional classification codes Classification Process. a. Under the Laboratory Personnel Management Demonstration Project, supervisors and managers, through review of level descriptors (Appendices C through J) and the requirements of the position, determine the formal classification of the position. The level descriptors are written in general (generic) narrative threshold terms and are established to cover positions in each category and level. Appendices A through N will be used to classify positions. Level descriptors should be coded when submitted for management review and classification. b. The classification process will be as follows: (1) A supervisor recommends a level descriptor for a position to the appropriate level of management authorized to classify the position. (See Appendix N for instructions). (2) The official authorized to classify the position (as described in paragraph 2-2c) reviews the request and either classifies the position, returns it to the requesting official, or requests advisory assistance from the CPOC. The CPOC advisory assistance is available to supervisors/managers at any stage of the classification process. (3) When the position is classified, the classifying official submits the request for personnel action (RPA) and level descriptor through the CPAC to the CPOC. If the CPAC has questions/concerns with the action, they will advise/assist the supervisor/manager by providing position management alternatives before submitting the final action to the CPOC for processing. If the CPOC disagrees with the classifying official's decision, they will provide him/her a written 2-1

11 evaluation and rationale, including position management recommendations, if any. If the supervisor agrees with the CPOC's evaluation, he/she will modify the appropriate blocks on the level descriptor and return it to the CPOC for final processing. (4) For actions where the classifying official does not concur with the CPOC's written evaluation, the next higher level classifying official (HLC) will consider both classification opinions and render a decision. If the HLC upholds the original classifier's decision, the HLC will sign and date item 11 of the level descriptor, replacing the original classifier's signature, and return to the CPOC for final processing. If the classification is overturned, the HLC will reclassify the position and the package will be returned to the original classifier. If the ERDC Director is the classifier, he/she is the final authority. c. Delegation of authority to classify positions (may not be redelegated) is as follows: Occupational Family and Pay Band Authorized to Classify Engineers and Scientists Pay Bands I-VI ERDC Director Engineers and Scientists Pay Bands I-V (ERDC Commander and the ERDC Deputy E&S Technicians Pay Bands I-IV Director in the ERDC Director's absence) Administrative Pay Bands I-V General Support Pay Bands I-IV Engineers and Scientists Pay Bands I-IV ERDC Commander and Deputy to the E&S Technicians Pay Bands I-IV Commander Administrative Pay Bands I-V General Support Pay Bands I-IV Engineers and Scientists Pay Bands I-IV Laboratory Directors, Deputy Laboratory E&S Technicians Pay Bands I-IV Directors, Laboratory Division Chiefs, and Administrative Pay Bands I-IV Directors/Chiefs of Support Organizations General Support Pay Bands I-IV d. Classification actions taken under this authority will be documented on the RPA and respective ERDC Form 15-E, Level Descriptor USAERDC. The original copy of the level descriptor for each classified position will be sent to the CPOC. e. Under the current Fair Labor Standards Act (FLSA) requirement for determining exempt (E) or nonexempt (N) status, the level descriptors (Appendixes C-J) have been precoded. Although typical exemption status under the various pay bands is shown in the following, actual FLSA exemption status determinations are made on a case-by-case basis, in compliance with the criteria in 5 CFR, Part

12 OCCUPATIONAL FAMILY PAY BANDS I II III IV V VI Engineers & Scientists N N E E E E E&S Technicians N N N E Administrative N N E E E General Support N N N E 2-3. Determining Competitive Levels. a. Individual positions will be placed in competitive levels following OPM general policies. b. Competitive levels contain one or more positions in the same pay band and classification series that have similar duties and other requirements. For the project, this translates into the use of occupational family, pay band, title and series with a further refinement based upon specialty and/or functional codes, when appropriate. For two or more positions to be in the same competitive level, all determining factors must match (i.e., occupational family, pay band, title, series and, where applicable, functional code and specialty code) Classification Appeals. a. An employee may appeal the occupational series or pay band level of his or her position at any time. An employee must formally raise the areas of concern to supervisors in the immediate chain of command, either verbally or in writing. If an employee is not satisfied with the supervisory response, he or she may then appeal to the Department of Defense (DOD) appellate level. If an employee is not satisfied with the DOD response, he or she may then appeal to OPM only after DOD has rendered a decision under the provisions of this demonstration project. Appellate decisions are final and binding on all administrative, certifying, payroll, disbursing, and accounting officials of the Government. Time periods for case processing under Title 5 apply. An employee requesting a classification decision that would exceed the equivalent of the GS-15 level may not submit an appeal to DOD or OPM. b. An employee may not appeal: (1) the accuracy of the level descriptor, the demonstration project classification criteria or the pay-setting criteria; (2) the assignment of occupational series to the occupational family; (3) the propriety of a salary schedule; or (4) matters grievable under an administrative or negotiated grievance procedure or an alternative dispute resolution procedure. 2-3

13 c. When the accuracy of the position descriptor is questioned by the employee, the employee will be directed to review this matter with his/her supervisor. If they cannot resolve their differences informally, the accuracy of the position descriptor should be reviewed in accordance with administrative or negotiated grievance procedures. d. The evaluation of classification appeals under this demonstration project is based upon the demonstration project classification criteria. Case files will be forwarded for adjudication through the CPOC providing personnel service and will include copies of appropriate demonstration project criteria 2-4

14 CHAPTER 3 STAFFING 3-1. General Policy. This chapter establishes policy and procedures for implementing Staffing Procedures under the Laboratory Personnel Management Demonstration Project Actions Covered by Competitive Procedures. a. Temporary promotions of more than 1 year to a higher pay band must be competitive (prior service in the preceding 12 months under all details to higher level positions or temporary promotions is included whether competitive or noncompetitive). Positions covered by the WES Bargaining Unit are excepted from paragraph 3-2a and will remain at 180 days. b. A detail for more than 1 year to a higher pay band within the same occupational family or positions in another occupational family when the lowest level of the new pay band exceeds the highest equivalent GS grade level of the present pay band. Positions covered by the WES Bargaining Unit are excepted from paragraph 3-2b and will remain at 180 days. c. Promotion to a higher pay band within the same occupational family unless covered by an exception to competitive procedures in the merit promotion plan, Department of the Army (DA) regulations, the CFR, etc. d. Movement into the demonstration project when the lowest GS grade covered by the pay band exceeds their previous GS grade. e. Movement from one occupational family to another where the new pay band offers a higher salary potential (i.e., General Support pay band III to Administrative pay band II) will be competitive unless it is an authorized exception to competitive procedures such as those in paragraph 3-3 below. Movement from a pay system outside the project where the position to which assigned offers promotion potential to a higher pay band will be competitive Actions Exempted from Competitive Procedures. a. Re-promotion to a position equivalent in grade to a position previously held on a permanent basis in the competitive service provided the position to which promoted has no higher promotion potential than the position on which such re-promotion eligibility is based. b. Promotion, reassignment, demotion, transfer, or reinstatement to a position having promotion potential no greater than the potential of a position an employee currently holds or previously held on a permanent basis in the competitive service. c. A position change permitted by reduction in force (RIF) procedures. 3-1

15 d. Promotion when the employee was appointed through competitive procedures to a position with a documented career ladder or stated promotion potential. e. A temporary promotion, or detail to a position in a higher pay band, of 1 year or less. Positions covered by the WES Bargaining Unit are excepted from paragraph 3-3e and will remain at 180 days. f. Promotion reflecting impact of person-in-the-job. g. Promotion resulting from the accretion of duties and responsibilities. h. A promotion resulting from the correction of an initial classification error. i. A promotion resulting from the application of new classification criteria Modified Term Appointments. a. Employees hired under the modified term appointment authority may be eligible for conversion to career-conditional appointments. To be converted, the employee must: (1) Have been selected for the term position under competitive procedures, with the announcement specifically stating that the individual(s) selected may be eligible for conversion to a career-conditional appointment at a later date. (2) Have served 2 years of continuous service in the term position. (3) Be selected under ERDC merit promotion procedures for the permanent position. (4) Have a current performance score of 2.5 or better. b. Employees serving under term appointments at the time of conversion to the demonstration project will be converted to the new modified term appointments provided they were hired for their current positions under competitive procedures. These employees will be eligible for conversion to career-conditional appointment if they have a current performance score of 2.5 or better and are selected under merit promotion procedures for the permanent position after having completed 2 years of continuous service. Time served in temporary or term positions prior to conversion to the modified term appointment is creditable, provided the service was continuous Supervisory Positions. Permanent assignments or temporary assignment to supervisory positions (assigned duties and authorities meeting those required for classification under the OPM GS Supervisory Guide) in excess of 1 year will be competitive Minimum Qualifications. Minimum qualifications for entry into a pay band will be for the lowest GS grade equivalent level for the pay band. 3-2

16 3-7. Link Between Promotion and Performance. Promotions require a current performance score of 2.5 or greater or a rating of fully successful or higher if entering the project Voluntary Emeritus Program. The ERDC Director may offer retired or separated individuals (engineers and scientists (E&S)) voluntary assignments. CR a. Voluntary Emeritus Program assignments are not considered employment by the Federal Government (except for purposes of injury compensation). b. Assignments do not affect an employee's entitlement to buy-outs or severance payments based on an earlier separation from Federal service. The Voluntary Emeritus Program will ensure continued quality research while reducing the overall salary line by allowing higher paid individuals to accept retirement incentives with the opportunity to retain a presence in the scientific community. The program will be of most benefit during manpower reductions as senior E&S could accept retirement and return to provide valuable on-the-job training or mentoring to less experienced employees. c. Volunteers must be recommended by a Laboratory Director to the ERDC Director. Everyone who applies is not entitled to a voluntary assignment. The ERDC Director must clearly document the decision process for each applicant (whether accepted or rejected) and retain the documentation. d. The volunteer's federal retirement pay (whether military or civilian) will not be affected while serving in a voluntary capacity. Retired or separated Federal employees may accept an emeritus position without a waiting period. e. Volunteers will not be permitted to monitor contracts on behalf of the Government or to participate on any contracts or solicitations where a conflict of interest exists. The same rules that currently apply to source selection members will apply to volunteers. f. An agreement will be established between the volunteer and ERDC. The agreement will be reviewed by the local Office of Counsel for ethics determinations under the Joint Ethics Regulation. The agreement must be finalized before the assumption of duties and shall include: (1) A statement that the voluntary assignment does not constitute an appointment in the civil service and is without compensation and any and all claims against the Government because of the voluntary assignment are waived by the volunteer. (2) A statement that the volunteer will be considered a Federal employee for the purpose of injury compensation. (3) Volunteer's work schedule. (4) Length of agreement (defined by length of project or time defined by weeks, months, or years). 3-3

17 (5) Support provided by the Laboratory (travel, administrative, office space, supplies). (6) A one-page Statement of Duties. (7) A provision that states no additional time will be added to a volunteer's service credit for such purposes as retirement, severance pay, and leave as a result of being a member of the Voluntary Emeritus Program. (8) A provision allowing either party to void the agreement with 10-work-days' written (9) The level of security access required (any security clearance required by the assignment will be managed by the Laboratory while the volunteer is a member of the Voluntary Emeritus Program). (10) All products produced while serving under this program become the property of the U.S. Government Distinguished Scholastic Achievement Appointment. a. This authority allows the competitive appointment of undergraduates and graduates through the doctoral level to professional positions at the equivalent of GS-07 through GS-11 and at the GS-12 level. (1) At the undergraduate level, candidates may be appointed to positions in a pay band at a salary no greater than the equivalent of GS-12 step 10, provided they meet the minimum standards for the position as published in OPM s operating manual, Qualifications Standards for GS Positions, plus any selective placement factors stated in the vacancy announcement; the occupation has a positive education requirement; and the candidate has a cumulative grade point average of 3.5 or better (on a 4.0 scale) in the courses in the field of study that are specified in the Qualification Standards for the occupational series being filled. (2) Appointments may also be made at the equivalent of GS-09 through GS-12 on the basis of graduate education and/or experience for those candidates with a grade point average of 3.5 or better (on a 4.0 scale) for graduate level courses in the field of study required for the occupation. b. Veteran s Preference procedures will apply when selecting candidates under this authority. Any preference eligible who meets the above criteria will be considered ahead of non- preference eligibles. c. In making selections, to pass over any preference eligible(s) to select a non-preference eligible requires approval under objection procedures outlined in 5 CFR Part d. Priority must also be given to displaced employees as may be specified in OPM and DOD regulations. 3-4

18 e. The CPAC/CPOC is responsible for providing public notices of the opportunity to compete for appointments made under this authority, to include publishing and posting announcements Competitive Examining Authority. a. This authority applies to all positions covered by the respective demonstration projects with the exception of positions in the Senior Executive Service, Senior Level (ST/SL) positions, the Executive Assignment System or positions of Administrative Law Judge, and any examining process covered by court order. b. The primary change in the examining process to be demonstrated is the grouping of eligible candidates into three quality groups using numerical scores and the elimination of consideration according to the rule of three. c. For each candidate, minimum qualifications will be determined using OPM s operating manual, Qualification Standards Handbook for GS Positions, including any selective placement factors identified for the position. Candidates who meet basic (minimum) qualifications will be further evaluated based on knowledge, skills, and abilities which are directly linked to the position(s) to be filled. Based on this assessment, candidates will receive a numerical score of 70, 80, or 90. No intermediate scores will be granted except for those eligibles who are entitled to veteran s preference. Preference eligibles meeting basic (minimum) qualifications will receive an additional 5 or 10 points (depending on their preference eligibility) which is added to the minimum scores identified above. Candidates will be placed in one of three quality groups based on their numerical score, including any veteran s preference points: Basically Qualified (score of 70 and above), Highly Qualified (score of 80 or above), or Superior (score of 90 and above). The names of preference eligibles shall be entered ahead of others having the same numerical score. d. For engineering/scientific and professional positions at the equivalent of GS-09 and above, candidates will be referred by quality groups in the order of the numerical ratings, including any veteran s preference points. For all other positions, i.e., other than engineering/scientific and professional positions at the equivalent of GS-09 and above, preference eligibles with a compensable service-connected disability of 10 percent or more who meet basic (minimum) eligibility will be listed at the top of the highest group certified. e. In making their selections, selecting officials should be provided with a reasonable number of qualified candidates from which to choose. All candidates in the highest group will be certified. If there is an insufficient number of candidates in the highest group, candidates in the next lower group may then be certified. Should this process not yield a sufficient number, groups will be certified sequentially until a selection is made or the qualified pool is exhausted. When two or more groups are certified, candidates will be identified by quality group (i.e., Superior, Highly Qualified, Basically Qualified) in the order of their numerical scores. 3-5

19 f. In making selections, to pass over any preference eligible(s) in order to select a nonpreference eligible requires approval under current pass-over or objection procedures Extended Probationary Period. The probationary period for newly appointed E&S, except those with veteran s preference, will be 2 years. Managers will continually assess their performance during the first 2 years following appointment. If performance is identified as less than fully successful, efforts will be made to improve performance. If unsuccessful, the employee may be separated during the probationary period under the provisions of CFR

20 CHAPTER 4 PAY FOR PERFORMANCE MANAGEMENT SYSTEM SECTION I. GENERAL PROVISIONS 4-1. Purpose. a. This chapter prescribes policy for the ERDC Pay for Performance Management System under provisions of the Laboratory Personnel Management Demonstration Project. b. Performance management is the systematic process of integrating performance, pay, and awards systems to improve individual and organizational effectiveness in the accomplishment of missions and goals Responsibilities. Performance management is an inherent responsibility for all those in positions of leadership. Specifically, a. The ERDC Director is responsible for the success of the performance management system and will: (1) Ensure fair and consistent application of this chapter in compliance with governing laws, rules, and regulations and ownership of this system by all members of the command chain. (2) Ensure that all employees receive adequate training or orientation concerning the performance appraisal system. (3) ratings. Ensure timely preparation of written performance plans and completed performance b. Compensation Pool Managers (CPM) are responsible for monitoring the performance management program and ensuring distribution of funds based upon employees performance and contributions to the accomplishment of the ERDC mission. c. Reviewing Officials are responsible for communicating organizational goals, for setting standards of performance, and for making ERDC values and ethics visible to facilitate understanding and adherence by all members in their organizations. They are responsible for assessing individual contributions in the broader perspective of overall mission accomplishment. In fulfilling these responsibilities, they will: 4-1

21 (1) Review performance plans at least at the beginning of each rating period and at any other time during the rating period when major changes to expectations occur (e.g., new or revised missions that require changed priorities and resources distribution). (2) Review performance ratings in a timely manner, assuring accuracy and compliance with requirements. (3) Attempt to resolve performance disagreements between supervisors and employees. (4) Consider performance ratings when making personnel management and pay decisions. d. Rating supervisors are responsible for assigning work and for establishing job-related expectations for employees. They provide information to and obtain feedback from employees regarding work unit goals and priorities, performance, and professional development plans. To accomplish their responsibilities, supervisors will: (1) Identify the performance rating chains and those officials who may provide input concerning the rating to their employees. (2) Communicate organizational goals and priorities to employees at the beginning of each rating period, at the mid-point in the rating cycle, and throughout the year. (3) Develop employees performance plans for each rating period. Work with employees in establishing individual performance and professional development goals and expectations that should be attainable and that reflect organizational needs. (4) Conduct formal performance-related discussions at the mid-point of each rating period and at any other time that the need arises. Provide informal feedback and obtain employee input on performance expectations and accomplishments throughout the rating period. If significant changes to expectations occur, document on ERDC Form 14-E, USAERDC Laboratory Demonstration Rating Form (Appendix O). (5) Prepare timely written performance ratings that accurately assess the employee's total contributions when compared with expectations. (6) Consider performance ratings when making personnel management and pay decisions. e. Employees are responsible for knowing what is expected of them, for discussing their ideas about the work and professional development goals with the supervisor, and for performing the duties of their position to the best of their abilities. In fulfilling these responsibilities, employees will: (1) Take active roles in developing their performance and professional development plans. 4-2

22 (2) Do their work correctly, informing their supervisor when they have questions and/or needs, when problems occur and when they believe work could be done better to accomplish the mission of the organization. (3) Provide their supervisor with timely feedback on their accomplishments that the supervisor can use in preparing performance ratings. Employees may document comments/remarks in Part V of ERDC Form 14-E or in a memorandum. f. The CPAC is responsible for supporting ERDC in implementing and administering viable and constructive performance management programs. In fulfilling their responsibilities, the CPAC will: (1) Advise and assist supervisors in executing their performance management responsibilities and keep the chain-of-command informed of program status and needed program improvements. (2) Train or arrange training for supervisors and disseminate information to employees concerning the performance management system. g. The CPOC will: (1) Input performance rating data into the Modern Defense Civilian Personnel Data System (MDCPDS) and file performance ratings of record. (2) Process pay-for-performance increases and performance awards. SECTION II. PERFORMANCE EVALUATION 4-3. Written Performance Plans. a. Employees will have written performance plans which document expectations that are based on organizational mission and goals and that reflect the types of duties and responsibilities expected at their pay level. Plans consist of preprinted elements and list generic performance expectations. Specific performance expectations that are developed by the supervisor with input from the employee are optional. However, if used they will be documented on ERDC Form 14-E. The supervisor may list them for each of the elements that are separate and distinct from the element descriptors which are written at the fully successful level on the evaluation form (ERDC Form 14-E). b. The plans, representing joint efforts of employees and their rating chains, should be in place within 30 days from the beginning of each rating period. 4-3

23 c. The performance plans must be reviewed and approved by the rating chain at least at the beginning of the rating period and any other time that performance expectations change significantly. d. Performance plans are recorded on ERDC Form 14-E and become effective on the date the rating supervisor initials Performance Elements and Standards. Each employee will be rated against the following performance elements and standards. Supervisors may eliminate up to two (2) nonsupervisory elements if the employee does not have an opportunity to perform or the performance of the element is not critical to the position being rated. Performance standards are written at the fully successful level; i.e., a performance rating of 2. a. Nonsupervisory Elements. (1) Technical Competence. Makes sound technical decisions, solutions, and recommendations; quality of work produced meets need; responds well to change; demonstrates necessary technical knowledge, skills and abilities; works with appropriate level of supervision. (2) Planning/Timeliness. Meets schedules/deadlines/milestones; accomplishes work in priority order; dependable; develops reasonable/effective plans, programs and objectives; optimum use of resources (time, personnel, funds, etc.); works effectively under pressure. (3) Communication. Expresses facts/ideas in appropriate venue with candor; listens effectively; keeps others informed; participates in technology transfer. (4) Teamwork/Leadership. Works well with others; exercises tact and diplomacy and maintains effective relationships; considers others' viewpoints; is willing to give assistance; provides vision; supports organizational goals, including Diversity/Equal Employment Opportunity (EEO); mentors; leads by example; accepts responsibility; provides technical guidance and administration as appropriate. (5) Program/Project/Work Development. Identifies mission requirements/ organizational needs; strengthens in-house capabilities; demonstrates marketing capability; identifies customers and understands needs; develops programs/projects/work. (6) Personal Development/Initiative. Seeks/accepts developmental and training opportunities; develops better work procedures; contributes to profession; accepts/performs special assignments; keeps abreast of developments in career area. (7) Customer Care. Shows respect to others; is courteous and seeks acceptable compromise; responds to needs; assists in problem identification; keeps customers informed. 4-4

24 b. Supervisory Elements. In addition to the above performance elements, employees in supervisory positions assigned duties and authorities meeting those required for classification under the OPM GS Supervisory Guide will be rated on the following: (1) Supervision. Recruits, coaches, counsels, mentors, assesses/evaluates training needs, develops, motivates, retains team members; gains respect, loyalty and cooperation; delegates authority; distributes work; coordinates/controls activities; complies with management control requirements of AR 11-2; prescribes conformance to high standards; evaluates performance; takes timely, appropriate personnel actions; creates positive, challenging environment; decisions/actions based on merit; provides vision and communicates mission and organizational goals to all team members. (2) Diversity/EEO. Applies EEO principles to all aspects of human resources management; provides leadership to ensure the workplace is free of instances of discrimination/sexual harassment; takes prompt, appropriate action if such instances occur; provides leadership and emphasis on the execution of the affirmative action program Written Performance Ratings. a. Written performance ratings with element and overall summary performance ratings assigned will be completed and recorded on ERDC Form 14-E. An in-progress review of the employee s performance is conducted at the mid-point (usually March) of the rating cycle. When needed, additional reviews may be conducted by the rating supervisor. b. In order to receive the maximum consideration, employees should provide performance information to the rating supervisor before the end of the rating period. Rating supervisors will use input from the employees and from other appropriate sources in making final judgments. c. Each element is assigned a rating from 0 through 5 (in whole numbers). A detailed explanation is required for any element rated 0 or 1. At the employee s request, during the performance review discussions, supervisory notations will be provided on elements scored 2 or greater. All rated elements are critical (all elements may not be applicable). Scores will be assigned to each of the above rated elements as follows: 4-5

25 TERM SCORE DEFINITION Does not perform at levels described by standards Less than 0 of elements. Fully Successful Sometimes performs at a level described by Fully Successful 1 2 standards of element but fails enough so weaknesses outweigh strengths. Performs at the level described by standards of element. Outstanding Performs at a level described by the standards of 3 element and exceeds standards at least 50% of the time. Performs at a level described by the standards of 4 element and exceeds standards at least 75% of the time. Performs at a level which exceeds all of the described 5 standards of element 100% of the time. d. Scores are assigned based upon the supervisor's evaluation of overall performance in each rated element. e. Scores for all the rated elements are totaled and an average score assigned. The performance score (rounded to the nearest tenth) becomes the official summary rating of record. An employee with an average score of 2.0 or greater will receive the General Schedule increase and is eligible to be considered for an award. An employee with an average performance score of 2.5 or greater will receive a performance-based pay increase, unless the employee's pay is at the maximum rate of his/her pay band. Exception: E&S supervisors may receive a performance increase taking them past the maximum rate of their pay band. This may total up to 10% above the maximum rate of the Engineers & Scientists pay bands III, IV, and V and will be called a Supervisory Pay Differential. This differential will not be treated as basic pay Minimum Rating Period. The minimum rating period is 90 days. Employees cannot be rated until they perform under an approved performance plan for at least 90 days Rating Periods. a. Normally, all employees are rated for a 12-month period (1 October - 30 September). b. Employees who move into a different position 90 days or less prior to the end of the rating cycle will be rated at the time of their move based upon their performance in the position vacated. 4-6

26 c. Employees newly hired in the ERDC with less than 90 days to the end of the rating cycle will not be rated that year but will receive the full General Schedule increase in January. d. Project interns (see page T-2) will be rated every six months from their date of entry into the project so that the intern may advance in pay at generally the pace at which he/she would have under pre-demo promotion from GS-05 to GS-07, GS-07 to GS-09, and GS-09 to GS-11. e. Rating supervisors who leave within 90 days of the end of a rating cycle will prepare the annual ratings and recommend element scores to the gaining rating supervisor. Rating supervisors who leave with more than 90 days remaining in the rating cycle should prepare special ratings in accordance with Appendix O Official Rating Chain. Most employees will have an identified rating chain of a rater (supervisor), reviewer, and an approving official. Each employee must have an identified rating chain consisting of at least a rater (supervisor) and an approving official. The ERDC Director and Commander may serve as rater, reviewer, and approving official Special Requirements for Performance Plans and Ratings. a. Some positions include specific requirements for which clearly defined performance expectations will be developed for each rating period. Among these requirements are: Supervision and Diversity/EEO for all employees in supervisory positions assigned duties and authorities meeting those required for classification under the OPM GS Supervisory Guide; plans to increase competition and achieve cost savings in contracting; individual efforts to eliminate wasteful practices and achieve cost savings in inventory management (Section 323 of Public Law ); and discharge of security, internal control, safety, and other relevant responsibilities of the position. b. Ratings for Temporary Promotions and Details. Temporary promotions and details for 90 days or more require performance plans and normally are documented by special ratings by the supervisor of the detailed position. Information provided in the special evaluation should be considered in preparing the annual evaluation. (1) The exception to preparing a special rating involves temporary promotions which are ongoing at the end of the employee's annual rating cycle. An employee temporarily promoted officially occupies the position to which promoted. Therefore, if the employee's scheduled annual rating cycle ends while on a temporary promotion which has lasted at least 90 days, the supervisor of the position to which temporarily promoted prepares the annual rating. The temporarily promoted employee will compete in the pay pool where he/she is temporarily promoted. 4-7

27 (2) An employee who is detailed continues to occupy the position from which detailed for official purposes. Thus, the supervisor of the detailed position prepares a special rating if the employee's annual rating cycle ends during the detail. The supervisor for the position from which the employee is detailed may either attach the special rating to the annual rating he/she prepares or, if the detail lasted for most of the rating period, adopt the special rating as the annual rating. The employee will compete in the pay pool where his/her permanent position exists. c. Reconsideration Processes. Employees who are not satisfied with their performance score and cannot resolve the problem informally with the rating supervisor may request formal reconsideration. The formal request for reconsideration should be submitted in the form of a grievance (either through the negotiated procedure or through the Administrative Grievance System) or other complaint or appeal procedure. If an employee appeals/grieves the performance score and there is a change in the performance score as a result of a decision issued, then the new performance score becomes the rating of record. The employee s rate of pay will be adjusted based on the number of shares he/she would have earned for the changed performance score and the pay adjustment will be retroactive to the effective date of the pay adjustment for the rating cycle. d. Performance Which Is Rated 1 on Any Element. At any time during the rating cycle that the employee is determined to need improvement (to be performing at the marginal level) in one or more elements, the supervisor will notify the employee and provide assistance. Such assistance may include but is not limited to formal training, on-the-job training, counseling, and more detailed supervision. e. Performance Which is Rated 0 on Any Element. Employees whose performance is considered to be at an unacceptable level (equivalent to a performance score of 0 on any rated element) at any time during the year shall be rated and placed on a Performance Improvement Plan (PIP). Their rating period will be extended to after the conclusion of the PIP. If in a PIP at the end of a rating period, the employee will not be given a performance rating while in a PIP. If performance remains unacceptable (equivalent to a performance score of 0) on any PIPed element upon completion of the PIP (or within one (1) year from the beginning of the PIP), the employee will be separated from his or her position or reduced to a lower pay band. If performance becomes fully successful or better (performance score of 2 or greater) on all elements, the employee will receive a performance rating of record and may be granted a nonretroactive General Schedule increase at that time. These performance based actions will follow the same procedures as current performance-related removals and reductions in grade under Chapter 43 or Chapter 75 of USC, when appropriate. f. Inability to Rate. When annual ratings cannot be prepared at the end of the scheduled rating cycles (e.g., extended illness of the employee, extended leave without pay, extended military leave), rating periods are extended for no more than 90 days, at which time ratings will be prepared. If a rating cannot be given at the end of the scheduled rating cycle the employee will receive a Not Rated rating. Employees who were deployed and did not work 90 days in the demonstration project and returned after the end of the scheduled rating cycle will be assigned the modal performance score of the pay pool to which assigned. 4-8

28 4-10. Conversion to Standardized Patterns. a. The six summary level ERDC performance management system scores will be converted to OPM rating pattern H using the following chart: PATTERN H Pattern Rating Level ERDC Score 0 to to to to to 5.0 b. This conversion will be coded into the automated system. SECTION III. PERFORMANCE LINKAGE Performance scores are considered when adjusting pay and determining performance awards, training, rewarding, reassigning, promoting, reducing in grade, reduction in force, retaining, or removing employees Planning for professional development is an integral part of the performance management process. Along with meaningful performance-related discussions that assist employees in reinforcing strengths and managing weaknesses, professional development opportunities may include sabbaticals, classroom training, on-the-job training, mentoring, special assignments, participation in professional and civic organizations, and publishing professional articles. Supervisors in the rating chains should encourage employees to seek professional development opportunities and recognize them when they do so Performance recognition. All employees with a summary performance score of 2.5 or greater will receive a performance-based pay increase unless their salary is at the maximum rate of a pay band. All employees with a summary performance score of 2.0 or greater are eligible for consideration for a performance-based cash award. Nominations and approvals of performancebased pay increases and awards are documented on ERDC Form 14-E and submitted electronically for processing Promotion. Supervisors should consider referred employees' recent ratings of record when making employment decisions. Rating history may indicate individual potential to perform different or more responsible work. The CPOC will ensure that employees have a current performance score of at least 2.5 or equivalent to be considered for promotion Probationary or Trial Periods. An average performance score of 2.0 or greater rendered early during probationary or trial periods does not preclude a subsequent decision that the employee is not performing at expected levels or otherwise suitable to be retained. However, supervisors must 4-9

29 be able to provide specific examples of either how performance deteriorated after the rating was assigned or how the conduct used to support the termination was unrelated to the performance score. a. New Employees. Supervisors are to begin monitoring new employees immediately to determine if they are capable of performing the work and are otherwise suited for retention in their positions. Although formal PIPs are not required for employees who are serving probationary appointments, supervisors may, through the performance evaluation process, provide employees who are not meeting expectations with information to help them understand how they are failing and how they might improve. Upon determination that probationary employees either will not or cannot meet expectations, supervisors must begin action to terminate them from their position. b. New Supervisors. Employees serving probationary periods for initial appointments to supervisory/managerial positions (assigned duties and authorities meeting those required for classification under the OPM GS Supervisory Guide), who do not meet expectations set forth in performance plans that relate to supervisory/managerial responsibilities, will be returned to nonsupervisory/nonmanagerial positions. That decision can be made at any time during the probationary period. Although formal notice and opportunity to improve are not required, supervisors should provide enough information for the employee to understand specific deficiencies in time to correct the deficiencies Unacceptable Performance. An employee who fails to perform (performance score of 0) on a rated element of the job at any time during the rating cycle will be placed under a PIP before initiating a Chapter 43 performance-based action. A PIP may consist of formal training, on-the- job training, counseling, more detailed supervision, or any other assistance deemed appropriate. An employee who fails to improve during a PIP will receive notice to be reduced in pay band level or removed. An employee who fails to sustain the improvement for at least one year from the beginning of the PIP will receive a proposed action to be reduced in pay band level or removed (see paragraph 4-9e above). NOTE: Under some circumstances adverse actions for performance-based problems may be initiated under Chapter 75 procedures (i.e., misconduct) without a PIP Placement in a Lower Pay Band. An employee who is ineligible for a performance-based cash award (an average performance score of less than 2.0) may receive one-half or no General Schedule pay increase (see paragraph 4-20b). Because the minimum pay rate for each pay band will be increased each year by the amount of the General Schedule increase, it is possible that the new minimum rate of a pay band will exceed the basic pay of an employee in that band who did not receive the full General Schedule increase. In these cases, the employee will be moved to the next lower pay band level and the action will be considered a demotion. This will not be considered an adverse action, will not be appealable through a statutory appeals process, and will not be covered under pay band retention provisions Performance Appraisal Grievance Rights. Non-Bargaining Unit employees may follow the Administrative Grievance Process. Bargaining Unit employees may follow the Negotiated Grievance procedures. 4-10

30 SECTION IV. PAY FOR PERFORMANCE Pay. An employee s pay is composed of basic pay and locality pay. a. Locality pay is authorized for all employees without regard to performance. b. Basic pay is established within pay bands to compensate employees. Pay is linked to the General Schedule pay scales and is adjusted when pay scales are issued for implementation General Schedule Increase. a. An employee who has an average score of 2.0 or greater or who received a Not Rated rating in accordance with paragraph 4-9f will be granted a General Schedule increase. b. Employees with an average score of less than 2.0 will be ineligible for performance awards and the full General Schedule increase. The CPM may grant none or one-half of the General Schedule increase to these employees. Written justification will be prepared by the supervisor and will have the concurrence of the reviewing official (if applicable). A within-the- year review may be used to reevaluate employees with performance scores of less than 2.0. If the employee s performance has improved sufficiently (2.0 or greater) since the last rating period, the employee may be eligible for a nonretroactive full General Schedule pay increase at that time as long as the increase does not exceed the pay band maximum to which assigned Performance-based pay increases are granted by CPMs based on the employee's average performance score. During the first year following conversion, employees who occupy positions with clearly identified promotion potential will receive pay adjustments to a salary level equivalent to their scheduled promotion when the grade level of the scheduled promotion is encompassed within the same pay band, the employee s performance warrants the pay adjustment, and the promotion would have otherwise occurred during that period. After an intern receives this pay adjustment, the 6-month rating cycle for him/her will begin (refer to paragraph 4-7d). a. The CPMs may establish a review panel to assist in making determinations. b. The compensation pools will have two components: funds for performance-based pay increases (money previously available for within-grade increases, quality step increases, and promotions between grades that are banded under the project); and funds for General Schedule pay increases. c. Performance-based pay increases will not be granted to employees at the top of their pay band or in a pay retention (as opposed to pay band retention) status. However, E&S supervisors may receive a cash incentive paid out on a biweekly basis, taking them above the top of their pay band, up to a maximum of 10% of base pay. This will be treated as a Supervisory Pay Differential (see paragraph 5-5). 4-11

31 d. Employees may not grieve or appeal the decision to grant or the amount of a performancebased pay increase Performance awards and other cash awards will be administered by the CPM. The percent of employees' salary designated for awards will be determined annually by the ERDC Director. a. Employees with an average performance score of 2.0 or greater may be considered for performance awards. Consideration will include any other recognition the employee may have received during the period such as performance pay increases, On-The-Spot Cash Awards, Special Act Awards, etc. b. Other awards (cash and honorary) will be granted in accordance with incentive awards regulations. c. award. Employees may not grieve or appeal the decision to grant an award or the amount of an The performance-based pay increase is determined by a mathematical function which relates the performance score to the amount of the increase. a. Annual base pay increases paid from the performance pay increase component of the compensation pools will be based on performance scores on the established standards as follows: PR = V 100 S P Where: PR = employee s annual performance-based pay raise, $ V = value of a share, percent S = number of shares earned by employee based on performance P = employee s salary prior to pay raise, $ 4-12

32 b. The value of a share will be computed in a manner to ensure that the amount of money available for performance pay increases will not exceed the amount of money in a compensation pool available for pay increases. The amount of money available annually within a compensation pool for performance-based pay increases will be determined at the end of each performance rating cycle and is determined as follows: Where: A n Μ = P 100 M = pay pool size, $ A = average annual historical pay raise, percent P i = salary of employee i, $ n = number of employees in compensation pool c. The share value (percent) is computed in a manner to ensure exact expenditure of the amount of money in the compensation pool as follows: i =1 i V = M x100 Where: ne S i Pi i=1 S i - number of shares earned by employee i based upon performance n e -number of employees within compensation pool that are eligible for a performance-based pay raise 4-13

33 CHAPTER 5 PAY SETTING PROVISIONS 5-1. Purpose. This chapter provides guidance on pay setting procedures Procedures. Each occupational family will be comprised of discrete pay bands corresponding to recognized advancement within the occupations. The pay banding system will replace grades. The pay bands are not the same for all occupational families. Each occupational family is divided into four to six pay bands, each pay band including a pay range now covered by one or more GS grades. The pay bands for the occupational families and how they relate to the current GS grades are shown in Appendix B. The minimum and maximum rates of basic pay for a pay band will normally be the rates as shown on the regular GS schedule for grades covered by the pay band. When a position is covered by a special salary rate schedule, the minimum total salary for the pay band will equal the minimum on the special salary rate schedule. If the maximum pay for the pay band on the special salary rate schedule does not exceed the regular GS schedule, the minimum salary for the pay band will include locality pay and the maximum pay for the pay band will be that shown on the regular GS schedule. If the maximum pay for the pay band on the special rate schedule exceeds the maximum for the regular GS schedule, the maximum pay for the pay band will be that shown on the special salary rate schedule and the employee will be eligible for a staffing supplement (see paragraph 5-7). a. New appointments. Ordinarily an individual will be hired at the lowest salary in a pay band. Exceptional qualifications, specific organizational requirements, or other compelling reasons may lead to a higher entrance salary within a pay band. Justification for this determination will be documented and provided to the CPAC. b. Movement from a Pay System Outside the Project. When employees from another pay system are selected for a position within the ERDC, the selecting official may set the pay of the employee at a higher rate of pay based on exceptional qualifications, specific organizational requirements, or other compelling reasons. If the action results in a pay increase, justification will be documented and a copy provided to the CPAC. c. Selection for Another Position in the Same Occupational Family and Pay Band. When an employee is selected as a result of a vacancy announcement for a vacant position within the same occupational family and pay band, the selecting official may, with approval of the ERDC Director, set the pay of the employee at a higher rate of pay based on exceptional qualifications, specific organizational requirements, or other compelling reasons. The amount of the increase may not exceed the maximum rate of the pay band. If the action results in a pay increase, justification will be documented and a copy provided to the CPAC. d. Movement from the Federal Wage System (FWS) into the Demonstration Project. The process will be similar to paragraph 5-2b, above. If the action results in a salary increase, justification will be documented and provided to the CPAC. If the action is a promotion (i.e., the 5-1

34 minimum salary of the pay band is more than the maximum pay for the employee s FWS grade), the salary will be increased by a minimum of 6 percent or to the minimum salary for the pay band, whichever results in the greatest increase. e. Change to Lower Pay Band at Employee s Request. An employee who requests, and management approves, a change to a lower pay band is entitled to have his/her salary preserved to the maximum extent possible in the lower pay band provided the position in the lower pay band does not have known promotion potential. If the position has known promotion potential, the salary will be set in the lower band so that the employee s salary upon re-promotion will equal what the salary would have been if the employee had remained in his/her previous position (not been placed in the lower pay band). This procedure does not apply when an employee placed in a lower pay band has pay retention. f. Change to Lower Pay Band - Performance-Based Action. When an employee is placed in a lower pay band due to a performance-based action, the pay will be set so that, if the employee is repromoted within the next 12 months, it will not result in monetary advantage to the employee. Management, however, may set the pay at the lowest level within the pay band. g. Pay Setting for Interns. Project intern pay may be adjusted every six months (see paragraph 4-7d) from the date of the intern s entry on duty at the ERDC so that the intern may advance in pay at generally the pace at which he/she would have under pre-demo promotion from GS-05 to GS-07, GS-07 to GS-09, and GS-09 to GS-11. (1) Eligibility for Pay Adjustment. Project interns (see Glossary, page 2) with an average performance score of 2.5 or greater are eligible for a pay adjustment. (2) Determining Amount of Pay Adjustment. If the intern s job series is included on a Special Salary Rate (SSR) table and the SSR table reflects a higher rate of pay for the equivalent GS grade, the SSR will be used to make the pay adjustment determination. If the intern s job series is not on an SSR table or the appropriate Locality Salary Rate (LSR) table reflects a higher equivalent rate of pay, the appropriate LSR table will be used to make the pay adjustment determination. If the intern s total pay does not equal or exceed the maximum equivalent pay as shown below and his/her performance score is 2.5 or greater, the intern will be given a pay increase within the range indicated. In exceptional cases, the intern s total pay may be increased at the same time by up to an additional 6 percent. The amount of the total pay increase (i.e., the last such increase an intern receives by virtue of which he/she will no longer be an intern) may result in pay above the maximum amount listed. 5-2

35 Position Percent Increase Maximum Pay As An Intern DB-II 2.5 to 12 GS-11, Step 1 DJ-IIA 2.5 to 12 GS-11, Step 1 DJ-IIB 2.5 to 12 GS-9, Step 1 CR Once the employee s pay reaches or exceeds the above maximums, he/she will no longer be a project intern and may not again be considered such or have pay increased using this provision unless the employee is assigned to another position covered by this position. h. Pay Setting for Employees in the Pathways Intern Program. In support of students hired under provisions of the Pathways Intern Programs, supervisors are authorized to adjust pay in accordance with this paragraph. The salary of students in these programs may be adjusted within a pay band to recognize attainment of higher education and experience levels. The pay adjustments may be to the equivalent rate of pay for the corresponding GS grades covered by the pay band for which they qualify in accordance with the Pathways Intern Qualification Standard. This pay adjustment may be in addition to any increase in pay the student would be eligible for based on performance. i. Conversion. (1) Conversion to the Demonstration Project. (a) Entry into the demonstration project for covered employees will be accomplished through a full employee protection approach that ensures each employee an initial place in the appropriate occupational family and pay band without loss of pay. An automatic conversion from current GS grade and pay into the new broad banding system will be accomplished. Except for special rate employees, each employee will be converted at his/her current GS salary at the time of conversion. (b) Employees who are on temporary promotions at the time of conversion will be converted to a pay band commensurate with the grade of the position to which temporarily promoted. At the conclusion of the temporary promotion, the employee will revert to the pay band which corresponds to the grade of record. Their salary will be reconstructed and adjusted to recognize within grade increases and will include performance-based pay increases earned while on the temporary promotion. The one exception will be if the original competitive promotion announcement stipulated that the promotion could be made permanent. In these cases, actions to make the temporary promotion permanent will be considered and, if implemented, will be subject to all existing priority placement programs. (c) At the time of conversion, each employee will have his/her basic pay adjusted for the time credited (in weeks) toward what would have been the employee's next within grade increase. 5-3

36 (d) During the first 12 months following conversion, employees who occupy positions with clearly identified promotion potential with a full performance level above their grade level at time of conversion will receive pay increases for non-competitive promotion equivalents when the grade level of the promotion equivalent is encompassed within the same pay band, the employee s performance warrants the pay increase, and promotion equivalent would have otherwise occurred during that period. (e) Any employee assigned Outside Continental United States (OCONUS) who is covered by the project will continue to be ineligible for locality pay. The maximum basic salary payable in the pay band will be limited to the maximum rate of pay on the GS salary table which does not include any locality pay. (2) Conversion from the Demonstration Project. (a) If a demonstration project employee is moving to a position not under the demonstration project, or if the project ends and each project employee must be converted back to the GS system, the following procedures will be used. For conversions upon termination of the project and for lateral reassignments, the converted grade and rates will become the employee's actual grade and rates after leaving the demonstration project (before any other action). For transfers, promotions, and other actions, the converted grade and rates will be used in applying any pay movement out of the project (i.e., promotion rules, highest previous rate rules, pay retention rules) as if the converted grade and rates were actually in effect immediately before the employee left the demonstration project. (b) Grade-Setting Provisions. An employee in a pay band corresponding to a single 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 in Table

37 Table 5-1 Grade-Setting Rules 1. The employee's adjusted rate of basic pay under the demonstration project (including any locality payment or staffing supplement but excluding any supervisory pay adjustment) is compared with step 4 rates in the highest applicable GS rate range. For this purpose, a GS rate range includes a rate range in the GS base schedule, the locality rate schedule for the locality pay area in which the position is located, or the appropriate special rate schedule for the employee's occupational series, as applicable. If the series is a two-grade interval series, only odd-numbered grades are considered below GS If the employee's adjusted project rate equals or exceeds the applicable step 4 rate of the highest GS grade in the band, the employee is converted to that grade. 3. If the employee's adjusted project rate is lower than the applicable step 4 rate of the highest grade, the adjusted rate is compared with the step 4 rate of the second highest grade in the employee's pay band. If the employee's adjusted rate equals or exceeds step 4 o the second highest grade, the employee is converted to that grade. 4. This process is repeated for each successively lower grade in the pay band until a grade is found in which the employee's adjusted project rate equals or exceeds the applicable step 4 rate of the grade. The employee is then converted at that grade. If the employee's adjusted rate is below the step 4 rate of the lowest grade in the pay band, the employee is converted to the lowest grade. 5. Exception: If the employee's adjusted project rate exceeds the maximum rate of the grade assigned under the above-described step 4 rule but fits in the rate range for the next higher applicable grade (i.e., between step 1 and step 4), then the employee shall be converted to the next higher applicable grade. 6. Exception: An employee will not be converted to a lower grade than the grade held by the employee immediately preceding a conversion, lateral reassignment, or lateral transfer into the project, unless since that time the employee has undergone a reduction in band. 5-5

38 (c) Pay-Setting Provisions. An employee's pay within the converted GS grade is set by converting the employee's demonstration project rates of pay to GS rates of pay in accordance with the following rules in Table 5-2. Table 5-2 Pay-Setting Rules 1. The employee's adjusted rate of basic pay under the demonstration project (including any locality payment or staffing supplement but excluding any supervisory pay adjustment) is compared with step 4 rates in the highest applicable GS rate range. For this purpose, a GS rate range includes a rate range in the GS base schedule, the locality rate schedule for the locality pay area in which the position is located, or the appropriate special rate schedule for the employee's occupational series, as applicable. If the series is a two-grade interval series, only odd-numbered grades are considered below GS If the employee's adjusted project rate equals or exceeds the applicable step 4 rate of the highest GS grade in the band, the employee is converted to that grade. 3. If the employee's adjusted project rate is lower than the applicable step 4 rate of the highest grade, the adjusted rate is compared with the step 4 rate of the second highest grade in the employee's pay band. If the employee's adjusted rate equals or exceeds step 4 o the second highest grade, the employee is converted to that grade. 4. This process is repeated for each successively lower grade in the pay band until a grade is found in which the employee's adjusted project rate equals or exceeds the applicable step 4 rate of the grade. The employee is then converted at that grade. If the employee's adjusted rate is below the step 4 rate of the lowest grade in the pay band, the employee is converted to the lowest grade. 5. Exception: If the employee's adjusted project rate exceeds the maximum rate of the grade assigned under the above-described step 4 rule but fits in the rate range for the next higher applicable grade (i.e., between step 1 and step 4), then the employee shall be converted to the next higher applicable grade. 6. Exception: An employee will not be converted to a lower grade than the grade held by the employee immediately preceding a conversion, lateral reassignment, or lateral transfer into the project, unless since that time the employee has undergone a reduction in band. 5-6

39 (d) Within-Grade Increase - Equivalent Increase Determinations. Service under the demonstration project since the last pay-for-performance determination is creditable for withingrade purposes upon conversion back to the GS pay system. Performance pay increases (including a zero increase) under the demonstration project are equivalent increases for the purpose of determining the commencement of a within-grade increase waiting period under 5 CFR (b) Promotions. A promotion is the movement of an employee to a higher pay band within the same occupational family or to a pay band in a different occupational family which results in an increase in the employee s salary. Upon promotion an employee will be entitled to a 6-percent basic pay increase or the lowest level of pay in the pay band to which promoted, whichever is greater Supervisory Pay Adjustments. a. Supervisory pay adjustments may be used at the discretion of the ERDC Director, to compensate employees in supervisory positions. Supervisory pay adjustments are increases to the supervisor's basic rate of pay ranging up to 10 percent of that pay rate, subject to the constraint that the adjustment may not cause the employee's basic rate of pay to exceed the pay band maximum rate. Only employees in supervisory positions assigned duties and authorities meeting those required for classification under the OPM GS Supervisory Guide and whose rate of pay is less than the pay band maximum will be considered for the supervisory pay adjustment. Criteria to be considered in determining the pay increase percentage include the following organizational and individual employee factors: needs of the organization to attract, retain, and motivate high quality supervisors; budgetary constraints; years of supervisory experience; amount of supervisory training received; performance; and managerial impact on the organization. b. Conditions, after the date of conversion into the demonstration project, under which the application of supervisory pay adjustment will be considered are as follows: (1) New hires into supervisory positions will have their initial rate of basic pay set at the supervisor's discretion within the pay range of the applicable pay band. This rate of pay may include a supervisory pay adjustment using the ranges and criteria outlined above. (2) An employee selected for a supervisory position that is within the employee's current pay band may also be considered for a supervisory pay adjustment. (3) If a supervisor is already authorized a supervisory pay adjustment and is subsequently selected for another supervisory position within the same pay band, then the supervisory pay adjustment will be redetermined. (4) An employee promoted to a supervisory position in a higher pay band may be considered for a supervisory pay adjustment in addition to the pay increase that resulted from the promotion. 5-7

40 (5) Supervisors, upon initial conversion into the demonstration project into the same, or substantially similar position, will be converted at their existing basic rate of pay and will not be eligible for a supervisory pay adjustment. (6) Before supervisory employees may receive the supervisory pay adjustment, they must sign a statement acknowledging that the entire adjustment will be immediately withdrawn if they are removed from the supervisory position because of unacceptable performance or conduct. Supervisory employees who are reassigned to a nonsupervisory position for any other reasons (i.e., employee choice, management-directed reassignment, or RIF) will receive one-half of the supervisory pay adjustment for one year following the reassignment. Eliminations or reductions in supervisory pay adjustments are not subject to appeal and are not covered under pay retention provisions. (7) If a non-supervisory employee is detailed or is temporarily reassigned to a supervisory position within the same pay band or competitively selected for a temporary promotion to a supervisory position in a higher pay band, the employee may be eligible for a supervisory pay adjustment. If the detail or temporary promotion exceeds 180 days, the employee will receive onehalf of the supervisory pay adjustment for one year following completion of the detail or temporary promotion Supervisory Pay Differentials. a. Supervisory pay differentials may be used, at the discretion of the ERDC Director, to provide incentive and reward for supervisors whose pay is at the maximum rate of the pay band. Assigned supervisory duties and authorities meeting that required for classification under the OPM GS Supervisory Guide are required. A supervisory pay differential is a cash incentive approved annually, is paid out on a pay period basis, and is not included as part of the supervisor's basic rate of pay. The differential may be up to 10 percent of the supervisor's basic rate of pay. Supervisors in pay band DB-VI may be eligible for this differential as described in Enclosure 5 to Appendix Q. Criteria to be considered in determining the amount of this supervisory pay differential includes those identified for supervisory pay adjustment. b. Supervisors, upon initial conversion into the demonstration project into the same or substantially similar position, will be converted at their existing basic rate of pay and will not be eligible for a supervisory pay differential until the first annual performance rating period is completed. c. The determination to grant a supervisory pay differential will consider the employee s performance score. Funds will come out of the compensation pool. d. If a non-supervisory employee whose basic rate of pay is at the maximum rate of the pay band is detailed or is temporarily reassigned to a supervisory position within the same pay band, the employee may be eligible for a supervisory pay differential. If an employee is competitively selected for a temporary promotion to a supervisory position in a higher pay band and the promotion places his/her basic rate of pay at the maximum rate of the pay band, the supervisory 5-8

41 differential may be added. If the temporary promotion places his/her pay near the maximum rate of the pay band, the employee may receive both a supervisory adjustment and differential pay. The sum of the supervisory pay adjustment and pay differential may not exceed 10 percent of the employee s basic rate of pay. Funds from the compensation pool will not be used for the temporary actions. e. All personnel actions involving a supervisory pay differential will require a statement signed by the employee acknowledging that the differential may be terminated or reduced at the discretion of the ERDC Director and that the differential will be terminated when the employee is removed from the supervisory position, regardless of cause. The termination of the differential is not an adverse action, is not subject to appeal, and is not covered under pay retention provisions Pay Ceilings. An employee's total monetary compensation paid in a calendar year may not exceed the rate of basic pay for Level I of the Executive Schedule consistent with 5 USC 5307 and 5 CFR part 530, subpart B. Each pay band will have its own pay ceiling, just as grades do in the GS system. Basic pay rates for the various pay bands will be directly keyed to the GS basic rates of pay except for pay band VI in the Engineers and Scientists occupational family. Pay band VI will have pay rates keyed to a minimum of 120 percent of the minimum rate of adjusted basic pay for GS-15 with a maximum of the pay established for Executive Level III Staffing Supplements. CR a. Employees assigned to occupational series covered by special rates will be eligible for a staffing supplement if the maximum adjusted rate for the banded GS grades to which assigned exceeds the maximum GS locality rate for the banded grades (e.g., engineers in DB II and some engineers in DB III). The staffing supplement is added to the base pay, much like locality rates are added on to base pay. The employee's total pay immediately after implementation of the demonstration project will be the same as immediately before the demonstration project, but a portion of the total will be in the form of a staffing supplement. Adverse action and pay retention provisions will not apply to the conversion process as there will be no change in total salary. The staffing supplement is calculated as described below. b. Upon conversion, the demonstration base rate will be established by dividing the old maximum GS adjusted rate (special rate or locality rate) by the staffing factor. The staffing factor will be determined by dividing the maximum special rate for the banded grades by the GS unadjusted rate corresponding to that special rate (step 10 of the GS rate for the same grade as the special rate). The employee's demonstration staffing supplement is derived by multiplying the demonstration base rate by the staffing factor minus one. So the employee's final demonstration special staffing rate equals the demonstration base rate plus the staffing supplement, this amount will equal the employee's former maximum GS adjusted rate. Simplified, the formula is: 5-9

42 Staffing factor = Maximum special rate for the banded grades GS unadjusted rate corresponding to that special rate Demonstration base rate = Old maximum GS adjusted rate (special rate) Staffing factor Staffing supplement = Demonstration base rate X (Staffing factor - 1) Salary upon conversion = Demonstration base rate + Staffing supplement (Sum will equal the existing rate) Example: In the case of a GS /03 employee who is receiving a special salary rate, the salary before the demonstration project is $42,944. The maximum special rate for a GS step 10 is $51,295 and the corresponding unadjusted regular rate is $46,523. The staffing factor is computed as follows: $51,295 Staffing factor = = $46,523 $42,944 Demonstration base rate = = $38, Then to determine the staffing supplement, multiply the demonstration base rate by the staffing factor minus 1. $38,948 Staffing supplement = x.1026 $ 3,996 The staffing supplement of $3,996 is added to the demonstration base rate of $38,948 and the total salary is $42,944, which is the salary of the employee before conversion to the demonstration project. c. If an employee is in a band where the maximum GS adjusted rate for the banded grades is a locality rate when the employee is converted into the demonstration project, the demonstration base rate is derived by dividing the employee's former GS maximum adjusted rate (locality or 5-10

43 special rate) by the applicable pay factor. The employee's demonstration locality adjusted rate will equal the employee's former maximum GS adjusted rate. d. Annual pay adjustment for employees in special rate occupations will require recomputation of the staffing supplement. If OPM discontinues or decreases special employee rates, employees will be entitled to pay retention if authorized by OPM. Upon geographic movement, an employee who receives the special staffing supplement will have the supplement recomputed. Any resulting reduction in pay will not be considered an adverse action or a basis for pay retention. e. Established salary including the staffing supplement will be considered basic pay for the same purpose as a locality rate under 5 CFR (b), i.e., for the purposes of retirement, life insurance, premium pay, severance pay, and advances in pay. It will also be used to compute worker's compensation payments and lump sum payments for accrued and accumulated annual leave. 5-11

44 CHAPTER 6 EMPLOYEE DEVELOPMENT 6-1. Purpose. This chapter outlines the Training and Development Program for the ERDC under the Laboratory Personnel Management Demonstration Project Intent. Training of employees is a vital and contributive factor in the successful accomplishment of any mission. By increasing the effectiveness of its employees, the ERDC increases effectiveness and efficiency in the conduct of its mission. a. The policy is to plan and provide for individual growth through the training and development of civilian career employees by supplementing self-education and improvement with mission-related training. This training may be full- or part-time. In all instances, the prime consideration will be to provide training that is required to develop a work force to meet present and future mission requirements. b. Equal opportunity to participate in training and development programs will be afforded every employee on a fair and equitable basis, without regard to age, race, religion, color, lawful political or other affiliation, marital status, sex, national origin, non-disqualifying physical or mental disability, membership or non-membership in an employee organization, or any other nonmerit reason Degree Training. a. The ERDC may pay for training that may lead to an academic degree for purposes of meeting critical skill requirements, to ensure continuous acquisition of advanced and specialized knowledge essential to the organization, and to recruit and retain personnel critical to the present and future requirements of the organization. It is expected that the degree payment authority will be used primarily, but not exclusively, for the attainment of advanced degrees. b. Degree payment may not be authorized where it would result in a tax liability for the employee without the employee's written consent Sabbaticals. a. Objective. The objective of the ERDC Sabbatical Program is to develop the competence of employees in their official duties for maximum achievement of mission goals and objectives. The sabbatical must result in a product, service, report, or study that will benefit ERDC and increase the employee's individual effectiveness. This may be achieved through: (1) Advanced academic teaching, study, or research. (2) Self-directed (independent) or guided study. 6-1

45 (3) On-the-job work experience with a public, private, or non-profit organization. b. Eligibility. An employee must have full career status and a current performance score of 2.5 or greater. c. Approval. The ERDC Director will approve all sabbaticals. d. Return to Duty. The employee must return to the same or a similar position as previously occupied. e. Performance Appraisal. (1) The objectives of the sabbatical should be included in the employee s performance plan. (2) The employee may receive a performance pay increase and/or a performance award while on sabbatical. f. Funding. Salary and expenses may be paid by the ERDC. Reimbursement to the ERDC by an outside organization for salary and expenses may also be accepted. The study or work experience may also be uncompensated. g. Continued Service Agreement. Each recipient of a paid sabbatical must sign a continued service agreement to serve a period equal to at least three times the length of the sabbatical. 6-2

46 CHAPTER 7 REDUCTION-IN-FORCE (RIF) 7-1. Purpose. This chapter provides guidance on RIF procedures Procedures. The RIF procedures will be used when an employee must be released from his/her occupational family pay band by: a. Separation. b. Demotion (other than failure of an employee to receive a full General Schedule increase or change to lower pay band based on performance). c. Furlough for more than 30 calendar days. d. Reassignment requiring displacement of another employee Scope of Competition. a. Competitive Area. Competitive areas will be limited to occupational families. b. Retention Register. Competing employees are listed on a retention register in the following order: (1) Tenure status (see Appendix T). (2) Veteran s preference. (3) Average of the employee s most recent three performance scores (rounded to the nearest tenth) received during the past four years. (a) If an employee has three ratings but not all are under the project, those ratings not under the project will be converted using an OPM rating pattern to convert ratings to a five (5) pattern rating level. (b). Missing Ratings. Employees who do not have three actual ratings of record during the 4-year period prior to the date of issuance of RIF notices or the 4-year period prior to the established cutoff date for ratings of record shall be determined as follows: 7-1

47 (i) An employee who has not received any rating of record during the 4-year period shall be credited with an average score based on the modal rating for the summary level pattern that applies to the employee s official position of record at the time of the reduction in force. (ii) An employee who has received at least one but fewer than three previous ratings of record during the 4-year period shall receive credit on the basis of the value of the actual rating(s) of record divided by the number of actual rating(s) received. If an employee has received only two actual ratings of record during the period, the value of the ratings is added together and divided by two to determine the retention score. If the employee has received only one actual rating of record during the period, the value is the retention score. (4) Service computation date. Performance scores will not be used to adjust the service computation date. The service computation date will be used as a tie breaker. c. Release of Modified Term Employees. Modified term appointment employees are in Tenure Group III for RIF purposes. The RIF procedures are not required when separating these employees when their appointments expire Performance Score. a. An employee who has received a written decision to demote him/her to a lower pay band competes in a RIF from the position to which he/she will be demoted. Employees who have been demoted for unacceptable performance or conduct, and as of the date of issuance of the RIF notice have not received a performance score in the position to which demoted, will receive a modal performance score. b. An employee who has received an improved performance score following a PIP will have the improved performance score considered as the current performance score of record, provided that notification of such improvement is approved and received prior to the cutoff for receipt of personnel actions associated with implementation of RIF mechanics. c. An employee with a current rating of unacceptable has assignment rights only to a position held by another employee who has a rating of unacceptable. An employee who has been given a written decision of removal will not compete in the RIF process Assignment Rights. a. Bumping. Bumping is an employee s right of assignment to a position occupied by another employee in a lower subgroup at the same or lower pay band within the same occupational family. The occupied position is no more than two pay bands below the position from which the employee is released. 7-2

48 b. Retreating. Retreating is the assignment of an employee to a position previously held in the same occupational family which is occupied by another employee with the same subgroup, but with a lesser retention standing. When the occupied position is: (1) The same pay band or no more than two pay bands below the position from which the employee is released. A preference eligible with a compensable service-connected disability of 30 percent or more may displace employees in positions equivalent to five GS grades below the minimum grade level of his/her current pay band. (2) The same position or essentially identical to a position previously held by the released employee in any Federal agency. An employee with a current performance score of less than 2.0 may only be assigned under the retreating provision to a position held by another employee with a current performance score of less than Appeal Rights. The RIF actions may be appealed through the Merit Systems Protection Board. The RIF appeal actions are excluded from the negotiated grievance procedure. 17 APPENDICES (See Table of Contents) GLOSSARY JEFFERY P. HOLLAND, PhD, PE Director DISTRIBUTION: A 7-3

49 APPENDIX A LABORATORY PERSONNEL MANAGEMENT DEMONSTRATION PROJECT OCCUPATIONAL FAMILY COVERAGE A-1. Occupational Family Definitions. There are four occupational families in the demonstration project. a. Engineers and Scientists. This occupational family includes all technical professional positions such as engineers (civil, hydraulic, structural, mechanical, electronic, electrical, chemical, and environmental), mathematicians, statisticians, computer scientists, geographers, architects, archaeologists, operations research analysts, and a variety of physical and biological scientists. Specific course work or educational degrees are required for positions in this occupational family. b. E&S Technicians. This occupational family consists of the positions that support the various engineering and scientific activities. Employees in this occupational family are required to have training and skills in the various technical areas (civil, hydraulic, structural, geotechnical, physical, coastal, biological, chemical). c. Administrative. This occupational family contains specialized functions in such fields as counsel, audit, finance, procurement, public information, accounting, administrative, computing, safety, and management analysis. Special training and skills in administrative fields or special degrees are required. d. General Support. This occupational family is composed of positions requiring special skills and knowledge, such as typing or shorthand, and job-related experience. Clerical work usually involves the processing and maintenance of records. Assistant work requires knowledge of methods and procedures within a specific administrative area. Other support functions include the work of secretaries, legal clerks, guards, mail clerks, etc. A-1

50 A-2. Occupational Series by Occupational Family. a. Engineers and Scientists (DB) Community Planner 0099 Student Trainee 0101 General Social Scientist 0150 Geographer 0110 Economist 0180 Engineering Psychologist 0184 Sociologist 0190 Anthropologist 0193 Archeologist 0199 Student Trainee 0401 Biologist 0403 Microbiologist 0408 Ecologist 0410 Zoologist 0414 Entomologist 0415 Toxicologist 0430 Botanist 0434 Plant Pathologist 0435 Plant Physiologist 0457 Soil Conservationist 0460 Forester 0470 Soil Scientist 0471 Agronomist 0482 Fishery Biologist 0486 Wildlife Biologist 0499 Student Trainee 0690 Industrial Hygienist 0801 General Engineer 0803 Safety Engineer 0806 Materials Engineer 0807 Landscape Architecture 0808 Architecture 0810 Civil/Hydraulic/Structural Engineer 0819 Environmental Engineer 0830 Mechanical Engineer 0850 Electrical Engineer 0854 Computer Engineer 0855 Electronics Engineer 0890 Agricultural Engineer 0893 Chemical Engineer 0896 Industrial Engineer 0899 Student Trainee 1301 Physical Scientist 1310 Physicist 1313 Geophysicist 1315 Hydrologist 1320 Chemist 1321 Metallurgist 1340 Meteorologist 1350 Geologist 1360 Oceanographer 1370 Cartographer 1372 Geodesist 1399 Student Trainee 1515 Operations Research Analyst 1520 Mathematician 1529 Mathematical Statistician 1530 Statistician 1550 Computer Scientist 1599 Student Trainee A-2

51 b. E&S Technicians (DE) Biological Science Technician 0499 Student Trainee 0802 Engineering Technician 0818 Engineering Draftsman 0856 Electronics Technician 0899 Student Trainee c. Administrative (DJ) Safety & Occupational Health Specialist 0023 Outdoor Recreation Planner 0028 Environmental Protection Specialist 0080 Security Specialist 0083 Technical/Writing & Editing 0099 Student Trainee 0170 Historian 0201 Human Resources Specialist 0260 Equal Employment Opportunity Specialist 0301 Information Systems Manager Specialist/Joint Test Program Management Coordinator/ Emergency Operations Manager 0340 Program Manager 0341 Administrative Officer 0342 Support Services Administration 0343 Management & Program Analysis Officer 0346 Logistics Management Officer 0391 Telecommunications Officer 0399 Student Trainee 0505 Financial Manager 0510 Accountant 0511 Auditor 0560 Budget Officer 0599 Student Trainee 0610 Nurse 1311 Physical Science Technician 1371 Cartographic Technician 1374 Geodetic Technician 1399 Student Trainee 1521 Mathematics Technician 1599 Student Trainee 1670 Equipment Specialist 0905 General Attorney 0950 Paralegal Specialist 1020 Illustrator 1035 Public Affairs Specialist 1040 Language Specialist 1060 Photographer 1071 Audiovisual Specialist 1082 Editor 1083 Technical Writer-Editor 1084 Visual Information Specialist 1102 Contract Specialist 1103 Industrial Property Specialist 1104 Property Disposal Specialist 1173 Housing Manager 1199 Student Trainee 1410 Librarian 1412 Technical Information 1499 Student Trainee 1601 Facilities Management Coordinator 1640 Facility Management Specialist 1701 General Education and Training 1712 Training Instructor 2001 General Supply Specialist Supply 2003 Management Specialist Inventory 2010 Management Specialist 2101 Transportation Specialist 2210 Information Technology 2299 Student Trainee A-3

52 d. General Support (DK) Safety Technician 0081 Firefighter 0085 Security Guard 0086 Security Assistant 0090 Guide 0099 Student Trainee 0302 Messenger 0303 Clerk 0305 Mail & File Clerk 0312 Clerk-Stenographer 0318 Secretary 0322 Clerk-Typist 0326 Office Automation Clerk 0332 Computer Operator 0335 Computer Clerk 0344 Management Assistant 0350 Equipment Operator 0361 Equal Employment Opportunity Assistant 0394 Communications Clerk 0503 Financial Clerk & Assistant 0525 Accounting Technician 0530 Cash Processing Technician 0540 Civilian Pay Technician 0544 Teller 0561 Budget Clerk 0986 Legal Clerk 1087 Editorial Assistant 1105 Purchasing Clerk 1106 Procurement Clerk 1107 Property Disposal Clerk 1411 Library Technician 2005 Supply Clerk 2102 Transportation Clerk 2131 Freight Rate Specialist A-4

53 APPENDIX B OCCUPATIONAL FAMILIES AND PAY BANDS Occupational Families Pay Bands Engineers and Scientists * (DB) I (N) II (N) III (E) IV (E) V (E) VI (E) E&S Technicians (DE) I (N) II (N) III (N) IV (E) Administrative (DJ) I (N) II (N) III (E) IV (E) V (E) General Support (DK) I (N) II (N) III (N) IV (E or N) Corresponding GS Grades Above 15 * Engineers and Scientists pay band II includes a mix of positions: positions equivalent to GS-5 through GS-10 involve research, test, evaluation, and equipment development work as well as non-research work; positions equivalent to GS-11 involve research work. Pay band III includes non-research positions; e.g., engineers in public works. Pay band IV positions equivalent to GS-12 through GS-14 involve research work; the balance of band IV includes a mix of research and nonresearch supervisory positions and program managers. FLSA Codes: N = Nonexempt; E = Exempt. Although typical exemption status under the various pay bands is shown, actual FLSA exemption status determinations are made on a case-by-case basis. B-1

54 APPENDIX C LEVEL DESCRIPTORS FOR ENGINEERS AND SCIENTISTS POSITIONS C-1

55 C-2

56 C-3 CR

57 C-4

58 C-5 CR

59 C-6

60 C-7 CR

61 C-8

62 C-9 CR

63 C-10

64 C-11 CR

65 C-12

66 APPENDIX D CR LEVEL DESCRIPTORS FOR ENGINEERS AND SCIENTISTS SUPERVISORY POSITIONS D-1

67 D-2

68 D-3 CR

69 D-4

70 D-5 CR

71 D-6

72 D-7 CR

73 APPENDIX E CR LEVEL DESCRIPTORS FOR ENGINEERS AND SCIENTISTS TECHNICIANS POSITIONS E-1

74 E-2

75 E-3 CR

76 E-4

77 E-5 CR

78 E-6

79 APPENDIX F LEVEL DESCRIPTORS FOR ENGINEERS AND SCIENTISTS TECHNICIANS SUPERVISORY POSITIONS F-1

80 F-2

81 F-3 CR

82 APPENDIX G LEVEL DESCRIPTORS FOR ADMINISTRATIVE POSITIONS G-1

83 G-2

84 G-3 CR

85 G-4

86 G-5 CR

87 G-6

88 G-7 CR

89 G-8

90 APPENDIX H LEVEL DESCRIPTORS FOR ADMINISTRATIVE SUPERVISORY POSITIONS H-1

91 H-2

92 H-3 CR

93 H-4

94 H-5 CR

95 H-6

96 H-7 CR

97 APPENDIX I CR LEVEL DESCRIPTORS FOR GENERAL SUPPORT POSITIONS I-1

98 I-2

99 I-3 CR

100 I-4

101 I-5 CR

102 I-6

103 I-7 CR

104 APPENDIX J LEVEL DESCRIPTORS FOR GENERAL SUPPORT SUPERVISORY POSITIONS J-1

105 J-2

106 J-3 CR

107 APPENDIX K SPECIALTY CODES AND DEFINITIONS FOR ENGINEERS, SCIENTISTS, AND TECHNICIANS K-1

108 APPENDIX K Specialty Codes and Definitions for Engineers, Scientists, and Technicians K-1. This living document will be kept up-to-date by the Executive Office, ERDC. K-2. Specialty Codes and Definitions for Engineers, Scientists, and Technicians are as follows: Code Specialty 1 ERDC Management (Full or Special Assistant) 1a ERDC Program Management 1b ERDC Graduate Institute 1c European Liaison 1d Technology Transfer of R&D Products and Technologies (Full or Special Assistant) 1e Integration of Knowledge Management 1f Technology Outreach 1g Coordination of Marketing and Business Development 1h Emergency Management and Emergency Operations 1i Support to the Warfighter and All-Hazard Contingencies 2 Technical Programs and Plans 3 Environmental Management (Full or Special Assistant) 3a Environmental Program Management 3b Environmental Technical Information Analysis 3c Ecology Management (Chief, Full or Special Assistant) 3d Wetlands Ecology 3e Aquatic Ecology 3f Coastal Ecology 3g Environmental Engineering Management (Chief, Full or Special Assistant) 3h Environmental Restoration 3i Environmental Sensing 3j Environmental Resources Engineering 3k Environmental and Quality Assurance Chemistry 3l Natural Resources Management (Chief, Full or Special Assistant) 3m Environmental Characterization 3n Resource Analysis 3p Stewardship 3q Environmental Processes & Effects Management (Chief, Full or Special Assistant) 3r Water Quality and Contaminant Modeling 3s Fate and Effects 3t Ecosystem Processes and Effects K-2

109 Code Specialty CR Coastal and Hydraulics Management 4a Coastal and Hydraulics Program Management 4b Navigation Management 4c Flood and Storm Protection Management 4d Design, Operation, and Maintenance Waterway Systems 4e Electronic Navigation (e-nav) 4f Hydropower Turbine Design for Fish Passage and Avoidance 4g Coastal Infrastructure Design and Analysis 4h Inland Hydraulic Infrastructure Design and Analysis 4i Coastal Storm Hazard Characterization and Lifecycle Analysis of Infrastructure 4j Hydraulics and Sedimentation in Streams, Rivers and Reservoirs 4k Bank Protection of Streams, Rivers and Reservoirs 4l Engineering Analysis of Coastal Systems 4m Coastal Regional Systems Analysis and Optimization 4n Dredging Engineering 4o Hydrologic Systems Prediction and Analysis 4p Groundwater Systems Prediction and Analysis 4q Computational Fluid Dynamics 4r Current and Water Level Prediction and Analysis 4s Wind Wave Prediction and Analaysis 4t Sediment Transport Prediction and Analysis 4u Lifecycle Analysis and Decision Support for Beach Systems 4v Data Collection, Analysis, and Instrumentation Systems 4w Coastal Observation and Analysis 4x Estuarine Systems Prediction Analysis 5 Geotechnical and Structures Management (Full or Special Assistant) 5a Technical Director, Force Projection and Maneuver Support 5b Technical Director, Civil Works and Infrastructure 5c Technical Director, Force Protection and Weapons Effects 5d Geotechnical/Structural Technical Information Analysis 5e Geosciences and Structures Management 5f Geosciences and Structures Research 5i Structural Mechanics 5j Structural Engineering 5k Survivability Engineering 5l Engineering Systems & Materials Management (Chief, Full, Special Assistant) 5m Engineering Systems & Materials Research 5n Tele-Engineering Research 5o Concrete and Materials 5p Impact and Explosion Effects 5q Airfields and Pavements 5r Mobility Systems 5s Geotechnical Engineering and Geosciences Research K-3

110 Code Specialty 7 Information Technology Management (Chief, Full, or Special Assistant) 7a Information Technology Program Direction and Integration 7b Supercomputing Research Center 7c DOD High Performance Computing Modernization Program 7d Office of the Chief Information Officer 7m Computational Science and Engineering 7n Sensor Integration 7o Scientific Software 7p Computational Analysis 7q Software Engineering and Informatics 7r CAB/BIM Technology 7s Software Engineering and Evaluation 7t Library Science and Knowledge Management 8 Public Works Management (Chief, Full or Special Assistant) 8a Facilities Engineering 8b Safety and Environment 9 Motor Vehicle Operator 10 Explosive Handling/Blasting 11 Diving 12 Computer-Aided Drafting 13 Supervision 14a 14c 14d 14e 14f 14g 14h 14i 14j 14k Technical Program Development Technical Research Execution Energy Technologies, Processes, and Tools Materials Science and Structural Engineering Engineering Processes and Tools Maintenance Management Processes and Tools Business Processes Environmental Processes Land and Heritage Conservation Ecological Processes K-4

111 Code Specialty 15 Deputy Director 15a Technical Program Development 15b Technical Plans and Programs 15c RS/GIS Center of Expertise 15d Research and Engineering Division 15e Terrestrial and Cryospheric Sciences Branch 15f Signature Physics Branch 15g Force Projection and Sustainment Branch 15j Biogeochemical Sciences Branch 15k Remote Sensing/GIS and Water Resources Branch 15m Engineering Resources Branch 16a Geospatial Research Laboratory 16d Office of the Technical Directors 16e Management Support Group 16.1 Topography, Imagery and Geospatial (TIG) Research Division 16.1a Data and Signature Analysis Branch 16.1b Information Generation and Management Branch 16.1c Data Representation Branch 16.1d Geospatial Applications Branch K-5

112 Code Definition 1 ERDC Management (Full or Special Assistant). Involves serving as the full assistant (Associate Technical Director) to the Director, ERDC, sharing in the planning, directing, and coordinating of ERDC Research and Development work for DOD, Department of the Army (DA), U.S. Army Corps of Engineers (USACE), other Federal agencies, etc; or serves as a special assistant planning, directing, and managing a broad range of professional, technical and/or administrative activities. 1a 1b 1c 1d 1e ERDC Program Management. Involves planning, formulating, developing, managing, and executing USACE, DA and/or DOD level multidisciplinary multi-corps and/or Laboratory research programs. ERDC Graduate Institute. Involves developing, managing, coordinating, implementing and directing an aggressive high-quality program of graduate education opportunities for continued professional development of the engineers and scientists comprising the ERDC work force in mission areas assigned to ERDC (combat engineering, environmental sciences, water quality, camouflage, countermine, fixed facility survivability, mobility and countermobility, hydraulics, coastal engineering (a national mission legislatively assigned), geotechnical engineering, environmental effects, structural engineering, information and concrete technology, etc.). European Liaison. Involves planning, developing, and coordinating U.S. Army sponsored or suggested Engineering and Environmental Sciences in Europe, Africa, Middle East, and India (EAMEI) area. Technology Transfer of R&D Products and Technologies (Full or Special Assistant). Involves planning, directing, supervising, managing, and executive oversight of all operational functions provided by the Office of Research and Technology Transfer (ORTT) to its supported organizations. Strategically engage sponsors and stakeholders regarding technology transfer and infusion activities and provide recommendations and facilitate the execution of technology transfer and infusion activities. Integration of Knowledge Management. Involves responsibility for interfacing existing ERDC knowledge management and technology transfer initiatives, portals and web pages. Strategically engages the Combatant Commands, Joint Engineer Community, stakeholders and non-customers concerning ERDC Knowledge Management and technology transfer portals to advance technology transition and infusion. Provide recommendations concerning technology transfer platform processes to the ORTT. Develop ERDC policy on technology transition platform development and integration. K-6

113 Code 1f 1g 1h 1i 2 Definition Technology Outreach. Provides general guidance, training and support to technical staff on the development of technology transfer plans. Develop and implement outreach and marketing plans for developing partnering agreements between the ERDC Laboratories and the Department of Defense, Departments of the Army, Air Force, Navy and Marines, Federal agencies, non-federal agencies, private industry and academia. Develop and implement processes to measure, document and report technology transfer activities. Coordination of Marketing and Business Development. Plan, direct, coordinate, evaluate and recommend priorities for workshops, training, technology support (including software security), model maintenance support, demonstrations and evaluations to advance and transition technologies developed by the U.S. Army ERDC to the Department of Defense, Departments of the Army, Air Force, Navy, and Marines, other Federal agencies, non-federal agencies, private industry and academia. Facilitate the execution and documentation of approved proposals and program results. Emergency Management and Emergency Operations. Develops, staffs and distributes ERDC operation orders, fragmentary orders, and other related guidance. Coordinate ERDC personnel accountability during all-hazard operations and support employee assistance programs. Review, summarize, communicate, recommend responsible organization and track HQUSACE OPORDS, FRAGOs and SITREPs. Coordinates Director s and Commander s Critical Information Requirements and coordinating with the ERDC Executive Office, ERDC laboratories, and Command Staff Divisions on ERDC-wide data calls. Support to the Warfighter and All-Hazard Contingencies. Receive, coordinate and respond to all engineering reachback Requests For Information (RFI). Develop policies and procedures relating to engineering reachback operations; equipment, training, rapid responses, databases. Leverage subject matter experts (SMEs) from across USACE, the Army, DOD, private industry and academia to provide rapid, reliable, and relevant solutions to engineering challenges. Develops, modifies, and evaluates portable, non-destructive test devices for use during engineering reconnaissance missions. Provide recommendations on tactics, techniques and procedures for engineering reachback to the ORTT. Technical Programs and Plans. Involves the development, documentation, management, and coordination of technical programs and projects and the development and implementation of ERDC s technology transfer programs. K-7

114 Code Definition 3 Environmental Management (Full or Special Assistant). Involves serving as the full assistant sharing in the planning, directing, and coordinating the environmental research and development work for DOD, DA, USACE, ERDC, other Federal agencies, etc.; or serves as a special assistant planning, directing, and managing a broad range of professional, technical and/or administrative activities. 3a 3b 3c 3d 3e 3f 3g Environmental Program Management. Involves planning, formulating, developing, managing, and executing USACE, DA, and/or DOD level multidisciplinary, multi-lab, center, division research programs in the areas of effects of dredging programs, water resources, aquatic plant control, water quality, natural resources, environmental constraints on civil and military activities and material, military hydrology, environmental impact program, wetlands, installation restoration, Site Characterization and Analysis Penetrometer System (SCAPS), etc. Environmental Technical Information and Analysis. Involves identifying, gathering, condensing, abstracting, synthesizing, processing and transmitting, environmental, engineering and scientific technological, information technology transfers, and other specialized information to provide internal/external users. Ecology Management (Chief, Full or Special Assistant). Involves planning, directing, supervising, and managing all Ecology functional requirements; or serves as a full assistant sharing in the planning, directing, etc., of the total functional requirements; or serves as a special assistant planning, directing, and managing a broad range of professional technical and/or administrative activities. Wetlands Ecology. Involves controlling, assessing Wetland functions, ecology, habitats, wildlife, restoration, delineation, and evaluation. Aquatic Ecology. Involves biological and ecological control technologies for aquatic systems, aquatic macrophytes, habitats, macroinvertebrates, and other exotic species. Coastal Ecology. Involves marine ecological problems that deal with ocean boundaries and bottom topography, the physics, chemistry, and sediment of sea water, the velocity and direction of currents, management of estuarine biological resources, etc. Environmental Engineering Management (Chief, Full or Special Assistant). Involves planning, directing, supervising, and managing all Environmental Engineering functional requirements; or serves as a full assistant sharing in the planning, directing, etc., of the total functional requirements; or serves as a special assistant planning, directing, and managing a broad range of professional, technical and/or administrative activities. K-8

115 Code 3h 3i 3j 3k 3l 3m 3n Definition Environmental Restoration. Involves environmental restoration; disposing of contaminated sediments; treating and controlling toxic and hazardous wastes; development of testing procedures for delisting of wastes; cleanup of chemical spills, pollution abatement, etc. Environmental Sensing. Involves electronic/electrical, mechanical, physical, and chemical sensor devices and systems for environmental characterization and monitoring; sensors for in situ identification and quantitation of soils and groundwater contaminants; airborne sensors for remote detection and classification of unexploded ordnance, etc. Environmental Resources Engineering. Involves preserving, conserving, developing, protecting, and utilizing environmental resources through land reclamation and enhancement using dredged material, water resource engineering, water quality management, waste water management, etc. Environmental and Quality Assurance Chemistry. Involves environmental chemistry and quality assurance testing for inorganic and organic analyses; environmental samples (water, soil sediment, fish, plants, hazardous and toxic wastes, biological tissues, etc.) Natural Resources Management (Chief, Full or Special Assistant). Involves planning, directing, supervising, and managing all Natural Resources functional requirements; or serves as a full assistant sharing in the planning, directing, etc., of the total functional requirements; or serves as a special assistant planning, directing, and managing a broad range of professional, technical, and/or administrative activities. Environmental Characterization. Involves model and simulation techniques/systems in determining, describing, etc., behavior of interrelated environmental factors and processes such as the combined effect of geographical/terrain characteristics (climate, weather, soil, atmospheric conditions, vegetation, topography, hydrologic, micro- Macro geometric and other water/resource elements); studies by use of satellite, aircraft, remote sensoring, electromagnetic, electromechanical, chemical sensors in detecting, measuring casual or unique environmental phenomena behavior. Resource Analysis. Involves natural resource management, resource planning, and facility design. Studies are conducted to gather terrestrial biological and social/cultural data/information to determine the impact of public use on environmental and natural resources, conservation and wildlife; to reduce environmental, biological and physical impacts of crowding and overuse; and develop agency guidelines for facility design in reducing environmental impacts, etc. K-9

116 Code 3p 3q 3r 3s 3t Definition Stewardship. Involves habitat evaluation, wildlife ecology, integrated natural resource management, biotechnical habitat stabilization, stewardship and management of terrestrial, transitional and wetland. Environmental Processes and Effects Management (Chief, Full or Special Assistant). Involves planning, directing, supervising, and managing all Environmental Processes and Effects functional requirements; or serves as a full assistant sharing in the planning, directing, supervising, etc., of the total functional requirements; or serves as a special assistant planning, directing, and managing a broad range of professional, technical and/or administrative activities. Water Quality and Contaminant Modeling. Involves the simulation of environmental transport; water quality models for surface water and contaminant transport and fate; groundwater contaminant transport; wetland ecosystem simulation; eutrophication modeling of coastal waters; sediment water interaction; fish passage through water control structures; impact of dams on migration patterns of aquatic organisms, etc. Fate and Effects. Involves addressing, predicting contaminant mobility and biomagnification of heavy metal mobility in soils/plants; toxicity of heavy metals on plants; aquatic toxicology, etc. Ecosystem Processes and Effects. Involves aquatic and terrestrial plant, zebra mussel control through chemical, biological, and physical methods; limnology, water resource, environmental science, aquatic ecology; soil chemistry on disposal of dredged material; contaminant removal of soils, plants, animals; environmental mobilization of organic contaminants; sediment geochemistry; bioaccumulation of contaminants in aquatic organisms; treatment of contaminants in soils, sediments, and groundwater by microbial degradation, etc. 4 Coastal and Hydraulics Management. Provides leadership, management, executive direction, and administrative support for the planning, programming, and execution of research and development activities in support of the CHL mission. Ensures that all facilities and grounds are maintained and operational. 4a Coastal and Hydraulics Program Management. Leads research and development, management, integration, and marketing of promising areas of research in navigation and flood risk management. These efforts are used to solve problems of the customer community; encourage novel research approaches; establish strategic direction, ensure a coordinated approach to planning, programming, and budgeting for research; and forecast staffing and capital investment needs in broad research areas. K-10

117 Code 4b 4c 4d 4e 4f Definition Navigation Management. Coordinates development of and approves appropriate solution approaches to solving coastal engineering, navigation system, inland and coastal facility, hydraulic structure, field data collection and analysis problems of interest. Provides leadership, oversight and management support for the execution of research and investigations conducted in the Navigation Division. Reviews and approves technology transfer activities and products to ensure quality control. Flood and Storm Protection Management. Coordinates development of and approves solution approaches to solving hydrology, river engineering, reservoir engineering, estuarine, ocean, near shore process, and coastal observation and data analysis problems of interest. Provides leadership, oversight and management support for the execution of research and investigations conducted in the Flood and Storm Protection Division. Reviews and approves technology transfer activities and products to ensure quality control. Oversees operations at the Field Research Facility in Duck, NC. Design, Operation, and Maintenance Waterway Systems. Research and develop physical modeling capabilities to investigate advanced flow and vessel tracking system methods in the lab and the field, including development of non-intrusive or minimally intrusive velocity measuring instrumentation and more cost effective physical models. Implement complex hydrodynamic variables attained in the lab and the field to improve numerical modeling (ship / tow simulator) capabilities. Develop and implement real time vessel / current interaction capabilities for ship / tow simulator. Electronic Navigation (e-nav). Develop e-nav tools to improve the harmonized creation, collection, integration, exchange and presentation of maritime information on board and ashore by electronic means. Establish a framework that enables the transfer of data between vessels and shore facilities, and that integrates and transforms that data into decision and action information. Refine programs that allow USACE to monitor and quantify aspects of channel and port maintenance to improve waterway infrastructure reliability and availability. Enhance, develop, and implement tools to improve safety of the waterways and protection of the marine environment. Hydropower Turbine Design for Fish Passage and Avoidance. Develop scaled hydraulic physical models to evaluate existing intake structures and turbine environments for mechanisms that cause fish injury. Conduct physical model studies to develop modifications to intake structures to improve survival of fish passing through the intake structure, turbine environment and egress conditions downstream. Evaluate turbine environment for fish passage during new or rehabitation turbine design and recommend improvements to the turbine. Re-evaluate K-11

118 Code Definition recommended turbine design improvements and make additional recommendations to obtain fish friendly turbine design. Work with turbine industry through iterative design process to develop fish friendly turbine design. Design fish passage structures for bypassing fish around hydraulic structures. 4g 4h 4i Coastal Infrastructure Design and Analysis. Develop and apply a full suite of capabilities to design and analyze the characteristics of coastal infrastructure. Develop and apply risk methodologies for determining anticipated progressive structural degradation and failure. Perform physical or numerical studies to determine runup, overtopping, and stability. Develop and maintain instrumentation for measuring wave heights and directions, velocities, and pressures. Develop and maintain spectral, sinusoidal, and solitary wave generation and analysis capabilities, in both 2D flumes and 3D basins, and including both directional and unidirectional spectra. Develop and apply a full suite of capabilities to understand, analyze, and quantitatively predict the behavior of naturally-occurring waves and their propagation and transformation over irregular bathymetries and shorelines as found at harbors and entrances. Maintain, enhance, and apply the models for wave generation, propagation, and wave-structure interactions. Inland Hydraulic Infrastructure Design and Analysis. Develop and apply a full suite of capabilities to understand and model, physically or numerically, flow patterns through, around, and over inland hydraulic structures (e.g., locks, dams, hydropower plants, spillways), channels (e.g., by-pass, divergence, high-velocity), and conduits. Develop, execute, and maintain modeling capabilities to study energy dissipation and erosive forces downstream of hydraulic structures. Develop, execute, and maintain modeling capabilities for flow patterns that affect the migration of aquatic animals. Develop and maintain instrumentation to measure flow velocities, current paths, and pressures. Coastal Storm Hazard Characterization and Lifecycle Analysis of Infrastructure. Develop and apply capabilities to understand, analyze, and quantitatively predict coastal storm characteristics. Develop and apply extremal analysis tools. Conduct analyses of historical storm events and apply robust analysis routines to predict future risks and damages. Develop capabilities to generate standardized risk-based economic justification for coastal infrastructure and flood risk management projects. Develop and execute numerical models that produce consistent and defensible economic evaluations of coastal infrastructure and flood risk management projects throughout the Corps. Develop algorithms, numerical modeling tools and guidance for incorporating Monte Carlo simulation techniques and lifecycle analysis to estimate project costs and benefits while fully incorporating risk and uncertainty. Develop and maintain web-based data storage and mining routines for simplified and expedient storage and retrieval of analysis results. K-12

119 Code 4j 4k 4l 4m Definition Hydraulics and Sedimentation in Streams, Rivers and Reservoirs. Develop, enhance and utilize analytical, computational, and physical tools to evaluate the hydraulics and sedimentation in rivers, streams, and reservoirs. Interpret data and output from various tools to identify trends, forecast and/or hindcast the rate, distribution, and magnitude of changes due to alterations (e.g., failure of or change to levee or dam height, climate change, channel diversions). Bank Protection of Streams, Rivers and Reservoirs. Develop, test, and evaluate solutions for stream, river, and reservoir stabilization. This includes numerical and physical modeling, project design and construction oversight, monitoring and performance analysis. Engineering Analysis of Coastal Systems. Develop a full suite of capabilities that support engineering analyses of oceanographic, estuarine, and coastal geomorphic components of coastal systems. Develop and execute general coastal engineering studies, investigations for project planning and design, performance monitoring and evaluation, investigations for structural and nonstructural mitigation, geologic and geomorphic analyses, sediment transport analyses and sedimentation engineering, and regional coastal sediment budgets and management methodologies. Develop and execute innovative analyses and tools to quantify the positive and negative impacts of natural and human-induced changes to beach and inlet engineering projects. Execute research and develop methodologies to assess process-based numerical model results and observational data and techniques. Develop and execute coastal databases, desktop calculation tools, decision support tools and software, and numerical models that span spatial and temporal scales from meters to kilometers and minutes to centuries. Coastal Regional Systems Analysis and Optimization. Develop a full suite of capabilities to analyze and optimize regional and national coastal and navigation systems. Develop and execute systematic analysis of remotely sensed, regional coastal geomorphic datasets. Develop and execute algorithms for systems optimization, regional and national relational databases, and strategies for the operation and maintenance of coastal projects, navigation channels, coastal structures, inland locks and dams, restored aquatic habitats, and other water resources infrastructure assets. Develop and execute operational research and analysis methods, lifecycle analyses, decision support tools, and systems-based optimization approaches to quantify the national economic justification of coastal and navigation projects. K-13

120 Code 4n 4o 4p 4q Definition Dredging Engineering. Develop a full suite of capabilities that support engineering analyses of the management of sediment through dredging and placement operations. Develop and execute dredging engineering studies, investigations for dredging and placement project planning, dredge and placement techniques and methodologies, and operational assessment and field implementation of equipment technology for inland, estuarine, coastal, and ocean projects. Execute research and develop experimental operational dredging techniques, including remote dredging equipment, and innovative design and construction techniques for placement projects (e.g., confined disposal facilities, beach and nearshore placement projects, coastal structures, etc.). Develop and execute data analysis tools, databases, decision support tools, and numerical models in support of the management of sediments with dredging technology. Hydrologic Systems Prediction and Analysis. Develop and utilize a full suite of capabilities to measure hydrometeorology and surface water hydrologic features. Develop, test, validate, and apply numerical models of hydrometeorology and surface water hydrology, including overland flooding, dam breach flooding, drought, soil moisture, snowpack accretion and melt, storm and tile drain networks, permafrost and soil temperature, and interactions with shallow groundwater. Develop and execute capability to hindcast, nowcast and forecast flooding on the scale of local and regional watersheds along with integrated coastal areas. Develop and apply numerical models for local and regional flood, soil moisture, dam breach, drought, and low impact development modeling. Integrate hydrologic models with environmental and ecological models. Integrate inland flooding models with coastal flooding models. Develop and utilize capabilities to scale climate-related information from global to regional and local scales for use in hydrologic models. Develop, test, validate, and apply techniques and numerical models for sediment and constituent transport in watershed contexts. Groundwater Systems Prediction and Analysis. Investigate, develop and apply conceptual geologic models in order to create numerical models and computational systems that simulate subsurface water flux. Develop, test, validate, and utilize a full suite of capabilities to numerically model saturated and unsaturated groundwater conditions. Develop and execute capability to predict solute transport, including conate water transport, over regional and local areas of concern. Integrate saturated and unsaturated groundwater modeling with sensor data and other environmental models. Computational Fluid Dynamics. Research, develop, test, and field advanced computational fluid dynamics and sediment transport models for use in integrated systems models. Develop methods to integrate system-level processes into a unified modeling approach. K-14

121 Code 4r 4s 4t 4u Definition Current and Water Level Prediction and Analysis. Develop a full suite of capabilities to numerically model tidal circulation, wind and wave driven currents, and storm surge propagation. Develop and execute capability to predict tidal circulation, wind driven currents and storm generated surge over large computational domains to support studies and to populate national and regional databases of current, tide, storm climatology, and water level information. Develop and apply numerical models and computational systems that link hydrodynamic circulation models, wind wave models, sediment transport models, and morphology change models to provide an integrated computational environment for the quantification of complex environmental forcings required for the design, operation, maintenance, and analysis of navigation, storm protection, sediment management, and environmental quality systems including reduced dredging, dredge material management and regional sediment management. Wind Wave Prediction and Analysis. Develop a full suite of capabilities to measure wind waves and numerically model wind wave generation, propagation, and transformation. Develop and execute capability to hindcast, nowcast and forecast wind waves on the scale of both ocean basins and regions and populate a national database of wave hindcast estimates for offshore boundary conditions and climatology for coastal projects. Develop and apply numerical models for wave transformation over complex bathymetry, including the processes of wave-current interaction, local wave growth from winds, and breaking for project design and maintenance.. Sediment Transport Prediction and Analysis. Develop a full suite of capabilities to understand and numerically model the transport and fate of sediments. Develop and execute capability to predict the short- and long-term fate of dredge material disposal; simulate sediment movement in a flow field and sediment transport pathways; simulate navigation channel infilling and sediment exchanges between inlets and adjacent beaches; and predict bulk rates of sediment transport along the open coast and near coastal structures. Develop, maintain, and exercise one-of-akind state-of-the-art, laboratory facilities to investigate sediment transport processes in the surf and swash zones and to estimate erosion rates of fine- and mixed-grained sediments. Develop, maintain, and exercise an array of erosion measurement and sediment characterization devices, instruments and sensor systems. Lifecycle Analysis and Decision Support for Beach Systems. Develop capabilities to generate standardized risk-based economic justification for coastal beach systems and flood risk management projects. Develop and execute numerical models that produce consistent and defensible economic evaluations of coastal beach systems and flood risk management projects throughout the Corps. Develop algorithms, numerical modeling K-15

122 tools and guidance for incorporating Monte Carlo simulation techniques and lifecycle analysis to rigorously integrate predictive morphology evolution and event response capabilities with protected area information (structure inventory, damage functions, and economic valuations) to estimate project costs and benefits while fully incorporating risk and uncertainty. Develop analysis methods, procedures, and tools to quantify the economic justification of projects with risk and uncertainty and to provide a basis for recommendations and decisions concerning overall project performance, resource requirements and appropriate emergency response actions. 4v 4w 4x Data Collection, Analysis, and Instrumentation Systems. Develop instrumentation to measure in situ sediment concentration, sediment grain size and sediment fall velocities; to evaluate erosion rates of sediment cores; to collect point-cloud survey data using remotely operated platforms; to remotely collect, analyze, and transmit near real-time wave, water level, currents, and water quality data. Execute data collection campaigns including hydrographic and hydrodynamic surveying; static and moving LIDAR surveying; and photogrammetric surveying. Install, maintain and remove near-real-time and self-contained instrumentation packages. Perform collection of water samples, sediment grab samples, and sediment core samples for analysis in support of water resource projects. Execute sediment related laboratory experiments to gain insight into physical sediment properties. Analyze remotely sensed survey data, in situ gage data, water and sediment samples, and other related data. Coastal Observation and Analysis. Collect, analyze, and distribute long-term climatological records of coastal processes data at the Field Research Facility using a variety of in situ instruments. Deploy and maintain data collection instrumentation, manage data acquisition hardware and software and manage data analysis and distribution through the development and implementation of robust data management plans. Deploy and maintain instrumentation for collection of data for waves, currents, winds, meteorology, water level, CTD, air temperature and water visibility. Execute work in coastal and estuarine morphology change observation and analysis. Develop new bathymetric and topographic survey methods Analyze topographic and bathymetric change data in response to variable processes input data to provide critical input to hydrodynamic and morphologic numerical model development, verification, and validation. Estuarine Systems Prediction and Analysis. Develops a full suite of capabilities to numerically model hydrodynamics and transport in support of navigation, flood control and environmental project design and maintenance for the complex bathymetric, topologic, and process regime of estuarine environments. Develops and applies threedimensional models to simulate baroclinic flow in stratified systems and capabilities to understand and numerically model the transport and fate of sediments and resulting morphology change in estuaries. Analyzes estuarine process data and develops algorithms that encapsulate processes and incorporate them into stand alone tools or numerical model codes. K-16

123 Code 5 5a 5b 5c 5d 5e Definition Geotechnical and Structures Management (Full or Special Assistant). Involves serving as the full assistant; sharing in the planning, directing, and coordinating the geotechnical and structural research and development work for DOD, DA, USACE, ERDC, other Federal agencies, etc.; or serving as a special assistant planning, directing, and managing a broad range of professional, technical, and/or administrative activities. Technical Director, Force Projection and Maneuver Support. Is senior advisor to the Director, GSL, on force projection and maneuver support engineering issues affecting the research program. Provides advice and counsel on technical and support functions performed by the GSL and the ERDC. Ensures integration of force projection and maneuver support engineering research and development activities across all functional programs, maximizing the GSL s ability to execute an effective quality research and development program. Technical Director, Civil Works and Infrastructure. Serves as the senior advisor to the Director, GSL, on civil works and infrastructure issues affecting the research program. Provides advice and counsel on technical and support functions performed by the GSL and the ERDC. Integrates civil works and infrastructure research and development activities across all functional programs, maximizing the GSL s ability to execute an effective quality research and development program. Technical Director, Force Protection and Weapons Effects. Serves as the senior advisor to the Director, GSL, on force protection and weapons effects issues affecting the research program. Provides advice and counsel on technical and support functions performed by the GSL and the ERDC. Is responsible for ensuring integration of force protection and weasons effects research and development activities across all functional programs, maximizing the GSL s ability to execute an effective quality research and development program. Geotechnical/Structural Technical Information Analysis. Involves identifying, gathering, condensing, abstracting, synthesizing, processing, and transmitting engineering and scientific technological information technology transfers and other specialized information to provide to internal/external users. Geosciences and Structures Management. Directs research and provides technical support in embankments and foundations; geotechnical aspects of flood control structures; hydrogeology and groundwater modeling; underground cavity, tunnel, and mine detection; erosion control; geological mapping; seismology and earthquake engineering; soil and rock mechanics; soil testing; dam safety and reliability; soilstructure interaction; structural mechanics; structural engineering; structural dynamics; survivability and protective structures engineering; field fortifications related to combat engineering; computational mechanics; camouflage, concealment and deception; and forensic engineering. K-17

124 Code 5f Definition Geosciences and Structures Research. Functions as principal investigator/program manager conducting and coordinating research in embankments and foundations; geotechnical aspects of flood control structures; hydrogeology and groundwater modeling; underground cavity, tunnel, and mine detection; erosion control; geological mapping; seismology and earthquake engineering; soil and rock mechanics; soil testing; dam safety and reliability; soil-structure interaction; structural mechanics; structural engineering; structural dynamics; survivability and protective structures engineering; field fortifications related to combat engineering; computational mechanics; camouflage, concealment and deception; and/or forensic engineering. 5i. Structural Mechanics. Conducts basic and applied research, product/system development, technology transfer, and technical support in the fields of structural mechanics, structural engineering, structural dynamics, survivability and protective structures engineering, computational mechanics, earthquake engineering, and forensic engineering. Develops procedures for design and analysis of structures to resist static and dynamic loading and to determine effects produced by the detonation of explosives, conventional and nuclear weapons, impacts, earthquakes, hydraulic fluid, and other sources. 5j 5k Structural Engineering. Conducts basic and applied research, product/system development, technology transfer, and technical support in the fields of structural mechanics, structural engineering, structural dynamics, survivability and protective structures engineering, computational mechanics, bridge engineering, and forensic engineering. Develops procedures for design and analysis of structures to resist static and dynamic loading and to determine effects produced by the detonation of explosives, conventional and nuclear weapons, impacts, earthquakes, hydraulic fluid, and other sources. Survivability Engineering. Conducts basic and applied research, product/system development, technology transfer, and technical support in the fields of structural mechanics, structural engineering, structural dynamics, survivability and protective structures engineering, combat engineering (field fortifications), computational mechanics, earthquake engineering, and forensic engineering. Develops procedures for design and analysis of structures to resist static and dynamic loading and to determine effects produced by the detonation of explosives, conventional and nuclear weapons, impacts, earthquakes, hydraulic fluid, and other sources. Responsible for development and application of techniques and materials for camouflage, concealment, and deception (CCD) to survivability/vulnerability assessments of fixed and medium-/long-dwell facilities. K-18

125 Code 5l 5m 5n 5o 5p 5q Definition Engineering Systems & Materials Management (Chief, Full, Special Assistant). Directs research and development programs in concrete and materials for various structural applications; weapon effects of explosions and penetrators on structures and other systems; airfields and pavements engineering; and high-resolution mobility predictions and assessments. Engineering Systems & Materials Research. Plans, manages, conducts, and coordinates research in concrete and materials for various structural applications; weapon effects of explosions and penetrators on structures and other systems; airfields and pavement engineering; and/or high resolution mobility predictions and assessments. Tele-Engineering Research. Conducts research and development and technology transfer in the development, modification, and integration of engineering analysis models to allow rapid, accurate engineering analysis of challenges that are beyond the in-theater capabilities of military personnel. An integral part of the research is engineer reconnaissance techniques, procedures, and devices to ensure field personnel have the ability to collect requisite engineering data that will allow accurate subject matter expert analysis. Develops, modifies, and evaluates portable, non-destructive test devices for use during engineering reconnaissance missions. Concrete and Materials. Conducts research and development in construction materials, including hydraulic cements, pozzolans, aggregates, conventional and highperformance concretes, composite materials including polymers, grouts, admixtures, epoxies, plastics, rubbers, reinforcing steel, curing materials, rip-rap, armor and derrick stone, and adhesives. Impact and Explosion Effects. Conducts research involving the development of numerical models for predicting the airblast, fragmentation, cratering and ejecta, ground shock, and water shock environments produced by weapon detonations and the explosive-induced loads transmitted to structures by these detonations; develops mathematical models for and acquires high-rate responses of geologic and cementitious materials for use in calculating high-velocity projectile penetration and explosive-induced responses; and develops methods and concepts to defeat advanced penetrators. Airfields and Pavements. Conducts research and development studies to develop new and improved methods for the design, construction, evaluation, rehabilitation, and maintenance of structural systems for pavements and other transportation facilities. Develops models for improved performance predictions, identification of deterioration rates and of failure modes and mechanisms, and establishing performance criteria for transportation systems. K-19

126 Code 5r 5s Definition Mobility Systems. Conducts research and development to provide reliable high resolution mobility predictions, assessments, and representations to battlefield commanders in command and control systems; combat developers in models and simulations; materiel developers in evaluations of vehicle designs and development of performance requirements for both real and synthetic environments; and tactical trainers through realistic mobility representations in virtual training environments. Geotechnical Engineering and Geosciences Research. Provides expertise in geotechnical and geological engineering; seismology; earthquakes; tunneling; engineering geology; geophysics; soil and rock mechanics; material and system testing; in situ testing; physical modeling; site characterization for engineering analyses; dam safety and reliability; soil-structure interaction; construction and design of ground improvement; constitutive and numerical modeling; centrifuge modeling; and geotechnical forensic studies. The research, technical support, and quality assurance for military and civil customers are in the areas of water resources infrastructure assessment (embankment dams, levees and floodwalls); construction, maintenance, risk and reliability including new materials for rehabilitation and retrofit technologies. Also provides technology development and sustainment for geomaterials and laboratory and field testing to support and enhance fundamental research in associated focus areas, including infrastructure assessment, maintenance, and remediation. 7 Information Technology Management (Chief, Full or Special Assistant). Involves planning, directing, supervising, integrating, and managing all information resource management (IRM) and information technology (IT) functional requirements for ERDC; or serving as the full assistant sharing in the planning, directing, and coordinating of the total functional requirements for ERDC; or serving as the full deputy or a special assistant planning, directing, and managing a broad range of professional, technical, administrative, and IRM activities for ITL. 7a Information Technology Program Direction and Integration. Involves planning, formulating, developing, managing, integrating, marketing, and reviewing execution of USACE, Army, and/or DOD-level multidisciplinary, multilaboratory R&D programs in the area of information science, interoperability, and assurance and in the area of computational science and engineering, to include computer-aided interdisciplinary engineering, computer-aided design and drafting (CADD), geographic information systems (GIS), computer science, high performance computing, general-purpose computing, and sensors and instrumentation systems. K-20

127 Code 7b 7c 7d 7m Definition Supercomputing Research Center (Chief, Full or Special Assistant). Involves the planning, design, development, operation, and maintenance of HPC systems, networks, interfaces, applications, and support infrastructure; state-of-the-art computing methodologies to address USACE, Army, DOD and other agency largest scale computational challenges; leading initiatives to leverage government academic, and private sector resources to advance HPC capabilities; DOD-specific applications of HPC technology in areas such as communication, mass storage, computation and scientific visualization; and integration of engineering workstations and HPC systems. DOD High Performance Computing Modernization Program. Involves planning, formulating, developing, managing, integrating, marketing, and reviewing execution of hardware, software, and technology expertise development and deployment efforts that support the DOD's use of HPC in the solution of its most pressing challenges. Efforts cover all aspects of a complete computing environment, including leading edge supercomputing hardware and related computational technologies; state of the practice and leading edge support and system software technologies for effective use and management of supercomputing systems in support of DOD work; and the development of a computationally-literate workforce. Office of the Chief Information Officer (OCIO). Involves planning, formulating, developing, managing, integrating, marketing, and reviewing execution of computational infrastructure that supports R&D, operations, and business activities. The OCIO ensures that mission-critical information is visible, accessible, and understandable; leads specific ERDC-wide activities including cloud computing, communications, IT infrastructure, and information assurance, ensuring that these capabilities are architected, engineered, and delivered in a manner that optimizes the ERDC s mission capabilities; leads ERDC s network cybersecurity/ information assurance efforts and manages enterprise information sharing risks, while at the same time protecting our information assets; oversees overall operation and defense of the ERDC computational and information environments. Computational Science and Engineering (Chief, Full or Special Assistant). Involves the planning, managing, execution, coordination, and application of R&D in computer- aided interdisciplinary engineering, scientific and engineering (S&E) software development and interoperability; and numerical analysis to support ERDC R&D programs and related reimbursable projects. Collaborates with researchers in the DOD High Performance Computing Center and the other ERDC laboratories to advance the state of practice in numerical modeling and assessment applied to civil engineering and environmental quality challenges. K-21

128 Code 7n 7o 7p 7q 7r Definition Sensor Integration. Involves the research and application of sensor technology, advanced nano-scale and macro-scale transduction, and communication methods to observe, measure, and document the physical world, and as components of servofeedback systems to automatically control the physical world. Works to transition these methods to address problems for the Corps, Army, and Nation. Scientific Software. Involves the investigation of a wide range of high-end data systems solutions in response to technical requirements. Researches and develops capabilities that address data display, data analysis, data visualization, data archiving and mass storage. Furthermore, provides support for algorithm development, science data analysis programming, data mining, data retrieval, fusion and dissemination, scientific mission proposal development and support for large and small scale software system configuration, sizing, and development methodologies utilizing recognized techniques and scientific data format standards. Computational Analysis. Involves the research and application of advanced computational methods to model physical, biological, and sociological systems. Works to make these advanced computational systems more practical, meaningful, useful, and available to address problems for the Corps, Army, and Nation. Interacts with High Performance Computing Centers to achieve optimum synergy between computational machine architecture and operating systems and computational techniques. Software Engineering and Informatics (Chief, Full, or Special Assistant). Involves the investigation and application of best practices in software engineering and informatics in the research and development of new uses for information technology to solve multidisciplinary problems in military engineering, civil and environmental engineering, basic sciences, and geospatial and business applications. Provides expertise concerning the integration of systems for USACE and its customer s, performs prototyping in collaboration with other USACE and government organizations, universities, and commercial partners and develops test beds to prove concepts in an operational environment. Also involves the ability to analyze, design, test, develop, and integrate unique software, hardware, commercial-off-the-shelf software (COTS), and data systems solutions to meet customers requirements. CAD/BIM Technology. Involves planning, design, development and production of applications, data and application standards, enabling effective and efficient use of Computer-Aided Design/Building Information Modeling (CAD/BIM) technology to address facility, infrastructure and environmental challenges of USACE, Army, DOD and affiliated federal, state and regional activities and agencies; planning, design, configuration, acquisition, operation and management of CAD/BIM systems; research, development, acquisition and technology transfer on a wide range of geospatial, CAD, BIM, Computer Aided Facilities Management (CAFM) and related technologies. K-22

129 Code 7s 7t 8 8a 8b Definition Software Engineering and Evaluation. Involves the investigation into software engineering methodologies; conducts research, development, and studies of information systems and applications; and develops, tests, operates, and maintains automated information systems (AISs) for ERDC, USACE, and other Federal agencies. Plans and develops systems to provide for interoperability and reuse and to conform with applicable information assurance requirements and provides technical assistance to internal and external customers in these areas. Library Science and Knowledge Management. Involves the services and support to ERDC projects through categorization, archiving, management, optimization and retrieval of information and knowledge to include library, editing, and information systems science services. Public Works Management (Chief, Full or Special Assistant). Involves planning, directing, supervising, and managing all Public Works functional requirements; or serves as a full assistant sharing in the planning, directing, etc., of the total functional requirements; or serves as a special assistant planning, directing, and managing a broad range of professional, technical, and/or administrative activities. Facilities Engineering. Involves preparing architectural, structural, electrical, and mechanical drawings, designs, technical specifications related to environmental control; procurement of equipment, facilities services and all construction; engineering inspections, construction engineering estimates, all value engineering. Safety and Environment. Involves industrial hygiene, accident prevention, occupational health, hazardous waste disposal, radiation protection, etc., services. 9 Motor Vehicle Operator (MVO). Requires regular and recurring operations of various motor vehicles of significant weight, size, and travel route that employees must obtain and maintain a commercial drivers license. 10 Explosive Handling/Blasting. Performance of one or both of the following: (a) Handle, shape, mold, place, arm, and fire explosive charges. Must be a qualified blaster. (b) Serve as an explosive Storage Officer by directing the allocation of explosives to storage magazines; coordinate procurement, and withdrawal of explosives; review and update safety procedures and regulations on explosive storage, handling, and firing (in coordination with ERDC Safety Office); ensure that explosives storage facilities and procedures are of high quality in terms of safety, effectiveness, and efficiency. K-23

130 Code Definition 11 Diving. Requires regular and recurring diving in order to accomplish various under water tasks, jobs, projects, etc. This will require employee to obtain and maintain a current diver s certification. Diving is performed for various reasons retrieve personnel and equipment; install, place, adjust, observe instruments, gages, personnel, equipment, test; take sediment, plant, etc., samples, etc. 12 Computer-Aided Drafting (CAD). Requires regular and recurring operation, manipulation of CAD software programs for numerous engineering/scientific design projects, visual demonstrations; data analysis; application to hydraulic/coastal/environmental/structural/ geomechanical studies, etc. 13 Supervision. Performs full range of supervisory duties over a small workforce for less than 25% of time. 14a 14c 14d 14e Technical Program Development. Locates and explores the most promising areas of research in Construction Engineering Research Laboratory (CERL) mission areas considering the state of the science and engineering involved relative to DOD, Army, and Corps of Engineers USACE programs and needs. Plans, proposes, and pursues major multi-disciplinary research programs directed at solving substantial installation facilities infrastructure and environmental problems confronting the DOD. Technical Research Execution. Involves the execution of CERL s research and development projects and the recruitment, development, and supervision of CERL s technical research staff. Energy Technologies, Processes, and Tools. Conducts research and develops management tools, improved processes, and advanced technologies to reduce energy usage and environmental impact. Technologies include advanced HVAC systems and controls, fuel cells and other distributed generation technologies, low emission boilers, intelligent buildings, heat plant modernization, desiccant cooling, building commissioning and recommissioning processes, installation/operations modeling and analysis tools. Materials Science and Structural Engineering. Conducts research and develops technologies for improved facility engineering, maintenance, and repair. Metallic and non-metallic materials sciences including smart materials and systems, protective coatings and other corrosion prevention and mitigation technologies, metallurgy and welding, polymer-based composites, structural and seismic technologies and other advanced infrastructure systems to improve design, construction, maintenance, and repair of military and civil works facilities. K-24

131 Code 14f 14g 14h 14i 14j 14k Definition Engineering Processes and Tools. Conducts research and develops processes and tools for life-cycle management of engineering processes, including design, construction, operations, maintenance, and disposal. Technologies include computer-aided design, software tools for distributed collaborative engineering and simulation, and web-based technologies. Domains include project management, facility design, construction planning and management, facilities management, and environmental information management. Maintenance Management Processes and Tools. Conducts research and develops processes and tools for maintenance management of facilities and installations. Technologies and domains include Engineered Management Systems (EMS), Operations and Maintenance (O&M) support for civil infrastructure, O&M Task prioritization and performance-based optimization of O&M budgets. Business Processes. Conducts research to provide a systematic approach/process for facilitating and managing the changes associated with DOD downsizing and other organizational stressors. Provides decision support tools to optimize privatization and other competitive sourcing decisions, including Commercial Activities (CA), for all BASOPS functions. Supports the Army Base Realignment and Closure Office (BRAC) with Economic Development Conveyance (EDC) reviews. Provides innovative solutions for Army knowledge management. Environmental Processes. Conducts research and develops solutions pertaining to Army installation water supply, treatment, storage, and distribution systems, to their wastewater collection, treatment, reuse, and disposal systems, air pollution abatement systems, solid and hazardous waste management systems, and to all aspects of pollution prevention and control. Provides a wide range of environmental auditing tools to permit installations to proactively and economically comply with environmental regulations without compromising mission accomplishments. Land and Heritage Conservation. Conducts research and develops solutions relating to land rehabilitation and maintenance; human influences on ecosystem processes; spatial data management; vegetation mapping; interaction of historic and prehistoric populations with landscapes; and factors influencing landscape use and long term stability. Ecological Processes. Conducts research and develops highly integrated, multidiscipline tools, procedures and methodologies in the areas of: characterization of biotic and abiotic ecosystem components and processes; ecological carrying capacity; data acquisition technologies; Geographic Information System and remote sensing applications; ecosystem impact analysis; ecosystem and landscape modeling and analysis; and threatened and endangered species and biodiversity conservation. Provides fundamental knowledge pertaining to the effects of military-unique noise on wildlife and predictive tools for noise assessment, management, and reduction. K-25

132 Code Definition 15 Deputy Director. Assists the CRREL Director in matters including planning, directing, and executing the mission and activities of the Laboratory and assumes the Director s authority and duties in his/her absence. Responsible to the Director for the effectiveness and efficiency of laboratory business processes and manages the planning and execution of the laboratory operating budget. Serves as the Laboratory s representative to the ERDC Board of Deputy Directors and ERDC Master Planning Work Group. Efforts are conducted in coordination with the Office of Technical Directors, Research and Engineering Division Chief, and the Strategic Workforce Planner. 15a 15b 15c 15d Technical Program Development. Serves as principal advisor to the Laboratory Director and ERDC Deputy Director on strategic engagement in ERDC business areas. Forecasts related strategic, technological, human, and capital investment needs. Develops aligned and/or leveraged ERDC business area efforts relating to Corps, Army, and DOD requirements and other strategic needs. Facilitates laboratory program development, encourages novel and innovative research approaches, and executes a coordinated approach to planning, programming and budgeting for research. Efforts are conducted in coordination with the Laboratory Director, Deputy Director, Research and Engineering Division Chief, and the Strategic Workforce Planner. Technical Plans and Programs. Involves the development, documentation, management, and coordination of CRREL technical programs and coordination of CRREL technical programs and projects. RS/GIS Center of Expertise. The Remote Sensing/GIS Center is the Corps center of expertise for Civil Works remote sensing and GIS technologies. The Center provides technical leadership and support to Districts, Divisions, ERDC, and HQUSACE in geospatial technologies in support of Corps mission responsibilities in all business practice areas: navigation, flood and coastal storm damage reduction, hydropower, regulatory, environment, emergency management, recreation, water supply, and work for others. Support includes PROSPECT training, technology transfer, R&D program management, applications development, Internet, telephone, and on-site assistance. Research and Engineering Division. Assists the CRREL Director in matters including planning and monitoring the Laboratory s research execution, technology development, and engineering efforts associated with CRREL s role in the ERDC business areas and consistent with strategic values. Identifies R&D opportunities and collaborates with the Office of Technical Directors across ERDC. Responsible to the Director for effective execution of the RDT&E mission of the Laboratory. Efforts are conducted in coordination with the Office of the Technical Directors, the Deputy Director, and the Strategic Workforce Planner. K-26

133 Code 15e 15f 15g 15j Definition Terrestrial and Cryospheric Sciences Branch. Conducts research on the physics, geophysics, and geochemistry of terrain-atmosphere interaction and the dynamics of terrestrial material properties forced by weather and climate. Physics-based research examines the details of the interactions among constituents of the terrain and processes in the lower atmosphere. Geophysical research consists of understanding and modeling the state variables describing terrain, including urban features as well as vegetation, soil, snow and ice covers as well as urban features. Interdisciplinary investigations integrate research topic areas such as hydrology, meteorology, oceanography, geomorphology, fluid dynamics, and glacial and surficial geology. Novel approaches to remotely sense Earth surface properties provides a complementary area of study. Military efforts produce information and products used in mission planning and tactical decision aids, which incorporate the effects of the changing Earth surface on the activities and operations of our armed forces. Signature Physics Branch. Conducts research to increase knowledge on understanding the dynamic changes to electromagnetic, acoustic, and seismic signatures in response to changing terrain state and complex terrain features and geometry. Research efforts focus on two primary sub-areas: seismic/acoustic and electromagnetic propagation/interactions in terrestrial environments. The understanding gained serves to improve our ability to predict signature behavior for materiel development, algorithm S&T, sensor performance products for tactical decision-making, and visualization for mission rehearsal and area of interest preview. Force Projection and Sustainment Branch. Conducts research on the concepts and principles of extended transportation and force projection over complex and remote terrain, sustainment of operations, and sustainability of facilities in extreme environments. This includes understanding the properties and behavior of materials and systems under cold regions conditions including pavements, utilities, and foundations. Emphasis is placed on understanding and mitigating the impacts of extreme environmental conditions on maneuver support materiel, tactics, techniques, and procedures impacting force projection, mobility, logistics for remote sites, and cold regions facilities planning, construction, and maintenance. Biogeochemical Sciences Branch. The Biogeochemical Sciences Branch conducts basic and applied research into the biochemical interactions of natural substances, military and industrial compounds, and emerging contaminants with earth materials such as rocks, minerals, soils, sediment, and dust, and engineered geomimetic analogs such as composites and nanomaterials. The goal is to increase our knowledge of biochemically-mediated processes in earth and engineered materials, understand how they synthesize, alter, or degrade natural components and contaminants, and use the understanding to restore the environment, achieve sustainable ranges, enhance battlespace awareness, protect personnel and assets, and advance human engineering. K-27

134 Code 15k 15m 16a 16d Definition Remote Sensing/GIS and Water Resources Branch. Integrates existing and emerging technologies in image processing, computer software, and geospatial technologies to support the Corps and Army mission responsibilities. Builds software that integrates remote sensing and spatial data management technologies for use in state-of-the-art water, environmental resource models. Evaluates and tests in situ, airborne, and satellite sensors, computer software, and systems integration technologies for field projects. Provides Remote Sensing/GIS support for emergency management and training for field personnel. Evaluates geospatial environmental engineering and natural resources data base requirements for the Corps, Army, and Nation and conducts research at various eco-scales to assess interactions of projects on terrain and aquatic systems. Conducts research and develops solutions for the effects of ice on design, operation, and maintenance of Civil Works and Military projects and facilities. Engineering Resources Branch. Advises the Deputy Director on strategic facilities management investment, to include planning facilities, laboratories, and instrumentation necessary to accomplish future missions. Provides specialized experimental technical services to the Laboratory s research programs and other customers. Designs, develops, and tests specialized and experimental instrumentation, measurement equipment, and techniques in support of R&D program. Solves unique, innovative, or unusual measurement and engineering challenges. Provides support to unique research facilities and instrumentation. Geospatial Research Laboratory. Assists the Director in the management of GRL activities and assumes his authority and duties in his absence. Career Program Manager for GRL Engineers and Scientists in CP-16 and CP-18. Office of the Technical Directors. Supports the Director and Deputy Director in planning, formulating, integrating and reviewing GRL s military, civil, and reimbursable programs. Coordinates program guidance with higher headquarters and user agencies. Develops near, mid- and long-range research and development (R&D), operational and reimbursable program plans in conjunction with the Army Technology Base Master Plan, Scientific and Technical Objectives (STOs) and TRADOC developed materiel plans. Incorporates advanced R&D and operational thrusts into long range and strategic plans. Provides administrative and technical support for management of the Small Business Innovative Research (SBIR) and Independent Laboratory In-house Research (ILIR) programs. Interfaces with government agencies, academia and private industry for technology transfer through the Office of Research and Technology Applications (ORTA). K-28

135 Code 16e Definition Management Support Group. Provides administrative interface with ERDC support staff, HECSA, and other external offices and organizations, including tenant organizations, in the areas of security, facility management, resource management, public affairs, information management, contracting, human resources, safety, logistics, and counsel. Developer and manager of internal GRL policy and practices. Responsible for centralized property and supply management. Assists Director in execution of GRL's Labor-Management Relations program. Manages GRL conference and meeting facilities. Responds for GRL to external administrative data calls Topography, Imagery and Geospatial (TIG) Research Division. Conducts research of techniques, equipment, and systems for the storage, retrieval, dissemination and automated analysis of remote sensing data relating to civil and military mission areas. Performs research in remote sensing and image processing technologies related to the extraction of topographic information from radar, IFSAR, LIDAR, electro-optical, infrared and emerging imagery sources. Performs research involving spectral measurements and spectral analysis and exploitation. Performs research related to the automation of terrain generation for map products to include feature extraction and data attribution. Performs research on the fusion of data from multiple sources to enhance digital topographic generation capabilities. Performs research on characteristics influencing climatic and meteorological conditions. Performs field and laboratory research to determine relationships between earth surface components, target background characteristics, and their imaged patterns or spectral reflectance/luminescence/emittance values as recorded by airborne or satellite remote sensing systems. Performs research in utilizing remotely sensed data to solve environmental problems. Develops, demonstrates, and implements the latest techniques for integration and exploitation of digital topographic data bases, aerial and satellite imagery, 3D solids models and network-based geospatial information. Conducts research and development in the areas of terrain reasoning and geospatial data exploitation, management and dissemination to provide the war fighter with improved intelligence, command and control (C2) and targeting. Develops computer generated images and future map representations. Performs research on terrain evaluation and terrain reasoning capabilities to provide the war fighter with improved situation awareness. Conducts research to develop new techniques, equipment and procedures for surveying and mapping in support of USACE Civil Works, Environmental Restoration and Military Construction applications; and transfers new technology to USACE districts and divisions through reimbursable consulting, training, and standards development. 16.1a Data and Signature Analysis Branch. Conducts research in remote sensing as well as field and laboratory research to determine relations between earth surface components, target/background characteristics, and their imaged patterns or spectral reflectance/luminescence/emittance values as recorded by airborne or satellite remote sensing systems. K-29

136 Code Definition 16.1b Information Generation and Management Branch. Conducts research of techniques, equipment, and systems for creating and maintaining spatial data bases from remotely sensed imagery and existing terrain data products. Develops techniques and methodologies for storing, retrieving, manipulating, and disseminating these data for use in a broad range of military and civil applications. Conducts research in the areas of geospatial information exploitation, management and dissemination to provide the war fighter with improved intelligence, command and control (C2) and targeting. Monitors and evaluates government and industry developments in the areas of spatial data bases generation technologies and geographic information processing. 16.1c Data Representation Branch. Conducts research to provide the Army/DOD with advanced techniques for merging, visualizing, and analyzing battlefield terrain and environment information. Applies results of research to battlefield operations, military crisis support, and infrastructure problems. Develops, demonstrates, and implements the latest techniques for integration and exploitation of digital topographic data bases, aerial and satellite imagery, 3-D solids models and networkbased geospatial information to produce computer generated images and future map representations. Recommends/implements new capabilities and techniques for rendering and displaying terrain and environment information. Develops terrain evaluation and terrain reasoning capabilities to provide the war fighter with improved situation awareness. 16.1d Geospatial Applications Branch. Serves as the USACE Survey Engineering and Mapping Center of Expertise to provide consistency of surveying and mapping products and to maintain the capability to manage complex, nation-wide survey systems, such as differential Global Positioning System networks, electronic chart databases of USACE river and harbor projects, and structural deformation/monitoring systems. Conducts research to develop new techniques, equipment and procedures for surveying and mapping in support of USACE Civil Works, Environmental Restoration and Military Construction applications; and transfers new technology to USACE districts and divisions through reimbursable consulting, training, and standards development. Identifies, develops, analyzes, reviews, and evaluates applications and technologies which manipulate and process varying levels of geospatial and imagery information. Provides technical leadership and support to HQ USACE in the definition and establishment of CADD/GIS standards, plans, policies, and procedures. K-30

137 APPENDIX L SPECIALTY CODES AND DEFINITIONS FOR CLERICAL POSITIONS Code A B C D Specialty Typing Stenography Office Automation Stenography and Office Automation Code A B C D Definition Typing. Requires regular and recurring typing work from written material and/or voice recording (dictating machine). Typing is done using a manual or electric typewriter. Level of typing proficiency is that required for competitive appointment to a typist position. Stenography. Requires regular and recurring performance of stenography/shorthand work as dictated by individuals in the work group. Implied in stenography positions is the skill requirement for a qualified typist to transcribe the material into final form. Level of stenographic proficiency is that required for competitive appointment to a stenographer position. Office Automation. Requires regular and recurring performance of office automation work which includes word processing performed in the context of general office clerical support. Position requires: (1) knowledge of general office automation software, practices, and procedures; (2) competitive level proficiency in typing; and (3) ability to apply these knowledges and skills in the performance of general office support work. Stenography and Office Automation. This represents a combination of specialty codes B and C. L-1

138 APPENDIX M FUNCTIONAL CLASSIFICATION CODES, CATEGORIES, AND CATEGORY DEFINITIONS FOR ENGINEERS AND SCIENTISTS POSITIONS Code Category 11 Research 13 Development 14 Test and Evaluation 21 Design 22 Construction 24 Installation, Operations, and Maintenance 31 Data Collection, Processing, and Analysis 32 Scientific and Technical Information 81 Clinical Practice, Counseling, and Ancillary Medical Services 91 Planning 92 Management 94 Technical Assistance and Consulting 99 Other - Not Elsewhere Classified Code Definition 11 Research. Systematic, critical, intensive investigation directed toward the development of new or fuller scientific knowledge of the subject studied. It may be with or without reference to a specific application. The work involves theoretical, taxonomic, and experimental investigations or simulation of experiments and conditions to: a. Determine the nature, magnitude, and interrelationships of natural and social phenomena and processes. b. Create or develop theoretical or experimental means of investigating such phenomena or processes. c. Develop the principles, criteria, methods, and a body of data of general applicability for use by others. Excluded from this category is work concerned primarily with the administration and monitoring of research contracts and research grants. M-1

139 Code Definition 13 Development. Systematic application of scientific knowledge directed toward the creation of new or substantially improved equipment, materials, instrumentation, devices, systems, mathematical models, processes, techniques, and procedures which will perform a useful function or be suitable for a particular duty. The work involves such activities as: a. Establishing requirements for technical objectives and characteristics. b. Devising and evaluating concepts for design approaches: criteria, parameters, characteristics, and interrelationships. c. Experimenting, investigating, and testing to produce new data, mathematical models, or methods to test concepts, formulate design criteria, and measure and predict natural and social phenomena and performance. d. Designing and developing prototypes, breadboards, and engineering models including direction of their fabrication as required. e. Developing standards and test plans to ensure reliability. f. Managing specific developments being executed in-house or under contract. Development, like research, advances the state of the art but it is further characterized by the creation of specific end-items in the form of equipment systems ("hardware" development) and/or methodologies, mathematical models, procedures, and techniques ("software" development). 14 Test and Evaluation. The testing of equipment, materials, devices, components, systems, and methodologies under controlled conditions and the systematic evaluation of test data to determine the degree of compliance of the test item with predetermined criteria and requirements. This work is characterized by the development and application of test plans to be carried out in-house or under contract or grant using one or more of the following kinds of tests: physical measurement techniques; controlled laboratory, shop, and field (demonstration) trials; and simulated environmental techniques. This category includes: a. Development testing to determine the suitability of the test item for use in its environment. b. Production and postproduction testing to determine operation readiness. c. Testing in regulatory programs to determine compliance with laws, M-2

140 Code Definition 21 Design - The planning, synthesis, and portrayal for purposes of fabrication or construction of structures, equipment, materials, facilities, devices, and processes which will perform a useful function or be suitable for a certain duty. The work involves such activities as: a. Investigating, analyzing, and determining needs and design considerations. CR b. Planning, synthesizing, and proportioning the structure or mechanism so that the result is achieved with safety and economy. c. Preparing design criteria, detailed designs, specifications, cost estimates, and operating instructions. d. Reviewing and evaluating design proposals and designs prepared by others including the management of architectural and engineering contracts. For present purposes, design in a research and development organization is the application of the known state of the art in the form of standard guidelines and references to prepare the detailed working plans and data required for fabrication, assembly, and production. 22 Construction. The original erection, repair, and improvement of structures that provide shelter for people and activities, support transportation systems, and control natural resources. The work involves surveillance and control of construction operations carried out in-house or under Federal grants, contracts, or loans through such activities as: a. Conducting site surveys. b. Reviewing and interpreting project plans and specifications. c. Making cost analyses and estimates. d. Laying out and scheduling operations. e. Investigating materials, methods, and construction problems. f. Negotiating with utilities, contractors, and agencies involved. g. Inspecting work in progress and completed work and final acceptance of completed work. M-3

141 Code 24 Definition Installation, Operations, and Maintenance. The installing, assembling, integrating, and assuring of the proper technical operation and functioning of systems, facilities, machinery, and equipment. The work involves such activities as: a. Analyzing operating and environmental conditions in order to provide design inputs and feedbacks and modifying designs as necessary to adapt them to actual environments; b. Developing and determining logistic requirements, documentation, technical plans, procedures, controls and instructions; c. Equipping, supplying, and commissioning facilities; d. Analyzing performance and cost data and developing actual performance and cost data requirements; e. Integrating equipment installation and operating schedules; f. Managing on site an operating facility such as a power plant, test range, mission control center, irrigation station, data acquisition station, or flight control station; and g. Managing installation, operations, or maintenance contracts. 31 Data Collection, Processing, and Analysis. The collection, processing, and analysis of general purpose scientific data describing natural and social phenomena. General purpose scientific data include newly gathered statistics, observations, instrument readings, measurements, specimens, and other facts obtained from such activities as statistical and field surveys, exploration, laboratory analyses, photogrammetry, and compilations of operating records for use by others. The work involves such activities as: a. Determining data needs and data processing requirements. b. Planning, directing, and evaluating collection activities performed in-house or under contract. c. Designing overall processing plans and systems to handle, control, operate, manipulate, reduce, store, check, and retrieve data. d. Analyzing raw and processed data for validity and subject-matter interpretation. e. Providing analytical services such as chemical analyses. M-4

142 Code Definition f. Forecasting and projecting data and conditions. g. Summarizing and presenting data for general use. Excluded from this category are collection and analyses of data only for research and development projects and internal operating or administrative purposes such as policy formulation or planning. 32 Scientific and Technical Information. The processing and dissemination of published and unpublished technical documents and information on work in progress and completed work to facilitate their use. The work involves developing and implementing information systems through such activities as: a. Providing for the selection, acquisition, compilation, exchange, and storage of scientific and technical information. b. Cataloging, abstracting, and indexing information for retrieval and dissemination. c. Providing reference, literature search, and bibliographic services for information users. d. Interpreting, evaluating, and briefing on the significance and relevance of information. e. Disseminating information through briefings, technical publications, and other communications media. f. Classifying and declassifying technical information where use must be controlled in the national interest. 81 Clinical practice, Counseling, and Ancillary Medical Services. The provision of direct clinical and related services to patients and clients including examining, testing, diagnosis, treatment, therapy, casework, counseling, disability evaluation, and related patient care services. 91 Planning. The study and projection of present and future needs and the formulation of alternative policies and ways of meeting those needs for the use of land, material, social industrial, material, and manpower resources; physical facilities; and social and economic services and programs. The work involves: a. Gathering, compiling, analyzing, and evaluating data. M-5

143 Code Definition b. Projecting needs and establishing goals. c. Developing single or alternative plans, policies, programs, and recommendations and measures of their economic, social, and political costs, benefits and feasibility. d. Reevaluating progress to ensure that plan objectives are realized in putting the plans into effect. This category includes physical, economic, and social planning for land population centers and mission, policy, and program planning. 92 Management. The direction and control of scientific and engineering programs in any one or combination of functions in a line or staff capacity with responsibilities that have a direct and substantial effect on the organizations and programs managed. The work involves decisions, actions, and recommendations that establish the basic content and character of the programs directed in terms of program objectives and priorities; program initiation and content; funding; and allocation of organizational resources. This category is not intended to cover primarily engaged in the supervision or monitoring of work carried out through contracts and grants or in contracts and grants administration. Such positions are to be coded to the appropriate function. 94 Technical Assistance and Consulting. The provision of scientific and technical expert assistance, consultation, and advice to other scientific personnel; foreign governments; government agencies at the Federal, state, and/or local level; private industry; organized groups; and individuals. The work involves advising upon and promoting application of the results of research and specialized program knowledge. 99 Other/Not Elsewhere Classified. This category is to be used for: a. Positions with highly specialized activities which are not covered in any of the categories. b. Positions of such generalized nature that a primary function cannot be identified. c. Trainee positions of which functional assignments have not been made. M-6

144 APPENDIX N INSTRUCTIONS FOR COMPLETING LEVEL DESCRIPTORS (LD) N-1. Level Descriptors. ERDC Form 15-E, USAERDC Level Descriptor, has 16 blocks. Blocks 2, 6, 8, 12, and 16 have been predetermined and should not be changed. Of the remaining blocks, the submitting official is responsible for completion of blocks 3, 4, 5, 7, 9, 10, 11, 14, and 15. N-2. The serving Civilian Personnel Operations Center will complete blocks 1 and 13. N-3. Block 3 - Organizational Location. List hierarchically, e.g., Laboratory, Division, Branch, etc. N-4. Block 5 - Title. Use the Official position title as determined by the Line Manager Classifier (LMC). Titles must conform to titling practices by the Office of Personnel Management (OPM). In those situations where a position meets coverage of the General Schedule Supervisory Guide (GSSG) but the supervisory duties evaluate lower than the nonsupervisory duties, an addendum will be added to the controlling level descriptor. N-5. Block 7 - Occupation Code. Use the four-digit OPM series code which reflects the paramount work of the position as determined by the LMC who signs block 14. Occupational codes are contained in Appendix A. N-6. Block 9 - Specialty Codes (SC). Use the appropriate code or codes from Appendix J and/or Appendix K. If none, enter N/A. N-7. Block 10 - Functional Codes (FC). For Engineers & Scientists (E&S) positions, enter one appropriate code from Appendix M. For non-e&s positions, enter N/A. N-8. Block 11. Financial Statement Required. Check one block as appropriate. N-9. Block 14. Evaluation Approval. Enter signature and date of LMC who classifies the position as to blocks 5, 6, 7, and 8. N-10. Block 15. Job Content Approval. Enter the signature and date of approving supervisor or higher level supervisor in the chain of command (1st level supervisor if available). N-1

145 APPENDIX O INSTRUCTIONS FOR COMPLETION, DISTRIBUTION, AND SUBMISSION OF ERDC FORM14-E O-1. Performance Plans. Performance plans are recorded on ERDC Form 14-E, USAERDC Laboratory Demonstration Rating Form. The employee, rating supervisor, and reviewer sign and date at the beginning of the rating period. The elements and standards are effective upon the signature of the rating supervisor. The supervisor maintains the original and the employee should keep updated copies of the current performance plan. The performance plan also serves as the performance rating form. O-2. In-Progress Reviews Documentation. Performance reviews during the rating period are documented on ERDC Form 14-E. The employee and rating supervisor will initial and date the mid-point review. The reviewer may initial the mid-point if expectations have significantly changed. O-3. Written Performance Ratings. Annual or special performance ratings will be prepared on ERDC Form 14-E. Employees should complete Part III and discuss with the rating supervisor accomplishments made during the rating period. After the rating supervisor and reviewer have initialed, the rating is discussed with the employee who initials and dates the final rating. Copies of completed ratings are distributed as follows: a. Annual ratings. Completed annual ratings are reproduced in an original and three copies: the original going to the employee, one copy retained by the supervisor, one copy submitted to the Civilian Personnel Operations Center (CPOC) and one copy to the Compensation Pool Manager (CPM). b. Special ratings. Special ratings are completed in an original and two copies: the original going to the employee; one copy submitted to the rating supervisor; and one retained by the supervisor who completed the special rating. Special ratings are not sent to the CPM or the CPOC when completed. They may be attached to annual rating at the end of the rating period. O-4. Corrections to Ratings. Discrepancies in ratings should be corrected as soon as possible after they are discovered. Discrepancies can result from causes such as clerical errors that unintentionally changed content; from grievances, appeals, or other complaint procedures. Corrective action includes the following: a. Preparation of a corrected performance rating, ERDC Form 14-E, to include initials of the supervisor. b. Destruction of official copies of the erroneous performance rating. c. Appropriate distribution of the corrected rating. O-1

146 d. Adjustment to personnel actions which were based on the erroneous overall performance rating. O-5. Performance Ratings Certification. To ensure performance ratings are completed in a timely manner, the following procedures will be used: a. Performance ratings for all employees in each compensation pool will be submitted to the CPM not later than 31 October. Performance-based pay increases and awards will be submitted by the CPM not later than 15 November to the CPOC. Awards will be processed and submitted to the servicing payroll office not later than 1 December. Pay increases (General Schedule and performance) will be submitted to the servicing payroll office at the time the General Schedule increase is official, usually in January. b. At the same time the ratings are sent, CPMs will submit a memorandum to the Director certifying the performance of all employees.. O-2

147 O-3 CR